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I. Primary Sources Manuscript Collections British Library, London BS18/514. Minutes of Evidence Taken Before the Departmental Committee on Child Adoption, October–November 1920. 9 volumes, unpublished. Contemporary Medical Archives Center, Wellcome Institute for the History of Medicine, London GC/49. Unpublished Memoir of Dr. Eric Campbell Pritchard, "Harley Street Calling." SA/HVA. Health Visitors' Association. London Metropolitan Archives (LMA) Metropolitan Board of Works (MBW) Minutes of the Metropolitan Board of Works, 1872–88. London County Council (LCC) Minutes of Proceedings, 1894–1911. Register of Nurses under the Children Act, 1908. Public Control Committee, London County Council (PCC) Minutes of the Public Control Committee, 1906–15. Public Control Committee Papers, 1907–15. Public Health Committee, London County Council (PHC) Minutes of the Public Health Committee, 1918–28. Public Health Committee Papers, 1919–27. Public Record Office (PRO), London CRIM 1. Central Criminal Court, Depositions. CRIM 4. Central Criminal Court, Indictments. © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. BIBLIOGRAPHY CRIM 10. Central Criminal Court, Minutes of Evidence. HO 12. Home Office, Criminal Department, Old Criminal Papers, 1849–71. HO 45. Home Office, Registered Papers, 1839–1979. HO 144. Home Office, Registered Papers, Supplementary, 1868–1959. MEPO 3. Metropolitan Police, Office of the Commissioner, Correspondence and Papers, Special Series, Murders. MH 55. Ministry of Health, Health Divisions, Public Health Services, Registered Files and Other Records. RG 48. General Register Office. Registration of Births, Deaths, and Marriages, Correspondence and Papers. National Society for the Prevention of Cruelty to Children (NSPCC), London Child's Guardian (CG), 1888–1943. Pamphlet collection. Women's Library, London Women's Suffrage Collection from Manchester Central Library. Government Documents and Official Publications Hansard Parliamentary Debates 3d series, 1856–91 4 th series, 1892–1908 5 th series, 1909–80 Reports Annual Reports of the Ministry of Health, 1920–39. Child Adoption [Tomlin] Committee: First Report. 1925, vol. 9. Child Adoption [Tomlin] Committee: Third and Final Report. 1926, vol. 8. Report of the [Horsbrugh] Departmental Committee on Adoption Societies and Agencies. 1937, vol. 9. © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. Report of the Capital Punishment Commission. 1866, vol. 21. Report of the Care of Children Committee. 1946, vol. 10. Report of the [Hopkinson] Committee on Child Adoption. 1921, vol. 9. Report from the Select Committee on Infant Life Protection (RSCILP). 1908, vol. 9. Report from the Select Committee on the Infant Life Protection Bill (RSCILPB) 1890, vol. 13. . Report from the Select Committee on Protection of Infant Life (RSCPIL). 1871, vol. 7. Report from the Select Committee of the House of Lords on the Infant Life Protection Bill and the Safety of Nurse Children Bill (RSCHLILP). 1896, vol. 10. Nongovernment Official Publications Obstetrical Society of London. Transactions of the Obstetrical Society of London. 1870–71. National Society for the Prevention of Cruelty to Children (NSPCC). Annual Reports, 1897– 1930. Various titles. Vigilance Association. Fourth Annual Report of the Vigilance Association for the Defence of Personal Rights, and for the Amendment of the Law in Points Wherein it is Injurious to Women. London: Frederick Bell & Co., 1874. Periodicals Berkshire Chronicle (Reading) Birkenhead and Cheshire Advertiser (Birkenhead, Merseyside) British Medical Journal (London) (BMJ) Chambers's Journal of Popular Literature (London) Daily News (London) Daily Telegraph (London) Devon Weekly Times (Exeter) © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. Eastern Mercury (London) English Woman's Journal (London) Essex Weekly News (Chelmsford) Evening Standard (London) Examiner (London) Exeter and Plymouth Gazette(Exeter) Globe and Traveller (London) Gravesend and Dartford Miscellany (Gravesend) Journal of the Royal Statistical Society (London) Kent Times and Chronicle (Maidstone) Lancet (London) Law Times(London) Leytonstone Express and Independent (London) Lloyd's Weekly Newspaper (London) Manchester Guardian Manchester Weekly Times Medical Press and Circular (London) Morning Advertiser (London) Morning Post (London) Nation (New York) North British Daily Mail (Glasgow) Pall Mall Gazette (London) Punch (London) Quarterly Review (London) Reading Standard © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Reading Observer ``` Reading Mercury Reynolds's Newspaper (London) Salisbury and Winchester Journal (Salisbury) Sanitary Record (London) Scotsman (Edinburgh) Sheffield Daily Telegraph Sheffield Weekly Independent South London Chronicle South London Press Spectator (London) Standard (London) Star (London) Sun (London) Sussex Advertiser, Surrey Gazette, and West Kent Courier Times (London) Torquay Directory and South Devon Journal (Torquay) Trewman's Exeter Flying Post (Exeter) Weekly Dispatch (London) Western Mail (Cardiff) Western Times (Exeter) Women's Suffrage Journal (Manchester) (WSJ) ``` ``` © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. (Lewes) Books and Pamphlets Acton, William. Prostitution . 1857. Reprint, New York: Frederick A. Praeger, 1969. ``` Anderson, William. Children Rescued from Pauperism: Or the Boarding-Out System in Scotland. Edinburgh: John Menzies & Co., 1871. Aveling, Henry F. The Boarding-Out System and Legislation Relating to the Protection of Children and Infant Life: A Manual for Poor-Law Guardians, Boarding-Out Committees, and Practical Workers. London: Swan Sonneschein & Co., 1890. Bunting, Evelyn M., Dora E. L. Bunting, and Annie E. Barnes. A School for Mothers. London: Horace Marshall & Son, [1907]. Cautley, Edmund. The Natural and Artificial Methods of Feeding Infants and Young Children. London: J. & A. Churchill, 1897. Cheadle, W. B. On the Principles and Exact Conditions to be Observed in the Artificial Feeding of Infants, The Properties of Artificial Foods, and the Diseases which Arise from Faults of Diet in Early Life: A Series of Lectures Delivered in the Post Graduate Course at St. Mary's Hospital, and at the Hospital for Sick Children, Great Ormond Street, 1887. London: Smith, Elder & Co., 1889. Committee for Amending the Law in Points Wherein it is Injurious to Women (CALPIW). Infant Mortality: Its Causes and Remedies. Manchester: A. Ireland & Co., 1871. Confession and Execution of M. Waters, the Baby Farmer, at Horsemonger Lane Gaol, on Tuesday, October 11 th . London: Printed for the Vendors, [1870]. Cullwick, Hannah. The Diaries of Hannah Cullwick, Victorian Maidservant. Edited by Liz Stanley. London: Virago, 1984. [Curgenven, J. Brendon.] Infant Life Protection Bill: Reply of the Infant Life Protection Society to a Memorial of Members of the National Society for Women's Suffrage, Objecting to the Proposed Measure. [1871]. ________. Infant Life Protection Society. [1870]. Curgenven, J. Brendon. On Baby-Farming and the Registration of Nurses: Read at a Meeting of the Health Department of the National Association for the Promotion of Social Science, March 15, 1869. London: W. Wilfred Head, Victoria Press, 1869. ________. The Waste of Infant Life: Read at a Meeting of the Health Department of the National Association for the Promotion of Social Science. London, 1867. Doliber-Goodale Company. Advice to Mothers on the Care and Feeding of Infants. Boston, 1896. [Doliber-Goodale Company]. Mellin's Selections from Shakespeare. Peckham: Mellin's Food for Infants, 1890. Dyson, D. M. The Foster Home and the Boarded Out Child. London: George Allen & Unwin, 1947. Eliot, George. Adam Bede. 1859. Reprint, Oxford: Oxford University Press, 1998. Fowler, J. S. Infant Feeding: A Practical Guide to the Artificial Feeding of Infants. London: Henry Frowde, Oxford University Press, 1909. Greenwood, James. The Seven Curses of London. London: Stanley Evers & Co., 1868. Hill, Florence Davenport. Children of the State. 1868. Second edition, London: Macmillan & Co., 1889. Kanthack, Emilia. The Preservation of Infant Life: A Guide for Health Visitors. London: H. K. Lewis, 1907. Mayhew, Henry. London Labour and the London Poor. 1851–52. Reprint (4 vols. in 1), London: Penguin Books, 1985. Mill, John Stuart. On Liberty. 1859. Reprinted in Utilitarianism, On Liberty, Considerations on Representative Government, Remarks of Bentham's Philosophy, edited by Geraint Williams, London: Everyman, 1993. Moore, George. Esther Waters. 1894. Reprint, Oxford: Oxford University Press, 1983. Newman, George. Infant Mortality: A Social Problem. New York: E. P. Dutton, 1907. Parr, Robert J. The Baby Farmer: An Exposition and an Appeal. London: National Society for the Prevention of Cruelty to Children, 1909. Pritchard, Eric. The Physiological Feeding of Infants: A Practical Handbook of Infant Feeding, and Key to the 'Physiological Nursery Chart'. London: Henry Kimpton, 1904. Rogers, Joseph. Memoirs of a Workhouse Medical Officer. Edited by Thorold Rogers. London: T. Fisher Unwin, 1889. Routh, C. H. F. Infant Feeding and Its Influence on Life: Or, The Causes and Prevention of Infant Mortality. London: John Churchill, 1860. Ryan, William Burke. Infanticide: Its Law, Prevalence, Prevention, and History. London: J. Churchill, 1862. Sadler, S. H. Infant Feeding by Artificial Means: A Scientific and Practical Treatise on the Dietetics of Infancy. London: Scientific Press, 1896. Smith, Edward. Manual for Medical Officers of Health. London: Knight & Co., 1873. Various authors. In Memoriam: Ernest Hart, M.R.C.S., D.C.L. For over Thirty Years Editor Of The British Medical Journal And for twenty-five years Chairman of the Parliamentary © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. Bills Committee of the British Medical Association. Born June, 1835. Died January, 1898. From the British Medical Journal, January 15th and 22nd, 1898; the Jewish Chronicle, January 14th, 1898; and other sources. London: British Medical Association, 1898. Vincent, Ralph. The Nutrition of the Infant. London: Bailliere, Tindall & Cox, 1904. Articles and Essays Atkinson, Stanley. "Law and Infant Life." In Infancy, T. N. Kelynack, ed., 105–15. London: Robert Culley, [1910]. Baines, M. A. "A Few Thoughts Concerning Infanticide." Journal of Social Science, Including the Sessional Papers of the National Association for the Promotion of Social Science. 10 (August 1866): 535–40. Jones, Hugh R. "The Perils and Protection of Infant Life." Journal of the Royal Statistical Society. 57, no. 1 (March 1894): 1–103. Lankester, Edwin. "Infanticide, with Reference to the Best Means of its Prevention." In Transactions of the National Association for the Promotion of Social Science, Manchester Meeting, 1866, George Woodyatt Hastings, ed., 216–24. London: Longmans, Green, Reader, and Dyer, 1867. Lankester, Edwin, Herbert A. Safford, and Mrs. Maine. "Can Infanticide Be Diminished by Legislative Enactment?" In Transactions of the National Association for the Promotion of Social Science, Bristol Meeting, 1869, Edwin Pears, ed., 205–17. London: Longmans, Green, Reader, and Dyer, 1870. Meredith, Mrs. "On Righteous Baby Farming." In Transactions of the National Association for the Promotion of Social Science, Newcastle-Upon-Tyne Meeting, 1870, Edwin Pears, ed., 553–54. London: Longmans, Green, Reader, and Dyer, 1871. Safford, A. Herbert. "What are the Best Means of Preventing Infanticide?" In Transactions of the National Association for the Promotion of Social Science, Manchester Meeting, 1866, George Woodyatt Hastings, ed., 224–28. London: Longmans, Green, Reader, and Dyer, 1867. Waugh, Benjamin. "Baby Farming." Contemporary Review 57 (January–June 1890): 700–14. II. Secondary Sources Books and Dissertations Arnot, Margaret. "Gender in Focus: Infanticide in England, 1840-1880." Ph.D. diss., University of Essex, 1994. Bartrip, P. W. J. Mirror of Medicine: A History of the British Medical Journal. Oxford: Clarendon Press, 1990. Barrett-Ducrocq, Françoise. Love in the Time of Victoria: Sexuality, Class and Gender in Nineteenth-Century London. Translated by John Howe. New York: Verso, 1991. Beekman, Daniel. The Mechanical Baby: A Popular History of the Theory and Practice of Child Raising. London: Dennis Dobson, 1997. Behlmer, George K. Child Abuse and Moral Reform in England, 1870–1908. Stanford: Stanford University Press, 1982. ________. The Child Protection Movement in England, 1860–1890. Ann Arbor, MI: University Microfilms, 1977. ________. Friends of the Family: The English Home and Its Guardians, 1850–1940. Stanford: Stanford University Press, 1998. Berridge, Virginia. Opiates and the People: Opiate Use and Drug Control Policy in Nineteenth and Early Twentieth Century England. Revised edition. London: Free Association Books, 1999. Chadwick, Roger. Bureaucratic Mercy: The Home Office and the Treatment of Capital Cases in Victorian Britain. New York: Garland Publishing, 1992. Cohen, Stanley. Folk Devils and Moral Panics: The Creation of the Mods and the Rockers Oxford: Martin Robertson, 1980. . Cooter, Roger. In the Name of the Child: Health and Welfare, 1880–1940. London: Routledge, 1992. Crowther, M. A. The Workhouse System 1834–1929: The History of an English Social Institution. Athens: University of Georgia Press, 1982. Cruickshank, Marjorie. Children and Industry: Child Health and Welfare in North-West Textile Towns During the Nineteenth Century. Manchester: Manchester University Press, 1981. Cunningham, Hugh. The Children of the Poor: Representations of Childhood Since the Seventeenth Century. Oxford: Blackwell, 1992. Davin, Anna. Growing Up Poor: Home, School and Street in London, 1870–1914. London: Rivers Oram Press, 1996. Digby, Anne. Making a Medical Living: Doctors and Patients in the English Market for Medicine, 1720–1911. London: Cambridge University Press, 1994. © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. ________. Pauper Palaces. London: Routledge & Kegan Paul, 1978. Douglas, Mary. Purity and Danger: An Analysis of the Concepts of Pollution and Taboo. Boston: Routledge & Kegan Paul, 1978. Dwork, Deborah. War is Good for Babies and Other Young Children: A History of the Infant and Child Welfare Movement in England, 1898–1918. London: Tavistock Publications, 1987. Fildes, Valerie A. Breasts, Bottles and Babies: A History of Infant Feeding. Edinburgh: Edinburgh University Press, 1986. Finlayson, Geoffrey. Citizen, State, and Social Welfare in Britain, 1830–1990. Oxford: Clarendon Press, 1994. Grayzel, Susan R. Women's Identities at War: Gender, Motherhood, and Politics in Britain and France During the First World War. Chapel Hill: University of North Carolina Press, 1999. Halttunen, Karen. Murder Most Foul: The Killer and the American Gothic Imagination Cambridge, MA: Harvard University Press, 1998. . Hendrick, Harry. Child Welfare: England 1872–1989. London: Routledge, 1994. Heywood, Jean S. Children in Care: The Development of the Service for the Deprived Child. London: Routledge & Kegan Paul, 1965. Higginbotham, Ann Rowell. The Unmarried Mother and Her Child in Victorian London, 18341914. Ann Arbor, MI: University Microfilms, 1987. Hrdy, Sarah Blaffer. Mother Nature: A History of Mothers, Infants, and Natural Selection. New York: Pantheon, 1999. Jones, Gareth Stedman. Outcast London: A Study in the Relationship Between Classes in Victorian Society. Oxford: Oxford University Press, 1971. Keating, Peter, ed. Into Unknown England, 1866–1913: Selections from the Social Explorers. Totowa, NJ: Rowman and Littlefield, 1976. Knelman, Judith. Twisting in the Wind: The Murderess and the English Press. Toronto: University of Toronto Press, 1988. Lambert, Richard S. When Justice Faltered: A Study of Nine Peculiar Murder Trials. London: Methuen, 1935. Lewis, Jane. The Politics of Motherhood: Child and Maternal Welfare in England, 1900–1939 London: Croom Helm, 1980. . Lown, Judy. Women and Industrialization: Gender at Work in Nineteenth Century England Minneapolis: University of Minnesota Press, 1990. . © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. Maguire, Moira Jean. The Myth of Catholic Ireland: Unmarried Motherhood, Infanticide, and Illegitimacy in the Twentieth Century. Ann Arbor, MI: University Microfilms, 2000. Marks, Lara. Metropolitan Maternity: Maternal and Infant Welfare Services in Early Twentieth Century London. Amsterdam: Rodopi, 1996. ________. Model Mothers: Jewish Mothers and Maternity Provision in East London, 1870– 1939. Oxford: Clarendon Press, 1994. Mason, Michael. The Making of Victorian Sexuality. Oxford: Oxford University Press, 1994. McBride, Theresa. The Domestic Revolution: The Modernisation of Household Service in England and France, 1820–1920. New York: Holmes and Meier, 1976. McCleary, George F. The Early History of the Infant Welfare Movement. London: H. K. Lewis & Co., 1933. ________. The Maternity and Child Welfare Movement. London: P. S. King & Son, 1935. McClintock, Anne. Imperial Leather: Race, Gender and Sexuality in the Colonial Contest. New York: Routledge, 1995. McLaren, Angus. Birth Control in Nineteenth-Century England. London: Croom Helm, 1978. Merritt, Dorothy H, ed. Infant Nutrition. Stroudsburg, PA: Dowden, Hutchinson, & Ross, 1976. Murdoch, Lydia Dale. Imagined Orphans: Poor Families, the Home, and Child Welfare in England, 1870–1914. Ann Arbor, MI: University Microfilms, 2000. Palmer, Roy, ed. Everyman's Book of British Ballads. London: J M Dent & Sons, 1980. Pearsall, Ronald. Night's Black Angels: The Forms and Faces of Victorian Cruelty. New York: D. McKay Co., 1975. Percival, Tom. Poor Law Children. London: Shaw & Sons, [1912]. Pinchbeck, Ivy and Margaret Hewitt. Children In English Society Volume II: From the Eighteenth Century to the Children Act 1848. London: Routledge & Kegan Paul, 1973. Rose, Lionel. The Massacre of the Innocents: Infanticide in Britain, 1800–1939. Boston: Routledge & Kegan Paul, 1986. Ross, Ellen. Love and Toil: Motherhood in Outcast London, 1870–1918. New York: Oxford University Press, 1993. Searle, G. R. The Quest for National Efficiency: A Study in British Politics and Political Thought, 1899–1914. Oxford: Basil Blackwell, 1971. Shanley, Mary Lyndon. Feminism, Marriage and the Law in Victorian England, 1850–1895. Princeton: Princeton University Press, 1989. Shorter, Edward. The Making of the Modern Family. New York: Basic Books, 1975. Soloway, Richard Allen. Birth Control and the Population Question in England, 1877–1930 Chapel Hill: University of North Carolina Press, 1982. . ________. Demography and Degeneration: Eugenics and the Declining Birthrate in TwentiethCentury Britain. Chapel Hill: University of North Carolina Press, 1990. Stoler, Ann Laura. Race and the Education of Desire: Foucault's History of Sexuality and the Colonial Order of Things. Durham: Duke University Press, 1995. Thorne, Susan. Congregational Missions and the Making of an Imperial Culture in NineteenthCentury England. Stanford: Stanford University Press, 1999. Walkowitz, Judith. City of Dreadful Delight: Narratives of Sexual Danger in Late-Victorian London. Chicago: University of Chicago Press, 1992. Waters, Sarah. Fingersmith. New York: Riverhead Books, 2002. Webb, Sidney and Beatrice Webb. English Poor Law Policy. London: Longmans, Green, & Co., 1910. Wilson, Patrick. Murderess: A Study of the Women Executed in Britain Since 1843. London: Joseph, 1971. Zedner, Lucia. Women, Crime, and Custody in Victorian England. Oxford: Clarendon Press, 1991. Articles and Essays Arnot, Margaret. "Infant Death, Child Care and the State: The Baby-Farming Scandal and the First Infant Life Protection Legislation of 1872." Continuity and Change 9, no. 2 (1991): 271–311. Beaver, M. W. "Population, Infant Mortality and Milk." Population Studies 27, no. 2 (July 1973): 243–54. Behlmer, George K. "Deadly Motherhood: Infanticide and Medical Opinion in Mid-Victorian England." Journal of the History of Medicine 34 (October 1979): 403–27. ________. "Ernest Hart and the Social Thrust of Victorian Medicine." British Medical Journal (3 October 1990): 711–13. © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Brice, A. W. C. and K. J. Fielding. "Dickens and the Tooting Disaster." Victorian Studies 12, no. 2 (December 1968): 227–44. Broder, Sherri. "Child Care or Child Neglect?: Baby Farming in Late-Nineteenth-Century Philadelphia." Gender and Society 2, no. 2 (June 1988): 128–48. Bullock, Roger. "The Children Act 1948: Residential Care." In Child Welfare in the UK, edited by Olive Stevenson, 156–74. London: Blackwell, 1999. Burney, Ian. "Making Room at the Public Bar: Coroners' Inquests, Medical Knowledge, and the Politics of the Constitution in Early-Nineteenth-Century England." In Re-Reading the Constitution: New Narratives in the Political History of England's Long Nineteenth Century, edited by James Vernon, 123-25. Cambridge: Cambridge University Press, 1996. Clark, Anna. "Gender, Class, and the Nation: Franchise Reform in England, 1832-1928." In ReReading the Constitution: New Narratives in the Political History of England's Long Nineteenth Century, edited by James Vernon. New York: Cambridge University Press, 1996. Cody, Lisa Forman. "The Politics of Illegitimacy in an Age of Reform: Women, Reproduction, and Political Economy in England's New Poor Law of 1834." Journal of Women's History 11, no. 4 (2000): 131–56. Davidoff, Leonore. "The Family in Britain." In The Cambridge Social History of Britain 1750– 1950: Volume 2, People and Their Environment, edited by F. M. L. Thompson, 71–130. Cambridge: Cambridge University Press, 1990. Davin, Anna. "Imperialism and Motherhood: Population and Power," History Workshop Journal 5 (1978): 9–65. Dingwall, Robert W. J. "Collectivism, Regionalism and Feminism: Health Visiting and British Social Policy 1850–1975." Journal of Social Policy 6, no. 3 (1977): 291–315. Dyhouse, Carol. "Working-Class Mothers and Infant Mortality in England, 1895–1914." Journal of Social History 12, no. 2 (1978): 248–67. Emmerichs, Mary Beth. "Getting Away With Murder? Homicide and Coroners in NineteenthCentury London." Social Science History 25, no. 1 (2001): 93-100. Fildes, Valerie. "Breast-Feeding in London, 1905–19." Journal of Biosocial Science 24, no. 1 (January 1992): 53–70. Gillis, John R. "Servants, Sexual Relations, and the Risks of Illegitimacy in London, 1801– 1900." Feminist Studies 5, no. 1 (Spring 1979): 142–73. Henriques, U. R. Q. "Bastardy and the New Poor Law." Past and Present 37 (July 1967): 103– 29. © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. Higginbotham, Ann R. "Sin of the Age: Infanticide and Illegitimacy in Victorian London." Victorian Studies 32 (Spring 1989): 319–38. Higgs, Edward. "Domestic Service and Household Production." In Unequal Opportunities: Women's Employment in England 1800–1918, edited by Angela V. John, 125–50. Oxford: Basil Blackwell, 1986. Homrighaus, Ruth Ellen. "Wolves in Women's Clothing: Baby-Farming and the British Medical Journal, 1860–1872." Journal of Family History 26, no. 3 (July 2001): 350–72. Huck, Paul. "Infant Mortality and Living Standards of English Workers During the Industrial Revolution." Journal of Economic History 55, no. 3 (September 1995): 528–50. Keating, Jenny. "Struggle for Identity: Issues Underlying the Enactment of the 1926 Adoption of Children Act." Journal of Contemporary History 36, no. 3 (September 2001). Knight, Patricia. "Women and Abortion in Victorian and Edwardian England." History Workshop Journal 4 (1977): 57–68. Koven, Seth and Sonya Michel. "Womanly Duties: Maternalist Politics and the Origins of Welfare States in France, Germany, Great Britain, and the United States, 1880–1920." American Historical Review 95, no. 4 (October 1990): 1076–1108. Lees, Lynn Hollen. "The Survival of the Unfit: Welfare Policies and Family Maintenance in Nineteenth-Century London." In The Uses of Charity: The Poor on Relief in the Nineteenth-Century Metropolis, edited by Peter Mandler, 68–91. Philadelphia: University of Pennsylvania Press, 1990. MacDonagh, Oliver. "The Nineteenth-Century Revolution in Government: A Reappraisal." Historical Journal 1, no. 1 (1958): 52–67. Marks, Lara. "'The Luckless Waifs and Strays of Humanity': Irish and Jewish Immigrant Unwed Mothers in London, 1870–1939." Twentieth Century British History 3, no. 2 (1992): 113– 37. ________. "Medical Care for Pauper Mothers and Their Infants: Poor Law Provision and Local Demand in East London, 1870–1929." Economic History Review 44, no. 3 (1993): 518– 42. Mepham, T. B. "'Humanizing' Milk: The Formulation of Artificial Feeds for Infants, 18501910." Medical History 37, no. 3 (July 1993): 225–49. Sauer, R. "Infanticide and Abortion in Nineteenth-Century Britain." Population Studies 32, no. 1 (March 1978): 81–93. Schellekens, Jona. "Illegitimate Fertility Decline in England, 1851–1911." Journal of Family History 20, no. 4 (1995): 365–377. © Ruth Homrighaus, 2003, 2010. All rights reserved. Material may not be reprinted without permission. Cite as: Homrighaus, Ruth Ellen. Baby Farming: The Care of Illegitimate Children in England, 1860–1943. Ph.D. diss., 2003. Rev. ed., 2010, at Historytools, <<http://www.historytools.org/babyfarming/baby-farming.html>>. Stevenson, Olive. "Children in Need and Abused: Interprofessional and Interagency Responses." In Child Welfare in the UK, edited by Olive Stevenson, 100–120. London: Blackwell, 1999. Smart, Carol. "Disruptive Bodies and Unruly Sex: The Regulation of Reproduction and Sexuality in the Nineteenth Century." In Regulating Womanhood: Historical Essays on Marriage, Motherhood, and Sexuality, edited by Carol Smart, 8–32. London: Routledge, 1992. Thoburn, June. "Trends in Foster Care and Adoption." In Child Welfare in the UK, edited by Olive Stevenson, 121–55. London: Blackwell, 1999. Thorne, Susan. "'The Conversion of Englishmen and the Conversion of the World Inseparable': Missionary Imperialism and the Language of Class in Early Industrial Britain." In Tensions of Empire: Colonial Cultures in a Bourgeois World, edited by Frederic Cooper and Ann Laura Stoler. Berkeley: University of California Press, 1997. Tilly, Louise A., Joan W. Scott, and Miriam Cohen. "Women's Work and European Fertility Patterns." Journal of Interdisciplinary History 6, no. 3 (Winter 1976): 447–76. Wickes, Ian. "A History of Infant Feeding: Part III, Eighteenth and Nineteenth Century Writers." Archive of Disease in Childhood 28 (1953): 332–40. ________. "A History of Infant Feeding: Part IV, Nineteenth Century Continued." Archive of Disease in Childhood 28 (1953):416–22. Woods, R. I., P. A. Watterson, and J. H. Woodward. "The Causes of Rapid Infant Mortality Decline in England and Wales, 1861–1921 Part I." Population Studies 42 (1988): 343– 66. ________. "The Causes of Rapid Infant Mortality Decline in England and Wales 1861–1921 Part II." Population Studies 43 (1989): 113–32. Yeo, Eileen Janes. "The Creation of 'Motherhood' and Women's Responses in Britain and France, 1750–1914." Women's History Review 8, no. 2 (1999): 201–18.
BASTROP COUNTY TAX ABATEMENT POLICY (Guidelines and Procedures) BASTROP COUNTY POLICY: Minimum investment - New business: $5,000,000 Expansion: $3,000,000. 1. Applicable to new construction and expansions/modernization. 2. Abatement on eligible real and fixed personal property. (a) Minimum job requirements include 25 jobs for new business and sustained employment level for existing business expansions. (b) Abatement for companies moving within the County; considered if agreeable to both cities. 3. Additional evaluation criteria: (a) Environmental impacts of project; (b) Diversity of employment base and commitment to a diversified workforce; (c) Minimum of 25% of new jobs created filled by Bastrop County residents (includes transferring employees who move to and reside in Bastrop County); (d) Provision of health care benefits at a rate reasonable to allow access by majority of employees. 4. Value of existing personal property currently on tax rolls will remain taxable and be included in base value, even if the property is moved to a new abated location or replaced due to modernization or expansion. 5. Project is ineligible for abatement if the application for County abatement was filed after the commencement of construction, alteration or installation of new improvements. GENERAL PROCEDURES: 1. For projects in which the County is to create the reinvestment zone, the Company shall submit an application to the County Judge. Such reinvestment zones must be located outside the taxing jurisdiction of a municipality. 2. For reinvestment zones to be created by a municipality in the County, the Company begins negotiations with the municipality; and the municipality shall make County aware of request and invite County comments during negotiations. The County will make the municipality aware of concerns/changes prior to final action by the municipality. 2. Company makes application to County for participation in abatement. County negotiates additional performance criteria with Company required for County participation. GUIDELINES AND CRITERIA I. GENERAL PURPOSE AND OBJECTIVES As authorized under Chapter 312 of the Texas Tax Code, Bastrop County has established this policy so as to work in concert with other taxing authorities as part of an overall publicly supported incentive program designed to create job opportunities that bring new economic advantages or strengthen the current economic base of our community. It is the intent of the Commissioners Court to consider approval or denial of any request for tax abatement for projects in unincorporated Bastrop County or participation in any tax abatement agreement agreed to and adopted by an incorporated city, which meets the minimum eligibility criteria as set forth in this policy, following the filing of a formal application for tax abatement from the County. As prescribed by Section 312.206 of the Tax Code, the Commissioners Court may approve participation with a municipality in a tax abatement agreement no later than the 90th day after the date the municipal agreement is executed. Further, it is the intent of Bastrop County that the County will not approve nor join an abatement agreement that provides one Bastrop County city a competitive advantage over another Bastrop County city seeking the same project or encourages an applicant to move from one Bastrop County city to another, unless such agreement is agreeable to both such incorporated cities and both parties have indicated their approval in writing to Bastrop County. For those areas within Bastrop County that are not located within the taxing jurisdiction of a municipality, the guidelines and criteria contained in this policy will be applied by the Commissioners Court when considering the establishment of a reinvestment zone and the adoption of an abatement agreement. If the area is in a municipality's extraterritorial jurisdiction and no part of the area is in the taxing jurisdiction of a municipality, either the County or the municipality may initiate the reinvestment zone. II. DEFINITIONS (a) "Abatement" means the full or partial exemption from ad valorem taxes of certain real and/or personal property in a reinvestment zone designated for economic development purposes. (b) "Agreement" means a contractual agreement between a property owner and/or lessee and an eligible jurisdiction for the purposes of tax abatement. (c) "Applicant" means the legal entity seeking tax abatement. (d) "Base Year Value" means the assessed value of the applicant's real and personal property located in a designated reinvestment zone on January 1 of the year of the execution of the agreement, plus the agreed upon value of real and personal property improvements made after January 1, but before the execution of the agreement. (e) “Commencement of Construction” means the placement or construction of any improvements that are part of the project in the reinvestment zone. The storage of building materials in the reinvestment zone that are to be used in construction of the improvements does not constitute commencement of construction. Engineering, site preparation and similar activity shall not be considered commencement of construction so long as permanent improvements that are part of the project have not been constructed and placed in the reinvestment zone. (f) "Deferred Maintenance" means improvements necessary for continued operations which do not improve productivity or alter the process technology. (g) "Economic Life" means the number of years a property improvement is expected to be in service in a facility. (h) "Eligible Jurisdiction" means Bastrop County and any municipality, school district, college district, or other entity, which is located in Bastrop County, that levies ad valorem taxes upon and provides services to property located within the proposed or existing reinvestment zone. (i) "Expansion" means the addition of buildings, structures, fixed machinery and equipment, and fixed personal property for the purposes of increasing production capacity. (j) "Facility" means property improvements completed or in the process of construction which together comprise an integral whole. (k) "Fixed Machinery and Equipment and/or Personal Property" means tangible machinery, equipment, or personal property that is securely placed or fastened and stationary within a building or structure, or which is movable but remains at and is used solely at the project site. (l) "Manufacturing Facility" means buildings and structures, including fixed machinery and equipment, and fixed personal property, the primary purpose of which is or will be the manufacture of tangible goods or materials or the processing of such goods or materials by physical or chemical change. (m) "Modernization" means the replacement and upgrading of existing facilities which increases the productive input or output, updates the technology or substantially lowers the unit cost of the operation, and extends the economic life of the facility. Modernization may result from the construction, alteration or installation of buildings, structures, fixed machinery and equipment, and fixed personal property. It shall not be for the purpose of reconditioning, refurbishing, repairing, or completion of deferred maintenance. (n) "New Facility" means a property previously undeveloped which is placed into service by means other than or in conjunction with expansion or modernization. (o) "Non-Manufacturing Facility" means buildings and structures used to service and/or house individuals on a permanent or temporary basis. (p) "Other Basic Industry" means buildings and structures, including fixed machinery and equipment and fixed personal property not elsewhere described, used or to be used for the production of products or services which primarily serve a market outside Bastrop County and result in the creation of new permanent jobs and bringing new wealth into Bastrop County. (q) "Regional Distribution Center Facility" means buildings and structures, including fixed machinery and equipment and fixed personal property, used or to be used primarily to receive, store, service or distribute goods or materials owned by the facility operator. (r) "Regional Entertainment Facility" means buildings and structures, including machinery and equipment, used or to be used to provide entertainment through the admission of the general public where the majority of the users reside at least 100 miles from the facility's location in the County. (s) "Regional Retail Facility" means buildings and structures, including fixed machinery and equipment, used or to be used to provide retail services from which a large portion of the revenues generated by the activity at the facility are derived from users outside the County. (t) "Regional Service Facility" means building and structures, including fixed machinery and equipment and fixed personal property, used or to be used to service goods. (u) "Reinvestment Zone" is an area designated as such for the purpose of tax abatement as authorized by Chapter 312 of the Texas Tax Code. (v) "Research Facility" means building and structures, including fixed machinery and equipment and fixed personal property, used or to be used primarily for research or experimentation to improve or develop new tangible goods or materials or to improve or develop the production processes thereto. III. ABATEMENT AUTHORIZED (a) Authorized Facility. A facility may be eligible for abatement if it is a Manufacturing Facility, a Research Facility, a Regional Distribution Center Facility, a Regional Service Facility, a Regional Entertainment Facility, a Regional Retail Facility, a Non-Manufacturing Facility, or Other Basic Industry as defined. The economic life of a facility and any improvements must exceed the life of the abatement agreement. (b) Creation of New Value. Abatement may be only granted for the additional value of eligible property improvements made subsequent to and listed in an abatement agreement between the County and the property owner and lessee, subject to such limitations as the Commissioners Court may require. (c) New and Existing Facilities. Abatement may be granted for new facilities and improvements to existing facilities for purposes of modernization or expansion. (d) Eligible Property. Abatement may be extended to the value above the Base Year Value of buildings, structures, fixed machinery and equipment, fixed personal property, and site improvements plus that office space and related fixed improvements necessary to the operation and administration of the facility. (e) Ineligible Property. The following types of property shall be fully taxable and ineligible for abatement: land; inventories; supplies; tools; furnishings and other forms of movable personal property; vehicles; vessels; private aircraft; deferred maintenance investments; property to be rented or leased except as provided in Section III(f); also, any property included in the calculation of base year value as defined. (f) Owned/Leased Facilities. If a leased facility is granted abatement, the agreement shall be executed with the lessor and the lessee. (g) Value and Term of Abatement. Abatement shall be granted effective with the execution of the agreement. The value of the abatement will be determined based on the merits of the project, including, but not limited to, total capital investment value and added employment. Up to one hundred percent of the value of new eligible properties may be abated for a total term of abatement not to exceed ten years. However, a project must provide an extraordinary economic benefit to the County to be considered for a one hundred percent abatement. (h) Economic Qualification. In order to be eligible for designation as a County reinvestment zone and/or receive County tax abatement, the planned improvement: (1) for new businesses, must be reasonably expected to produce a minimum added value of Five Million Dollars ($5,000,000) in real and personal property to Bastrop County and create and sustain a minimum of 25 new fulltime jobs. (2) for expansions or modernizations of existing businesses, must be reasonably expected to produce a minimum added value of Three Million Dollars ($3,000,000) in real and personal property improvements to Bastrop County, and sustain existing employment levels. (3) must not be expected to solely or primarily have the effect of transferring employment from one part of Bastrop County to another without a majority vote of approval from the Commissioners Court. (4) must be necessary for expansion and/or modernization because the capacity cannot be provided efficiently utilizing existing improved property when reasonable allowance is made for necessary improvements. (5) the above investment and employment minimums may be waived at the discretion of the Commissioners Court for projects located in Federal or State designated Enterprise Zones. (i) Additional Criteria For Abatement. To be eligible for abatement, the project must be expected to meet the specific goals and requirements as noted below. If a company is unable to meet the minimum requirements of this section, a variance must be requested with a detailed explanation as to the circumstances that preclude the company from meeting the minimum requirements. (1) Use of Bastrop County Businesses. The project must provide for the utilization of Bastrop County businesses for a minimum of 25% of the total costs for construction contracts and annual supply and services contracts. (2) Bastrop County Employment. The company must hire Bastrop County residents for a minimum of 25% of the new full time jobs to be created by the project. Residents, for the purpose of this policy, are those employees who reside in Bastrop County, whether through relocation or existing residency. (3) Environmental Impacts. Environmental impact information must be provided, noting any anticipated impacts of the project on the environment, including, but not limited to, water quality, storm water and runoff, floodplain and wetlands, solid waste disposal, noise levels, and air quality. (4) Employee Benefits. The company must offer a health benefit plan to its fulltime employees at a rate that is reasonable to the majority of its employees and which allows access to the plan by the employees' dependents. For additional consideration, the company may provide information on other employee benefits provided, such as retirement/pension programs and subsidies for education, job-training, transportation assistance and child/elderly care. (j) Taxability. From the execution of the abatement to the end of the agreement period taxes shall be payable as follows: (1) The value of ineligible property as provided in Section III(e) shall be fully taxable; (2) The Base Year Value of existing eligible property shall be fully taxable, as well as the value of any existing personal property currently on the tax rolls in Bastrop County that is either moved to a new abated location or is replaced due to modernization or expansion. (3) The additional value of new eligible property shall be taxable in the manner and for the period provided for in the abatement agreement, subject to the terms described in Section III(g); and (4) The additional value of new eligible property shall be fully taxable at the end of the abatement period. IV. APPLICATION (a) Download a copy of the Tax Abatement Application. (b) Any present or potential owner of taxable property in Bastrop County may request the creation of a reinvestment zone and/or tax abatement by filing a written request with the County Judge. (c) The application shall consist of a completed application form including, but not limited to: a general description of the new improvements to be undertaken; a descriptive list of the improvements for which an abatement is requested; a list of the kind, number and location of all proposed improvements of the property; a map and property description; a time schedule for undertaking and completing the proposed improvements; employment and contract information; the location of existing company locations in Bastrop County and the surrounding counties and the expected number of transferring employees; details of the environmental impacts of the project; and employee benefit information. In the case of modernization a statement of the assessed value of the facility, separately stated for real and personal property, shall be given for the tax year immediately preceding the application. The County may require such financial and other information as deemed appropriate for evaluating the financial capacity and other factors pertaining to the applicant, to be attached to the application. (d) All applications for creation of reinvestment zones or abatements shall incorporate a feasibility study estimating the economic effect of the proposed reinvestment zone and tax abatement on Bastrop County, other eligible participating jurisdictions, and the applicant. (e) Upon receipt of a completed application for creation of a reinvestment zone, the County Judge shall notify in writing and provide a copy of the application to the presiding officer of the governing body of each eligible jurisdiction. (f) Upon receipt of a completed application and/or request to participate with a municipality in an abatement agreement, Bastrop County Judge's Office must review and provide a recommendation to the Commissioners Court within 30 days before the public hearing. (g) The County shall not establish a reinvestment zone, nor participate in an abatement, if it finds that the application for a County reinvestment zone/tax abatement was filed after the commencement of construction, alteration, or installation of improvements related to the proposed modernization, expansion or construction of a new facility. (h) Variance. Request for variance from the provisions of this policy must be made in written form to the County Judge and submitted with the application for abatement, provided, however, the total duration of an abatement shall in no instance exceed ten years. Such request shall include a complete description of the circumstances explaining why the applicant should be granted a variance. Requests for variance must be approved by a majority vote of the Commissioners Court. V. PUBLIC HEARINGS AND APPROVAL (a) For projects in unincorporated Bastrop County, the Commissioners Court may not adopt a resolution designating a County reinvestment zone until it has held a public hearing at which interested persons are entitled to speak and present evidence for or against the designation. Notice of the hearing shall be clearly identified on the Commissioners Court agenda at least 30 days prior to the hearing. The presiding officers of eligible jurisdictions shall be notified in writing at least 15 days prior to the hearing. (b) Prior to entering into a tax abatement agreement the Commissioners Court may, at its option, hold a public hearing at which interested persons shall be entitled to speak and present written materials for or against the approval of the tax abatement agreement. (c) In order to enter into a tax abatement agreement, the Commissioners Court must find that the terms of the proposed agreement meet these Guidelines and Criteria and that: (1) there will be no substantial adverse affect on the provision of the jurisdiction's service or tax base; and (2) the planned use of the property will not constitute a hazard to public safety, health or morals. (d) Any application requesting a variance under Section IV(g) shall be approved by a majority vote of the Commissioners Court. No application which deviates from the requirements of these Guidelines and Criteria shall be approved unless accompanied by a request for variance as provided under Section IV(g). VI. AGREEMENT (a) After approval the County shall formally pass a resolution and execute an agreement with the owner of the facility and lessee as required. The Court Order shall include: (1) estimated value of real and personal property to be abated and the base year value; (2) percent of value to be abated each year as provided in Section III(g); (3) the commencement date and the termination date of abatement; (4) the proposed use of the facility, nature of construction, time schedule, map, property description and improvement list as provide in Section IV(c); (5) contractual obligations in the event of default, violation of terms or conditions, delinquent taxes, recapture, administration and assignment as provided in Sections III(a), III(e), III(g) VII, VIII, and IX, or other provisions that may be required for uniformity or by state law; (6) amount of investment and average number of jobs involved; (7) an assessment of the environmental impacts of the project, including a statement of the owner's policy addressing regional air quality and information on the use of alternative fuels in fleet vehicles; and (8) a statement indicating the provision of a health care benefit plan for employees and dependents. Such agreement shall normally be executed within 60 days after the applicant has forwarded all necessary information and documentation to the County. (b) Participation in tax abatement agreements with municipalities requires additional information to be included in the Court Order approving the agreement, as follows: (1) a copy of the agreement between the applicant and municipality shall be attached and made a part of the Court Order for all purposes; and (2) authorization for the County Judge to execute a signatory page on behalf of the Commissioners Court, which shall be attached and made part of the original agreement. VII. RECAPTURE The Commissioners Court reserves the right to review compliance for full or partial recapture in the event that the applicant fails to perform in "good faith." If a project is not completed as specified in the tax abatement agreement, the County has the right to cancel the abatement agreement and abated taxes shall become due to the County and other affected taxing units as provided by law. If any of the provisions contained in the tax abatement agreement, i.e., employment, amount of investment, etc., are not met, the County shall have the right to reduce or cancel the abatement agreement. If a project granted a tax abatement ceases to operate or is no longer in conformance with the tax abatement agreement, the agreement shall not be in effect for the period of time during which the project is not operating or is not in conformance. VIII. ADMINISTRATION (a) The Chief Appraiser of the County shall annually determine an assessment of the real and personal property comprising the reinvestment zone. Each year, the company or individual receiving abatement shall furnish the assessor with such information as may be necessary for the abatement. Once value has been established, the chief Appraiser shall notify the affected jurisdictions which levy taxes of the amount of the assessment. (b) The agreement shall stipulate that employees and/or designated representatives of the County will have access to the reinvestment zone during the term of the abatement to inspect the facility to determine if the terms and conditions of the agreement are being met. All inspections will be made only after the giving of twenty-four (24) hours prior notice and will only be conducted in such manner as to not unreasonably interfere with the construction and/or operation of the facility. All inspections will be made with one or more representatives of the company or the individual and in accordance with the facility's safety standards. (c) Upon completion of construction the County and/or the jurisdiction creating the reinvestment zone shall annually (or at such other times as deemed appropriate by the Commissioners Court) evaluate each facility receiving abatement to ensure compliance with the agreement and report possible violations of the contract and agreement to the Commissioners Court and the District Attorney. On or before April 30th of every year during the life of the abatement agreement, the company or individual receiving the abatement shall complete and file a Tax Abatement Evaluation Report, along with other required written documentation, detailing and certifying the abatement recipient's compliance with the terms of the abatement agreement. Failure to provide information requested in the compliance evaluation by the prescribed deadline may result in taxes abated in the prior year being due and payable. The company or individual receiving a tax abatement shall provide information to the County for the evaluation which shall include, but not be limited to, the following: (1) the number and dollar amounts of all construction contracts and subcontracts awarded on the project; (2) the total number of employees of the company and their gross salaries, and the number of employees residing in Bastrop County and their gross salaries, reported in job classifications appropriate to the employees; (3) the gross dollars spent on supplier and professional service contracts, indicating the amounts by contract awarded and performed by Bastrop County businesses and individuals; (4) the dollar amount of contracts awarded to Disadvantaged Business Enterprises; (5) detail of actions taken to mitigate any adverse environmental impacts of the project, if applicable; and (6) should the dollars, percentages, or actions not meet the original or modified requirements of the abatement agreement, a statement shall be provided explaining the reason for the failure to meet the requirements and a recommended course of rectification. IX. ASSIGNMENT Tax abatement agreements may be assigned to a new owner or lessee of the facility with the written consent of the Commissioners Court, which consent shall not be unreasonably withheld. Any assignment shall provide that the assignee shall irrevocably and unconditionally assume all the duties and obligations of the assignor upon the same terms and conditions as set out in the agreement. Any assignment of a tax abatement agreement shall be to an entity that contemplates the same improvements or repairs to the property, except to the extent such improvements or repairs have been completed. No assignment shall be approved if the assignor or the assignee is indebted to the County for ad valorem taxes or other obligations. X. SUNSET PROVISION These Guidelines and Criteria are effective as of the date of adoption and will remain in force for two years, at which time all reinvestment zones and tax abatement contracts created pursuant to its provisions will be reviewed by the County to determine whether the goals have been achieved. Based on that review, the guidelines and criteria will be modified, renewed or eliminated. These guidelines and criteria may be amended by the Commissioners Court at any time during their effective period.
Cambridgeshire and Peterborough Safeguarding Children's Boards Key Safeguarding Employment Standards 1. INTRODUCTION 1.1. The Key Employment Standards that follow are aimed at ensuring that children and young people when placed in the care of others, are treated with respect and free from all forms of abuse or mistreatment. 1.2. Safer employment processes extend beyond recruitment to encompass an organisation's whole approach to using human resources. Safer practices should extend beyond the employment of paid staff to include volunteers and third party suppliers or anyone who may come into direct contact with children and young people 1.3. A safer employment process will help promote a safer culture generally, and complement other fundamental processes including Health and Safety, Security and Compliance (e.g. secure access to buildings, preventing violence in the workplace etc). 1.4. It is vitally important that all organisations which employ people to work with children and young people adopt safer employment procedures which help to deter, reject or identify people who might abuse the vulnerable. However, policies and procedures themselves are unlikely to offer the necessary levels of protection. They must be accompanied by the creation and maintenance of a safer working culture within each organisation so that every worker understands their duty of care as well as which behaviours constitute safer practice and which should be avoided. 1.5. These standards have been developed as a minimum to be attained to assist managers to reach safer levels of recruitment, training and the management of staff. A commitment to safeguarding is the central focus at every stage of the recruitment process from the planning stages through to placing an advert (which will have a clear commitment to safeguarding prominent within it) short-listing, obtaining references, providing information for candidates, conducting the interview itself, making appropriate checks of identity and qualifications as well as undertaking any other appropriate vetting. 1.6. Best practice at the point of recruitment will help to dissuade some unsuitable people from accepting a post and it will also help managers to identify some unsuitable candidates. However, thorough and careful recruitment procedures consistently applied will not completely eliminate the risk of appointing an abuser who is determined to gain employment which will give them access to children and young people. It is imperative, therefore, that each organisation develops a respectful and open culture which is committed to safeguarding and promoting the welfare of those for whom it cares. The foundation of such a safer working environment is based on the development of clear, safer policies and procedures which make explicit the practice that all workers are expected to adhere to. These are demonstrably embedded in daily practice and all workers see the policies as 'living and breathing' within each work place. 1.7. It is an expectation that all agencies are compliant with the Cambridgeshire and Peterborough Safeguarding Children Board inter-agency procedures relating to handling matters of safeguarding in employment and if in any doubt about such matters organisations should refer to the relevant Local Authority Designated Officer (LADO) see contact numbers Appendix B. 1.8. Partner agencies will be required to submit information as part of a Section 11 audit as requested by the Boards. Any identified shortfall will be incorporated into an action plan and it will be expected that remedial action should take place without delay. . 2. THE KEY STANDARDS 2.1. Recruitment 2.1.1. Information for managers should provide: o Comprehensive, general guidance about the need to focus on safeguarding throughout recruitment and selection processes o Specific guidance about personal interview questions, also known as Warner interviewing (see Appendix A for further information) o Clear guidance about the disciplinary consequences for noncompliance with policy. o Job descriptions and person specifications 2.1.2. Before the job is even advertised, managers should consider: o The behaviours and competencies relevant to the post in question and which are required to support the safeguarding agenda o What are the expected professional standards required for this post o What are the behaviours or personal qualities someone with a responsible attitude towards safeguarding would have? o These behaviours and competencies need to be incorporated into the job description and person specification. In addition the safeguarding responsibilities and opportunities for contact with children should be made clear. 2.1.3. Advertising Any advertising should include: o A precise statement about the organisation's clear commitment to safeguarding so as to immediately begin to deter unsuitable candidates o Confirmation that a criminal record disclosure will be undertaken o Confirmation that the post is exempt from the Rehabilitation of Offenders legislation 2.1.4. Information packs for candidates o The job description and person specification should be provided to each applicant with: [x] The organisation's safeguarding policies [x] Details of the selection process [x] A clear statement that an application form should be completed (and that CVs will not be considered) 2.1.5. Shortlisting o Shortlisting should be undertaken by at least two people and it is highly recommended that at least one of these should have received safer recruitment training. o Shortlisting criteria must be applied equally and any gaps and inconsistencies should be identified for further exploration 2.1.6. References o A reference request template should be used to ensure consistency of information and to clearly identify any gaps o References should be sought directly from the referee o Open-ended, 'to whom it may concern' references are never accepted o Written references are subject to verification and should always be followed up verbally o If the post is being filled by an agency worker then the references should be checked by contacting the candidate's last place of employment o In particular, referees are asked specific questions in relation to the following: [x] The referee's perception of the individual's suitability to work with children and young people. [x] Whether they have any concerns about the candidate working with the particular client group [x] Whether they have any knowledge of the individual being personally subjected to any disciplinary or any other HR processes 2.1.7. Interviewing o Wherever possible the process should include a range of selection tools which assess the applicant's interaction with others o Recruitment panels should normally be made up of the same two people who undertook the shortlisting. It is highly recommended that at least one has undertaken safeguarding training., and is fully committed and aware of the safeguarding agenda o Interviews should always be 'face to face', even if there is only one candidate. o Notes should be taken of the interview, and retained and destroyed only in accordance with the organisations local and national retention and destruction policies. o Interviews explore issues relating to the safeguarding of children and young people. The interviewers should: [x] Investigate any apparent sizeable gaps in the employment history to check for credible reasons [x] Explore concerns or discrepancies arising from the information provided by the candidate and/or their referee [x] Ask the candidate if they wish to declare anything in light of the requirement for them to undertake a Disclosure and Barring Service (DBS) check [x] Make use of 'personal interview questions when selecting staff who will work with children, and young people (See Appendix A for further information about personal interviews) [x] Ensure that the questions focus on what the applicants have actually done rather than what they have said in theory. o Hypothetical questions should be avoided o The interview process should also make use of children / young people recruitment panels as appropriate o Candidates should bring original documents to verify their identity, qualifications and to fulfill the right to work in the UK requirements o Candidates who have completed an online application must be asked to sign a hard copy of their application form to verify the accuracy of the information provided including the self disclosure of any criminal record 2.1.8. Employment Checks o When undertaking employment checks, proof of identification is obtained by referring to appropriate documentation. This is restricted to the scrutiny of original copies of either birth certificates, passports, driving licences or naturalisation certificates. No other documents are acceptable. o Professional registration for appropriate posts should also be checked o An appropriate level DBS check commensurate with the degree of contact with the vulnerable client base the job requires should be undertaken for each person appointed together with any additional checks appropriate to the organisation e.g: Independent Safeguarding Authority barred list checks and health checks o In exceptional circumstances it could be possible for a newly appointed worker to start work under supervision pending the receipt of a DBS check providing they have completed a clear self disclosure statement and a risk assessment has been undertaken and countersigned by the appropriate senior manager o Failure to receive an outcome from any checking process must be rigorously pursued and no employee should be confirmed in post until every one of the checks is in place and is acceptable. If a positive trace is returned on a DBS check then a positive trace risk assessment or similar process should be undertaken 2.2. Post-recruitment 2.2.1. Induction and probationary periods for workers should be thoroughly utilised to develop worker understanding and grounding in the safeguarding policies, ethos and culture. 2.2.2. Relevant organisations should use the Common Induction Standards 2.2.3. During the induction and throughout the probationary period, the worker must receive regular formal and informal supervision, and where applicable probationary review meetings in accordance with the organisation's supervision and probationary policies. 2.3. Training 2.3.1. Training to facilitate a sound understanding of key guidance and practices about safeguarding and child protection is mandatory and should be updated regularly and embedded in performance management systems. 2.3.2. Additional training with a specific focus on safeguarding should be undertaken by those who recruit staff; this should be regularly updated. 2.3.3. All relevant managers are accountable for evidencing that such training for themselves and their staff has been undertaken 2.3.4. Relevant training is mandatory for workers who do not have direct contact with children and young people but who do have access to information systems containing the details of these client groups 2.4. Safer Working Culture 2.4.1. A positive obligation for safeguarding children and young people is placed on all workers 2.4.2. Children and young people needs are paramount, they are listened to and any concerns in relation to their welfare are acted upon promptly 2.4.3. All workers are monitored by their line managers both in the probationary period and beyond to ensure that all staff comply with expected behaviours and attitudes that constitute best practice within individual agencies in relation to safeguarding 2.4.4. Such monitoring is evidenced through performance management and professional development arrangements such as training and appraisal systems 2.4.5. Job descriptions should be subject to regular review as demands require 2.5. Whistle-blowing and complaints 2.5.1. A rigorous whistle-blowing policy is in place to ensure that all concerns about staff conduct are reported and acted upon in a fair and timely manner 2.5.2. There is evidence that the whistle-blowing procedure is being used appropriately to improve outcomes 2.5.3. An accessible complaints procedure is in place for service users to raise concerns 2.5.4. There is evidence that complaints are fully investigated and recorded accurately. 2.6 Allegations 2.6.1 Each organisation should have a separate allegations policy which is available to all staff volunteers and service users 2.6.2 Each organisation should have a Nominated Senior Officer to whom any allegation against a member of staff or volunteer must be reported without delay. 2.6.3 The Nominated Senior Officer will then consult with the Local Authority Designated Officer (LADO) adhere to the relevant procedures set out in the Local Safeguarding Children's Board Procedures and agree any further action including information sharing. 2.6.4 The organisation will not investigate an allegation, advise the member of staff or interview children until consultation has taken place with the LADO as doing so may compromise any police investigation 2.6.5 The organisation will ensure that any disciplinary proceedings against staff relating to safeguarding matters are concluded in full even when the member of staff is no longer employed. Notification of any concerns will be made to the Disclosure and Barring Service and any other relevant professional bodies and included in references where applicable. This notification responsibility will apply if the organisation ceases to use the services of an agency worker or volunteer when there have been concerns as to unsuitability 2.7 Policies and Procedures 2.7.1 Managers are responsible for ensuring that all Human Resources and safer employment policies, procedures and practices are adhered to during the recruitment selection and training of staff 2.7.2 Appropriate disciplinary procedures in line with Human Resources policy should be applied where safeguarding measures are not strictly adhered to 2.7.3 There must be clear, appropriate and rigorously enforced policies and procedures in place concerning the transportation of children and young people , to ensure that safeguarding principles are strictly adhered to 2.7.4 Service providers who supply drivers for the transportation of these client groups are under a contractual obligation to provide drivers and escorts that are appropriately vetted; e.g. CRB checked 2.7.5 Guidance on safer working practices should be provided for each worker and includes clarity in relation to such areas as: o Non-routine events, such as school trips o Child injury/illness o Internet use (including social networking/blog sites such as MySpace, Bebo, Twitter, Facebook and Google+) and mobile phones o The use, supervision and handling of text and photographic media. 2.7.6 Workers should sign a statement to signify their understanding and compliance with the safe working practice guidance 2.7.7 Workers should be clear about the requirement to disclose any personal information which may have an impact on their ability to meet their safeguarding responsibilities 2.8 Monitoring Systems 2.8.1 Monitoring systems and quality assurance are embedded to ensure that policy is followed through into practice. 2.8.2 Formal audits of sufficient quality and quantity should be conducted regularly, allowing ample time for improvements to be made post audit, with results recorded and reported effectively 2.8.3 Managers must monitor the day to day work environment 2.8.4 Workers must demonstrate their commitment to providing a protective environment for children and young people. For example, they monitor the supervision of children and young people and demonstrate good practice in relation to physical contact with children and young people Acknowledgement Full acknowledgements and thanks are hereby made to Mary Palazzo from whose work these standards were derived and adapted. Bibliography Guidance for Safer Working Practice For Adults Who Work With Children and Young People, 2009 Edition, Government Office for the English Regions, s.l: GONW Safeguarding Children and Safer Recruitment in Education, 2006, London: HMSO Appendix A Criteria for Personal (aka Warner) Interviewing Personal interviews, also known as Warner interviews, have typically been used, alongside the formal interview, in residential social care settings. The mandate for this type of interview came from 'Choosing with Care: The report of the Committee of Inquiry into Selection, Development and Management of Staff in Children's Homes' (Warner, 1992). According to Lord Warner, preliminary interviews can be seen as a 'less structured and more informal process than the final interview'. (Choosing with Care Chapter 4 Selecting Staff para 4.37) Warner recommended that employers should undertake a 'preliminary interview' to ask questions that would probe candidates about their personal life, attitudes and motivations in order to establish a fuller picture of the character of the applicant and their suitability to work with the client group. Warner considered that any concerns about the infringement of equal opportunities on the grounds that different questions are asked of different candidates, are misplaced. He goes so far as to say that an employer could be considered to be negligent in not making use of a preliminary interview to explore sensitive personal issues to assess the suitability of a candidate to work with children. He goes on to propound that large interview panels are unsuited to undertaking such a task. Proper staff training for those undertaking preliminary interviews is essential. 'The aim should be to achieve a full and rounded picture of the candidate, providing more detailed and complete information than is possible with the traditional application form - interview system.' (Choosing With Care as above para 4.5) Warner recognised that the 'exploration of personal issues or spontaneous follow-up questions are seen as difficult by some employers, particularly local authorities' (Choosing with Care Chap 4 Selecting Staff para. 4.3) Nevertheless it is important that questions are focussed around attitudes to control and punishment of children and the stability of the candidates' emotional and sexual relationships. The questions asked at a pre-interview session should be on a one-to-one basis with the interviewer and the candidate. Ideally, the process will also enable candidates to have a full understanding of the requirements of the post and its complexities. The purpose of the preliminary interview is twofold: to explore questions which may have been raised by any of the early selection and recruitment processes such as the application form and/or references and to consider questions which are more difficult to address in the formal interview setting. For example, issues around sexual relationships should be included as part of this process so that the extent to which a candidate's character is strong enough to resist sexual temptation from children in their care is tested. It can also provide information about whether their sexual interests might cause them to pursue sexual relationships with children for their own gratification. As part of preliminary interview process, the emotional stability of the candidate as well as the stability of their sexual relationships will need to be explored. Motivation to work with children as well as attitudes to power and authority should also be looked into. '…assessment of candidates should be capable of considering the ability to contribute to the social, emotional, physical and spiritual needs of children and … the methods used should focus on the values of staff, their commitment to working within and contributing to a team, their ability to work with others, including parents, and their self-confidence as people.' (Choosing with Care, 1992, Chapter 4, Selecting Staff para. 4.2) Organisations that employ staff to work with children are best placed to determine who within their organisations should conduct such interviews. In order for the interviews to remain informal, they should be carried out by no more than two people. Written records of the interview should be made and shared with those making the final decision to appoint. The following specific criteria should be applied when considering whether or not a particular post should carry a requirement for a personal or Warner interview: The post requires the post-holder to work with highly vulnerable children, for example: - Looked After Children; - Disabled children (who may have intimate care needs) - Children who are at potential risk of significant harm; - Children who are excluded from school - Sick children - Children who live away from home Posts where staff work with children in vulnerable situations and where they have sole care or responsibility for a child or group of children. For example: - Staff who supervise children on activities away from home such as residential trips - Peripatetic professionals who work on a one to one basis with children without being supervised during such work Any candidate who has had information disclosed about them as part of the CRB process. Post-holders, who as part of their job description, will work with abusive images of children on the internet, for example: Police Officers who work in special units, auditors of IT systems, Police forensic computer examiners. Appendix B Contacts Cambridgeshire LADO ………………………………………… Peterborough LADO ………..………………………………..
PLACEMENT OF PhD THESIS FOR PEER REVIEW 1. Mr. Atif Ali, Regd. No. 2007-ag-2497, PhD student of the Department of Plant Breeding and Genetics will place his PhD thesis entitled "Breeding potential for high yield and Fe/Zn biofortification in Wheat" for peer review in the Library, Department of Plant Breeding and Genetics from 30-05-2018 for one week. The faculty and the students are invited to peruse the thesis for any correction and improvement please. 2. PhD thesis of Miss Iqra Khalid, Regd. No. 2010-ag-1576 will be placed in the office of the Chairman, Department of Chemistry for one week 29-05-2018 to 05-06-2018 prior its submission for foreign evaluation. The faculty and the students are invited to peruse the thesis for any suggestions/corrections. The suggestions received if any will be incorporated through the supervisory committee. Title: "Synthesis and Biological Evaluation of Cyanuric Chloride Derivatives through Suzuki-Miyaura Reactions". 3. PhD thesis of Miss Naila Fatima Zubair, Regd. No. 2008-ag-804, will be placed in the office of the Chairman, Department of Chemistry for one week 29-05-2018 to 05-06-2018 prior its submission for foreign evaluation. The faculty and the students are invited to peruse the thesis for any suggestions/corrections. The suggestions received if any will be incorporated through the supervisory committee. Title: "Fabrication of Grapheme Metal Nano Composite and its Applications". 4. PhD thesis of Miss Zunaira Mubeen, Regd. No. 2013-ag-34, will be placed in the office of the Chairman, Department of Chemistry for one week 29-05-2018 to 05-06-2018 prior its submission for foreign evaluation. The faculty and the students are invited to peruse the thesis for any suggestions/corrections. The suggestions received if any will be incorporated through the supervisory committee. Title: "Determination of Polycyclic Aromatic Hydrocarbons (PAHs) in Two Varieties of Chicken by Different Methods and Their Reduction Strategies". 5. The PhD thesis of Mr. Muhammad Saad Qureshi, Regd. No. 2013-ag-1074, PhD student of the Institute of Horticultural Sciences, UAF will be placed in Director's office w.e.f. 01-06-2018 to 07-062018. The title of his thesis is "Characterization and evaluation of olive (Olea europea L.) diversity in Potohar Region (Salt Range) of Pakistan". All academic staff/students are welcomed to read/consult and give suggestions so that thesis will be improved accordingly with incorporation of these suggestions. 6. The PhD thesis of Mr. Muhammad Tahir Akram, Regd. No. 2008-ag-2473, PhD student of the Institute of Horticultural Sciences, UAF, will be placed in Director's office w.e.f. 01-06-2018 to 07-062018. The title of his thesis is "Characterization and evaluation of grapes (Vitis vinifera L.) diversity in Potohar Region of Pakistan". All academic staff/students are welcomed to read/consult and given suggestions so that thesis will be improved accordingly with incorporation of these suggestions. 7. Thesis of Mr. Ahsan Naveed, Regd. No. 2008-ag-2901, a PhD scholar from Institute of Microbiology is placed in the office of Director, Institute of Microbiology for peer review from 29-05-2018 for one week. The title of his thesis is "Study on the immunoprophylactic potential of anti-idiotype foot and mouth disease vaccine". The faculty and students are invited to peruse the thesis for any suggestions and improvements please. 8. PhD thesis of Miss Ambreen Rafiq, Regd. No. 2014-ag-2852, will be placed in the office of the Chairman, Department of Chemistry for one week 29-05-2018 to 05-06-2018 prior its submission for foreign evaluation. The faculty and the students are invited to peruse the thesis for any suggestions/corrections. The suggestions received if any will be incorporated through the supervisory committee. Title: "Tailoring and solar photocatalytic application of intrinsic, doped and composite nano metal oxides". 9. PhD thesis of Miss Nafisa Younas, Regd. No. 2011-ag-664 will be placed in the office of the Chairman, Department of Chemistry for one week 29-05-2018 to 05-06-2018 prior its submission for foreign evaluation. The faculty and the students are invited to peruse the thesis for any suggestions/corrections. The suggestions received if any will be incorporated through the supervisory committee. Title: "Solubilization of Cu, Co and Ni complexes by micellar solutions and emulsion". PhD THESIS/SYNOPSIS DEFENSE 1. Miss Naila Farooq, Regd. No. 2012-ag-1518, PhD student of the Institute of Soil and Environmental Sciences will defend her thesis in a seminar at the University level on 08-06-2018 at 09:00 am in the video conference room, Institute of Soil and Environmental Sciences. The title of her thesis is "Phosphorus mobilization efficacy of organic amendments under different moisture regimes in wheatmaize rotation". All the faculty members are requested to attend the presentation. 2. Mr. Sami Ullah, Regd. No. 2003-ag-716, PhD (Statistics) Scholar Department of Mathematics and Statistics will defend his synopsis titled "Algorithm for the construction of Optimal Incomplete Block Designs" on 31-05-2018 at 10:00 am in computer lab of Department of Mathematics and Statistics. All interested are invited to attend. 3. Mr. Muhammad Arslan Bhatti, Regd. No. 2010-ag-1056, PhD (Statistics) Scholar Department of Mathematics and Statistics will defend his synopsis titled "The reliability and capability analysis under weighted transmuted distributions" on 31-05-2018 at 10:00 am in computer lab of Department of Mathematics and Statistics. All interested are invited to attend. 4. Mr. Taswar Iqbal, Regd. No. 2014-ag-8201, PhD (Statistics) Scholar Department of Mathematics and Statistics will defend his synopsis titled "Comparative Study of Classical and Bayesian Estimation of Parameters for Mixture Weighted Distributions" on 31-05-2018 at 10:00 am in computer lab of Department of Mathematics and Statistics. All interested are invited to attend. 5. Ms. Farah Naz, Regd. No. 2017-ag-5226, a PhD student of the Department of Rural Sociology has successfully defended her synopsis entitled "Behavioral and Competence Issues of Hepatologists A Study of Hepatitis Patients in Public Sector Health Providing Institutions in Rural Punjab, Pakistan" on 23-05-2018. 6. Ms. Zeba Andleeb, Regd. No. 2017-ag-3727, a PhD student of the Department of Rural Sociology has successfully defended her synopsis entitled "Socio-Cultural Determinants of Women Empowerment in Rural Punjab, Pakistan" on 15-05-2018. 7. Mr. Waseem Iqbal, Regd. No. 2010-ag-2703, PhD student of the Institute of Horticultural Sciences has successfully defended his synopsis in a seminar held on 15-05-2018. The title of his synopsis is "Integrated approaches for augmenting production capacity and nutritional profiles of broccoli (Brassica oleracea L.)". 8. Mr. Rashid Iqbal Khan, Regd. No. 2010-ag-3535, PhD student of the Institute of Horticultural Sciences has successfully defended his synopsis in a seminar held on 15-05-2018. The title of his synopsis is "Study of Botanical to manage early blight disease caused by Alternatia solani in Tomato". 9. Mr. Fraz Ahmad, Regd. No. 2010-ag-2288, PhD student in the Department of Farm Machinery and Power, Faculty of Agricultural Engineering and Technology, UAF has successfully defended his PhD synopsis on 10-05-2018. The title of his synopsis is "Development and Performance Evaluation of Indigenized Trash Free Self-Propelled Cotton-Picking Machine". 10. Mr. Zia-ur-Rahman Farooqi, Regd. No. 2010-ag-2600, PhD student of the Institute of Soil and Environmental Sciences has successfully defended his synopsis in a seminar at the University level on 06-04-2018. The title of his synopsis is "Estimation and Improvement of carbon sequestration potential in marginally salt-affected soil using organic amendments". 11. Mr. Nukshab Zeeshan, Regd. No. 2010-ag-3462, PhD student of the Institute of Soil and Environmental Sciences has successfully defended his synopsis in a seminar at the University level on 06-04-2018. The title of his synopsis is "Atmospheric pollution and its risk assessment to soil and plant quality and human health". 12. Miss Humaira Iqbal, Regd. No. 2013-ag-95, PhD Chemistry student of the Department of Chemistry has successfully defended her synopsis titled "Mechanism Based Study of Urease and Nitrification Enzymes Suppression by Different Inhibitors" as required under the rules on 03-05-2018. This topic has been modified with minor alterations in response to suggestions given during synopsis defense as "Mechanism based study of various inhibitors interactions with active site of urease and nitrification enzymes". 13. Mr. Adeel Sarfraz, Regd. No. 2004-ag-1576, student of PhD (Anatomy) at Department of Anatomy, UAF, has successfully defended his PhD synopsis entitled "The Amniotic Membrane Derived Mesenchymal Stem Cells and Platelet Rich Plasma-A Potential Source for In Vitro Endometrial Stromal Cells Proliferation in Buffalo (Bubalus bubalis)" on 15-05-2018. 14. Mr. Saddam Hussain, Regd. No. 2010-ag-2327, PhD student in the Department of Irrigation and Drainage, Faculty of Agricultural Engineering and Technology, UAF has successfully defended his PhD synopsis on 16-05-2018. The title of his synopsis is "Improved Surveillance of Moisture Stress and Crop Health Using Remote Sensing and Modeling Approaches". 15. Miss Zainab Jaffar, Regd. No. 2012-ag-645, PhD student Department of Botany has successfully defended her synopsis on 16-05-2018. The title of her synopsis is "Exogenous application of alphatocopherol in modulation of drought stress on maize (Zea mays L.)". 16. Miss Iqra Iftikhar, Regd. No. 2013-ag-1392, PhD student Department of Botany has successfully defended her synopsis on 16-05-2018. The title of her synopsis is "Strigolactone (GR24) induced responses in maize (Zea mays L.) under saline conditions". 17. Miss Nazoora Mujahid, Regd. No. 2015-ag-201, PhD student, Department of Botany has successfully defended her synopsis on 16-05-2018. The title of her synopsis is "Strigolactone (GR24) induced alteration in morpho-physiological, biochemical and yield attributes of ajwain (Trachyspermum ammi L.) under salt stress". 18. Mr. Muhammad Asghar, Regd. No. 2009-ag-2828, a PhD student of the Institute of Agricultural Extension & Rural Development has successfully defended his synopsis entitled "Role of National Farm Guide Movement in Agricultural Information Dissemination in North Punjab, Pakistan" on 04-052018. 19. Mr. Muhammad Asghar, Regd. No. 2009-ag-2828, a PhD student of the Institute of Agricultural Extension & Rural Development has successfully defended his synopsis entitled "Role of National Farm Guide Movement in Agricultural Information Dissemination in North Punjab, Pakistan" on 04-052018. 20. Mr. Muhammad Jawad Saleem, Regd. No. 2010-ag-545, a PhD student of Department of Entomology has successfully defended his PhD thesis on 25-05-2018. The title of his PhD thesis is "Geographic variation of Helicoverpa armigera (Hubner) (Lepidoptera: Noctuidae) susceptibility to Cry toxins in Bt cotton, in Punjab Pakistan". 21. Miss Sobia Riaz, Regd. No. 2014-ag-9406, PhD student of the Institute of Soil and Environmental Sciences has successfully defended her synopsis in a seminar at the University level on 27-04-2018. The title of her synopsis is "Arsenic stabilization in contaminated soil using organic and inorganic amendments for production of safe rice". 22. Miss Aqsa Hanif, Regd. No. 2017-ag-3724, PhD student, Department of Botany has successfully defended her synopsis on 16-05-2018. The title of her synopsis is "Physiological characterization and assessment of anti-cancer potential of Nepeta faassenii". 23. Mr. Arslan Hafeez, Regd. No. 2015-ag-1407, PhD student, Department of Botany has successfully defended his synopsis on 15-05-2018. The title of his synopsis is "Physiochemical and molecular evaluation of oil seed rape (Brassica napus L.) in response to Aphid infestation and salinity stress". 24. Miss Ayesha Ghaffar, Regd. No. 2015-ag-501, PhD student, Department of Botany has successfully defended her synopsis on 15-05-2018. The title of her synopsis is "Physiological characterization and QTL mapping for drought tolerance in wheat (Triticum aestivum L.)". 25. Mr. Fayyaz Ahmad, Regd. No. 2015-ag-1306, PhD student, Department of Botany has successfully defended his synopsis on 15-05-2018. The title of his synopsis is "Physiochemical and molecular defense response of wheat (Triticum aestivum L.) against aphid infestation". 26. Mr. Muhammad Waseem, Regd. No. 2010-ag-3612, PhD student of the Institute of Horticultural Sciences has successfully defended his synopsis in a seminar held on 16-05-2018. The title of his synopsis is "Identification of quality related QTLs and association mapping in Date Palm (Phoenix dactylifera L.)". 27. Miss Zarghona Siddique, Regd. No. 2011-ag-3401, PhD student of the Institute of Horticultural Sciences has successfully defended her synopsis in a seminar held on 11-05-2018. The title of her synopsis is "Potential of combined application of ultrasound and ozone in improving food safety and quality of selected fruits and vegetables". 28. Ms. Syeda Anum Masood Bokhari, Regd. No. 2015-ag-428, PhD student of the Institute of Horticultural Sciences has successfully defended her synopsis in a seminar held on 16-05-2018. The title of her synopsis is "Morpho-physiological, Biochemical and Genetic Characterization of Polypoloid Germplasm in Guava (Psidium guajava L.)". 29. Mr. Muhammad Awais Rana, Regd. No. 2011-ag-4026, PhD student of the Institute of Horticultural Sciences has successfully defended his synopsis in a seminar held on 16-05-2018. The title of his synopsis is "Morpho-physiological, Biochemical and Genetic Characterization of Mutant Germplasm in Grapefruit (Citrus paradis i Macf.)". CORRIGENDUM With reference to the Auction Notice published in Campus News Vol No. 6024 dated 17-04-2018, the following may read as under: "Open Auction of 14 tons maize grain at Rakh Bhulewal Research Farm, Haveli Lakha will be held on 31-05-2018" other terms and condition will remain the same. QUOTATIONS 1. Sealed quotations are invited from the interested parties for renting out space for photocopying business in the Department of Library, UAF for the year 2018-19. Application/sealed quotations should reach in the office of the Department of Library within 7 days after the publication of this notice. The bidder will submit a bank draft of Rs. 20,000/- as mount of surety in the name of PO (Library), UAF which is refundable if quotation is not approved. If qualified bidder is not starting business according to the terms and conditions within the stipulated period the amount of surety will be forfeited in favour of UAF. Terms and conditions and other details can be seen in the office during working hours. The committee reserves the right to accept or reject any offer without assigning any reason. 2. Quotations are invited for the purchase of chemicals and glassware for the research activities under the HEC funded SRGP project title "Seed Invigoration of quinoa by employing seed priming strategies" being run by Dr. Hassan Munir, PI of the project. List of chemicals and glassware can be had from the office of the PI in the Department of Agronomy, UAF during working hours. Quotations under sealed cover should reach the office of the PI within five days after the publication of this notice. Quotations received after due date and without seal will not be entertained. 3. Quotations are urgently invited from sale Tax Registered Suppliers for the purchase of Research Material. Quoataions should reach in the office of New CAS Building PI "CRISPR/Cas9 based Genome editing" CAS-AFS, Project, UAF within 7 days after the publication of this notice. Detail can be seen in the office of the PI in office hours. The estimated cost Rs. 100,000/-. TENDER NOTICE Sealed tenders are invited from the firms/contractors registered/enlisted with the UAF for the following works at UAF on items rate/ the percentage rate circulated by the Finance Department Government of the Punjab as per PPRA rules. Last date for the purchase of tender Documents: 31-05-2018. Date of receiving and opening on 01-06-2018 at 11:00 am to 11:30 am. \| Name of Work \| Amount (Rs.) \| Bid Security @ 2% of estimated cost \| \|---\|---\|---\| \| Repair and Renovation work to House No. 05 Bilal Colony, UAF. \| 60,000/- \| 1,200/- \| \| Repair and Renovation work to House No. 04 Bilal Colony, UAF. \| 60,000/- \| 1,200/- \| \| Repair and Maintenance of House No. 14 Lalazar Colony, UAF. \| 80,000/- \| 1,600/- \| \| Repair and Renovation of Residential Building at T.T Singh. \| 59,227/- \| 1,185/- \| Tender documents can be obtained from the office of the Executive Engineer, (ECD-M) UAF against written request accompanied with attested copy of enlistment/ up to date renewal letter and fee receipt valid P.E.C license up to 31-12-2018 (If required). Authority letter on pad form of contractor/firm, identity card of contractor/managing partner of the firm, registered partnership deed with power of attorney, and on payment of prescribed tender fee into the account No. 11-9/NBP, UAF Branch. 2. Tender rate and amount should be filled in figure as well as in words and tender should be signed as per general direction in the tender documents. 3. Tempered tender or sent by post will not be entertained. 4. No conditional tender or tender without bid security @ 2% of tender cost in shape of deposit at call of any schedule bank and attested copy of registered partnership and power of attorney in case of firm will be entertained. 5. The Executive Engineer, (ECD-M) reserves the right to reject all tenders at any time prior to acceptance. The concerned contractor shall be communicated the ground of its rejection but it is not required to justify the ground of rejection.
Richard Sanham (1815-95): Dartford Builder and Local Politician Richard Sanham was born in Dartford in 1815. He was the fifth of eleven children (two boys and nine girls) born to James and Martha Sanham. James Sanham was a builder who died in December 1831, aged 49. He was buried 1 in what was then Dartford's burial ground and is now called St Edmund's Pleasance. The 1838 Tithe List shows James Sanham (Richard's elder brother) as the owner of "2 Houses, 11 Cottages, Carpenters Shop, Yards, and Buildings formerly Bucks Malthouse". These were properties in St James Place, which contained a row of ten houses on the north side of Spital Street, at right angles to it and starting next to the Royal Oak Inn. Only the house adjacent to the Royal Oak survives – with a sign that says "St James Place" on its side. The rest of the houses no longer exist and their site is now a car park. The 1841 census shows Martha Sanham, a widow aged 50, living in Spital Street, Dartford with her children James (30, a builder), Richard (25, a builder), Catherine (20), Rosetta (15) and Eliza (10). Ages in this census were rounded down to the nearest 5 years, so the figures quoted are not accurate. A poster 2 shows Richard Sanham, Spital Street as one of five Constables for the Parish of Dartford, sworn in 13 th April 1850. In addition there are four paid Constables listed, so presumably Richard was unpaid. This was before the establishment of the Kent County Constabulary in 1857. In 1851, the family consisted of Martha (60), James (40), Richard (36) and Rosetta (22) at 10 St James Place, Spital Street. Martha's occupation is given as "proprietor of houses." James and Richard are described as builders employing 10 men. There are properties listed with the address "Sanham's Yard" immediately after 10 St James Place in the 1851 census. This is where the Sanham building business operated from. Richard's brother James died in 1855 aged 44, leaving Richard as the only surviving male in the family. His sister Jane, who had married William Macrorie, died in 1859 aged 40. In 1861, Martha (76, a house proprietor) was living in Spital Street with Richard (46, a builder employing 9 men), Rosetta (30) and Eliza (28) Sanham. The house number is not given, but it was listed next to 10 St James Place. By 1871 Martha (88, income from rent), Richard (55, a builder employing 6 men), Rosetta (38) and Eliza (36) were living at 55 Spital Street. This is quite a large, three storied house on the corner of the entrance to St James Place. It was used as offices by Bailey & Goff, Solicitors between 1935 and 2005 but is now vacant. The access road to St James Place with the Royal Oak Inn on the left and 55 Spital Street on the right (2011) Martha died in 1878 aged 96 and was buried in East Hill Cemetery. In the 1881 census, Richard Sanham (65, a timber and slate merchant) was living at 55 Spital Street with his unmarried sisters Rosetta (51) and Eliza (49). I believe that Rosetta was actually 57 and Eliza was 55. Rosetta Sanham died in 1891. Richard died (unmarried) in 1895 aged 79 in Dartford. Both were buried in the family tomb in East Hill Cemetery. It is the largest tomb in the cemetery and is on the right as you head north along the main path from the cemetery gate. It is engraved as follows : West side Sacred / to the memory of / JANE / the beloved wife of / WILLIAM M[ACRORIE] Esq / of London and daughter of the / late Mr SANHAM of this parish / died September 12 th 1859 / aged 40 years / four illegible lines / ELIZABETH / daughter of the late / Mr JAMES SANHAM / who died May 28 th 1877 / aged 54 years / Jesus said weep not / MARTHA MARY SANHAM / wife of Mr JAMES SANHAM / of this parish / who died March 2 nd 1878, aged 96 years / "The Lord gave and the Lord hath taken / away; blessed be the name of the Lord" North side In / affectionate remembrance / of / MARTHA ROSE SANHAM / wife of JAMES MANDY / of Woolwich / who died May 22 nd 1880 / in the 31 st year of her age / "Thy will be done" / Also / LEONARD / infant son of JAMES and MARTHA R.S. MANDY / died the 15 th of July 1880, / aged 4 months / interred at Assington, Suffolk. / "Of such is the kingdom of God" South side In affectionate remembrance / of / ROSETTA SANHAM / daughter of the late / JAMES SANHAM / who died April 6 th 1891 / in her 60 th year / For ….. ….. his beloved / …. ….. …… / In affectionate remembrance / of / RICHARD SANHAM / younger son of the late / JAMES SANHAM / who died Dec 17 th 1895 / aged 79 years / At rest with his creator / The memory of the just / is blessed. East side In / affectionate remembrance / of / ELIZA SANHAM, / youngest daughter of the late / JAMES SANHAM / who died Feb 20 th 1902 / aged 76 years. / "Though lost to sight to memory dear." The Dartford Express, reporting Richard's death said "He was a good example of the vigorous and industrious tradesman. Originally a carpenter and undertaker, he paid strict and undivided attention to his business and rose steadily and of latter years was known as a successful builder." "It was but a year or so ago since he retired from his business, having amassed by then what, for men of his class of life, would be termed a considerable personalty (ie personal estate). He is said to have been of a generous nature, doing good by stealth to such an extent that numbers will miss him severely this Christmas." "Up to a year ago he had been a member of the old Local Board (the town council of Dartford) for between 30 and 40 years, and if not one of the most useful members, he was certainly one of the most conspicuous, and his name figured frequently with Mr J Cann in the discussions of that body." The West Kent Advertiser gave a somewhat less barbed description of his activities on the Local Board "He was too, a most popular member, always securing an easy return and not infrequently heading the poll. He was certainly not an ardent progressivist and not altogether disciplined to be captious (fond of raising objections), but he was undoubtedly a valuable member of the Board, took an active interest in parish matters, and his opinions carried much weight, being based on practical experience. He was a thoroughly independent and outspoken representative, on which account he attained great popularity in the constituency, especially amongst the working classes, being considered the champion of their interests." "Brusque in his manner and secluded in his habits, Mr Sanham's kindly nature was not generally understood." Probate on Richard's estate of £12,486 (equivalent to about £6M now 3 ) was granted to Eliza Sanham, spinster and John Northall, gentleman. His will, made in 1892, left £100 to John Northall for proving the will, £125 to his nephew James Lawday and £100 to niece Caroline Lawday, both children of his late sister Mary Ann (b1807). James Sanham Wilson, a son of his late sister Ann (b1814), got £500. Alfred Whatson, a son of his late sister Elizabeth (b1821), received £100. Richards's friend Joseph Thomas Millbourn (paper mill manager at Hawley, Kent) was left £100. His personal possessions and the income from his residuary estate went to his only surviving sister Eliza. On her death or marriage (she died in 1902), James Lawday received £2,500 plus 1 to 10 St James Place, 53 & 55 Spital Street, 1 to 3 East Hill as well as a shop and 8 cottages in Union Terrace, Crayford. Caroline Lawday got £2,500 plus 48 to 51 Fulwich Rd, 63 & 65 Lowfield St, 120 Dartford Road and 70 to 72 East Hill. James Wilson was left 126 Hythe St and nine cottages in Gas Lane, Dartford. Joseph Millbourn got 161, 165 and 175 Lowfield St. Richard was the owner of a substantial amount of property! Eliza Sanham left £500 in her will 4 to Holy Trinity Church, Dartford for a memorial to her brothers. It is on the south wall of the nave and reads "In / loving memory of / my dear brothers / James and Richard Sanham / of this parish. / James / who died 29 th January 1855 / aged 44 years. / Richard / who died 19 th December 1895 / aged 78 years. / "That they may rest from their labours." / This tablet was erected by their beloved sister Eliza Sanham." Probate records state that Richard Sanham's will was revoked in 1909, but give no explanation of the reason. The family tree of Richard Sanham can be found in the "sanham42" database on RootsWeb's WorldConnect Project website. Philip Taylor © 2011 Email : firstname.lastname@example.org References 1. Gravestone inscriptions for Dartford burial ground are recorded in The History and Antiquities of Dartford by Alfred Dunkin, 1844. 2. Crime and Poverty in Dartford by Peter W Boreham, Alison Arthur and Geoff H Porteus, 1995, page 13. 3. Calculated with respect to average earnings using the website "Measuring Worth" www.measuringworth.com/ukcompare/ 4. Death duty record at National Archives, Kew - folio 721 in IR 26/8400.
Face of an Angel A short story by James H Longmore John Johnson blinked the rain from his eyes and eased out a melancholy sigh. He was walking along the cheerless sea front arm in arm with his wife, Crystal who struggled to keep up as he strode along at his usual brisk pace; resting her chin low to her chest to keep the clinging rain out of her face. As he walked, John's mind serenaded him with an old Morrissey song he thought he'd forgotten after thirty years; something about trudging over wet sand and having your clothes stolen – a perfectly depressing song that seemed to fit his day to a tee. Squinting out to sea, John studied the foam topped waves that jostled their way inland to flop on the sodden sand, and tried to recall the happy childhood memories that their soothing sound usually conjured. He looked up at the gray, bloated clouds that rolled in from the chilled Atlantic to discharge a fine rain that found its way beneath even the most waterproofed clothing to leave a body icy and shivering. Mirrored beneath the swollen bellies of the low clouds, the sea rolled muddied and listless against the litterstrewn beach. Truth was, John had forgotten just how miserable Blackpool was at this time of the year; how the west coast of Northern England was miserable pretty much any time of the year, let alone mid-October. John surprised himself that in just forty-six years his mind had rose-tinted that minor fact. Even the famous tower – the poor man's Eiffel – had not been spared harassment from the nebulous mist that clung to its upper structures like myriad slumbering ghosts. But, despite its grim surroundings, John was uplifted a little to see that the Tower remained proud and erect against the cold, damp air; it reminded him of an elderly war veteran at a cenotaph. Down on the beach, deck chairs were piled up and hunkered down for the winter beneath flapping, green tarpaulin, and the optimistic purveyors of donkey rides sought shelter next to their shivering, sad-faced charges. Most of the beach front amenities were closed against the promised onslaught of winter, although many of the pubs and arcades remained open; there remained a workable clientele for those particular amusements all year round. John mused to himself that Addison would love all of this. His daughter was just entering her Goth phase, which John thought a little premature, but which Crystal had assured him it was all part of the girl's blossoming and her own way of dealing with her brother's death. As such, Addison loved the dark and disconsolate and that made John sad inside; his baby girl was metamorphosing from all things pink and Disney Princess to black bedroom walls with finger nails to match, and music that sounded like the sound track to a 1970's Dennis Wheatley movie. The last of Blackpool's bona fide holiday makers had retreated once school resumed and the cooler weather took a hold in September; smiling, wholesome families with two-point-four children and blue-collar careers who crowded the beach with SF50, noise and sand castles and frolicked in the sea no matter how frigid and murky it was. Those same carefree-for-two-weeks families filled the bed and breakfast establishments that were the backbone of the Blackpool economy; queued to see the end of pier variety shows, and merrily frittered away their hard-earned into the slot machines come evening time. Sadly, this late in the year, the town was almost exclusively the realm of drunken, raucous bachelor and bachelorette parties. As testimony to the nocturnal debauchery such soirees elicited, the gutters along the sea front road were awash with discarded novelty 'L' plates, lackluster plastic tiaras, tattered sashes – 'bride', 'official bridesmaid', 'mother of the bride' – and used condoms that clung to the curb stones like sickly, stranded jellyfish. This was John's first trip back to his native England since he'd moved to the States a dozen years ago; his wife's first trip anywhere out of her native Maryland – ever. Never ones to stray far from their homeland, the Americans. It was also their first vacation since Declan, who would have turned six come Christmas Day. It had been the thing of every parent's nightmares, the kind of occurrence that you don't believe that you could ever live through. One minute, little Declan Johnson had been happily playing upstairs with his big sister, the next, the heart-chilling thumpthump-thump as his small body bounced down the stairs. As quickly as that, John and Crystal's son was gone. Within the precious few seconds it had taken John and Crystal to get to him, Declan was already dead at the foot of the staircase and had looked for all the world like a crumpled, broken toy. His neck had twisted almost all the way around to face his back and there was a surprised look on the beautiful face that had always reminded John so much of Crystal. There had been very little blood – just the tiniest trickle from one nostril – nor any snapped limb bones. It had appeared to John as if he could have simply turned his boy's head back the right way around, patted him on the behind and sent him on his way to watch SpongeBob and the gang. Only, life isn't quite like that. Addison Johnson was a smart kid (as well as having the extra advantage of being a doe-eyed blonde and cute as a button) who knew full well that the safety gate at the top of the Johnson's precipitous stairs was supposed to be kept closed at all times for the safety of her sibling. Just that once, she'd forgotten to shut it behind her; a simple – but ultimately devastating – mistake. As distraught as they had been, it had been impossible for John and Crystal to lay the blame for such a tragic accident on a seven year old. So, the Johnsons had taken the easier route and blamed themselves. And each other. Most days, John managed to convince himself that he'd gotten over what had happened that fateful morning, and he figured Crystal was well on her way there too. But then there were the days that he knew that no, no he hadn't; there were some things in life you were never supposed to get over. He'd booked the trip to England without telling Crystal and had presented it to her in a way that made it impossible to say no. He'd paid for the tickets, organized the itinerary and enthused that she simply had to take the trip, especially when it included the wonderful place of his childhood vacations. Cold, miserable seaside resort holidays were, after all, as great a British tradition as the Queen and being polite. Crystal had agreed with some reluctance. They had been forced to leave Addison with Crystal's Mother as a last resort since their regular sitter had let them down at the last minute. That had been an inconvenience, for sure, but a freak gas explosion that levelled the poor girl's entire apartment complex and killed six people could hardly be considered Stacey the Sitter's fault. John and Crystal had decided not to tell Addison about the accident until they returned home, as their daughter had grown quite fond of Stacey. They'd briefed Crystal's Mom to keep her Granddaughter away from any news reports about the explosion, and about how Stacey's head still hadn't been found. The tragedy had brought back a whole slew of unhappy memories for the Johnsons but Crystal had conceded that yes, they probably were long overdue for some alone time. So, after a frantic last-minute scrabble to organize Crystal's passport – she'd never had/needed one – John had introduced his wife to the inimitable delights of Great Britain. Once they had visited with John's small family and handful of friends (the obligated part of their trip, as John referred to it), he'd driven her northwards to Blackpool, away from the cynical tourist trap that is the London Town that Americans love to visit and think they've seen all of England. Now, though, plodding through the litter-strewn streets and drizzling precipitation with his visibly fed-up wife, John had to admit that Blackpool had fared far better in his memory than it had in real life. Perhaps he'd have been better off leaving it there? "I'm sorry, babe," John said. He slipped an arm around Crystal's slim waist. "Not quite Disney World, is it?" He made with a light laugh. "It's okay, Hun," His wife's voice was muffled against her chest. "I wasn't expecting ninety-eight and hundred percent humidity." She returned John's laugh to let him know that all was well with Mrs. Johnson, despite outward appearances. "It's actually quite fascinating to see what you Brits consider a good vacation." "It doesn't rain all of the time," John protested, although he had to admit to himself that it pretty much did. "When the sun comes out, Blackpool is the best place in the world." He wasn't even convincing himself by this stage. "It's fine, sweetheart, honestly." Crystal turned her head to face him, intense blue eyes sparkling behind her rain-speckled spectacles, and a beautiful half-smile played on her lips. "This is part of what made the man I love." She kissed his nose. "And looking at those donkeys, it makes sense how come you wound up with that ex-wife of yours." They giggled together, and John was forced to admit that yes, at least one of the threadbare beasts huddled down on the beach did bear more than a passing resemblance to the first Mrs. Johnson. And John remembered all over again why he had fallen so helplessly in love with Crystal the very first time he'd laid eyes on her. John Johnson – hated that name, a product of unimaginative parents – had been on solo vacation in the US following a spectacularly messy divorce from the erstwhile, donkey-faced Mrs. Johnson. He was finishing up his trip with the East Coast, and it was on a chilled and drizzly day not a million miles away from this one that he'd bumped into his future second wife on the Chesapeake Bay. He'd made an emphatic vow never to remarry – ever – and meeting someone other than for a casual one or two night stand was the furthest from his agenda than one could have imagined when the fair-skinned, flame-haired Crystal Whitsell had blazed into his life. John had been on the guided tour around the Chesapeake Bay Decoy Museum, more to be indoors until the rain eased off than with an interest in how the locals lured ducks to their untimely death. John had cracked a joke about how the real museum was probably hiding in the reeds across the way which was sadly met with confused looks throughout the group; this, he chalked up to the whole Americans/lack of irony thing. There was, however, one exception to the stony-faced quiet, that being the aforementioned Ms. Whitsell. She'd laughed at his joke with such gusto that at first John had thought she was being ironic; but then she'd flashed him a smile that melted his heart and made his knees go weak. Cliché or no, it was love at first sight for John and, as it worked out, for Crystal too. John didn't return to the UK. He'd spent the remaining days of his vacation horizontal with Crystal in her ranch house bedroom, and when his two weeks were up, he'd simply married the gal and stayed Stateside. Hard to believe those twelve years had flown by so quickly since then. John had acclimatized nicely to life in America; enough to have formed a circle of good friends who all 'love the accent', to write cheque as 'check' and not get annoyed when the spellcheckers on his laptop and cell phone chastised him for stubbornly putting the u back where it belonged in color. "So." Crystal's loud sniffle broke John from his reverie. He could see that the end of his wife's pretty, button nose was beginning to run and glow red in the chilled air. "Are you going to feed me, or not?" "Seaside air making you hungry, my love?" He smiled. More like I'm freezing my balls off." Crystal returned the smile. "But you don't have–" "Exactly." Crystal gave her husband a playful elbow in the ribs. They giggled together like a couple of love struck teens; the familiar pattern of an old joke shared lifting their spirits. John then realized that he was hungry too. Most likely the power of suggestion, married to the fact that they had missed breakfast at the bed and breakfast. The landlady, Mrs. Staniforth – a sharp-faced, humorless widow – was quite the stickler for punctuality and they'd stayed in bed an extra five minutes for a morning quickie. There was also the heavenly smell of hot cooking oil that wafted along the street and tugged on both his nostalgia and his taste buds. "Remember I promised you traditional British food?" John asked. "Well, it doesn't come any better than Blackpool fish and chips." He grinned at his wife. "Sounds good to me." Crystal sniffed the air and the scent of frying food made her mouth water. "As long as we can sit down, my feet are killing me." She'd seen people walking around eating from what appeared to be old newspapers and she really didn't fancy that much. John promised her that they could sit down, and led her towards the door of a fish and chip restaurant which stood invitingly open a few short steps away. The restaurant was imaginatively named The Fish Plaice, which was a common, supposedly witty play on the latter word. As Crystal would point out later, a plaice is a fish so the name boiled down to The Fish Fish and she failed to understand how that was supposed to work. Again with the American/irony thing. Once seated, Crystal took off her glasses and dried them off them with a rough paper napkin. "You really weren't joking when you said these places were no frills." Crystal eyed their table with its plastic tablecloth and old, tarnished Sheffield Steel flatware. She glanced at the take-out counter where a steady stream of damp, bedraggled people were buying steaming piles of fish and chips – French fries to her and her countrymen – that were bundled up in real newspaper. She shuddered to think of the countless health and safety implications of consuming newsprint. "I'm sorry, sweetheart; would you like to go someplace else?" there was disappointment in John's voice. "I think I saw a sushi place near the B and B." Crystal smiled that smile of hers that could light up the darkest of any situation. "Just teasing, babe, this is absolutely perfect." She reached out across the table and placed her freezing hand on top of his. "What can I get you?" a gruff voice broke their moment. John and Crystal looked up and were greeted by the unsmiling, lined face that belonged to their waitress, the only waitress in the place (Plaice?). John found himself eye level with her unfeasibly large, sagging breasts and name badge that read 'oris'. "The D wore off," the woman pre-empted John's question. "And Mr. Patel won't replace it until next season." She offered a half smile and tapped her order pad with a stubby pencil to signal the end of their chit-chat. "I'd like the fish and chips and a cup of tea, please," Crystal spoke up and her accent and ever-sunny disposition brightened even Doris's dour countenance some. Was that the trace of a smile on the old girl's lips? "And for me, too," John added. "Peas?" Doris growled. "Yes please." Crystal replied. Doris snorted and looked down her nose at the American. John allowed himself a smile, it was kind of fun to see his wife on the receiving end of what he put up with on her home turf. It had been the longest time before he'd quit saying alumin-i-um and asking for chips with his food and getting a packet of Lays. "Boiled or mushy?" Doris asked and glanced at John. Was that a raised eyebrow? "Mushy," John chimed in, not accustomed to ordering food for his wife. "You'll love them, my dear," he added upon seeing Crystal's grimace. Doris nodded and stomped off, as if customers ordering food just about ruined her day, every day. Crystal had learned the hard way to mistrust her husband over weird British delicacies after the black pudding incident two nights previous. John had not disclosed that the main ingredient was pig's blood until after she'd eaten a belly full and declared it delicious. "Ooh, look!" Crystal exclaimed, peering through the greasy, rain spattered window. "They have a palmist's." John was careful not to show his exasperation. One roll of the eyes or a wistful sigh was all it would take to break the amicable mood they were enjoying. Crystal's obsession with all things otherworldly had begun with a psychic reading when Addison had been running around in diapers, and had reached fever pitch after their son's death. More recently, Crystal had either calmed down with the whole thing, or had gotten better at hiding it from her husband who she knew to be – at the very least – sceptical. Crystal had always been a believer, the more spiritual of the two of them. She'd never embraced conventional religion like those Bible-thumping, praise-be-to-Jesus types she'd grown up with, but she was in tune with the new age spiritualism movement and firmly believed in 'there must be something after we die'. So much so that Crystal habitually paid visits to palm readers, psychics, tarot readers and the rest, as if searching for answers to questions she didn't yet know how to ask. She'd kept the recording of her first reading. So old now that it was on a cassette tape and John had had to scour the local thrift stores for one of those old-style player/recorders just so she could listen – and re-listen ad infinitum – to it. She'd even insisted that John hear it at least the once. To be fair to the psychic guy on the cassette, he was quite obviously very good at what he did. He'd nailed most of Crystal's particulars without giving away the fact that he was doing what all mentalists did well – reading her body language whilst feeding her the usual loaded questions. He'd managed a spot-on guess about the Johnson kids, although it was probably not too difficult to guess that a married woman of a certain age would most likely have children, but to get the gender and ages exactly right? John had been forced to admit that appeared to be more that just a stroke of good luck on the psychic's part. After hitting that nail on the head though, the guy on the tape went down in John's estimation. You have a daughter. A fifty percent chance of getting that one right. She has the face of an angel. What parent doesn't think their little Princess is just the cutest thing on God's green Earth? And the mind of a devil. Wait, What!? Who the hell says that to a parent? Sure, Addison had all the makings of being a handful; she was already ruling the roost with her manipulative, at times petulant behavior. But then again, what little girl didn't? The reading had ended abruptly after that, and Crystal had never made her husband listen to the recording again, never even mentioned it, although John knew that she still played it from time to time. After that reading, John thought that Crystal had seemed different around her daughter. It was a subtle change that John had hoped only he – and not Addison – could pick up on, and on occasion he would catch the feeling that in some way, his wife was wary of the girl. "Two fish and chips." Doris plonked the utilitarian, white plates in front of the Johnsons. "If you want a bap instead of bread, it's a pound extra," She grumbled. "Each." John assured the dour waitress that no, they wouldn't be requiring baps, whilst suppressing a smirk at the word for bread bun that his childish generation had hijacked as a euphemism for breasts. "Can we go?" Crystal asked her husband. "After we've finished eating – this." She peered down at the thickly battered fish and mountain of fries before her as if it had just beamed down from some alien mother ship. She poked her fork at the spreading puddle of mushy peas that soaked into her fish and looked like lumpy snot or something Linda Blair threw up. "I'd love for us both to have a reading." "I can't see why not," John was truthful here. With all the best will in the world, he genuinely couldn't think of an excuse not to visit the palmist across the street, as much as he detested the idea. Crystal had him cornered. "Awesome." She smiled, and John was pleased to have made his wife happy, even if it was only because he had no other choice. John peered with some trepidation across the road at the palmist's gaudy shop front, hoping against hope that it would be closed for off-season. But no, the garish, red and yellow neon sign that declared Palm's Read, tarot, fortune's told shone bright and illiterate through the drizzle. Above the flickering neon, a fading, hand painted sign declared; Gypsy Rose. Really? There was a small, grubby window adjacent to the narrow doorway. It was adorned with frayed, crocheted silk curtains which thus completed the cliché that had been a seaside town staple since the mid eighteen-hundreds. Yet one more way of extracting money from gullible holiday makers on their way to the pubs, slot machines and bingo. John dug into his food like a workhouse kid. As he shovelled the greasy fare into his mouth, he tried to conceal the initial disappointment that the fish was a flat, bland fillet of haddock and not the thick, flaky cod of his childhood – hadn't he read that cod were on the endangered species list now? Even so, it did taste good sprinkled with salt, swimming in malt vinegar and nostalgia, accompanied by soft, doughy bread and mushy peas. "This reminds me of that dip at Charlotte's wedding," Crystal ventured. "I thought that was guacamole, too." She held a small sample of the green mush to her mouth and gave it a tentative prod with her tongue. God only knew what the stuff at her sister's wedding reception had been, but it was neither peas nor guacamole; although John was surprised that his wife had remembered a small detail such as the dip over the embarrassment of the ceremony itself. It had been an ostentatious church wedding, despite the fact that it was Charlotte Whitsell's second marriage. Daddy, it turned out, was good friends with Reverend Hopkins and had pledged the equivalent of a hospital wing to the Church's Restoration Fund. John had not wanted to take the children in the first place – Addison had just turned four, Declan one – because he had plans to get hopelessly drunk at the free bar during the lavish country club reception. Sadly, he'd been overruled by Crystal who had informed him that Charlotte had absolutely insisted the kids attend. The ceremony had begun by the time they'd taken their pew – last minute diaper change in the car – behind Crystal's Mom and her ginormous hat (John remembered pondering over just how many birds had died to decorate that hideous millinery – and had even started to count the feathers in order to make the calculation) when Addison had begun to grizzle. Crystal had tried everything in her power to placate the girl, even the dreaded, last resort pacifier she'd not had since she turned three, but the low growl of her daughter's grizzling had quickly degenerated into a full-blown wail. John would remember vividly to his dying day the marrow-chilling looks from everyone in the church as his daughter's loud screams echoed around the high, vaulted ceilings. It had felt to him like two hundred people – the normally serene and mild mannered Reverend Hopkins included – were willing him and his family to just curl up and die. Then Addison had thrown up. Not only on Crystal, but down the back of the mother of the bride and all over the poor unfortunates who sat either side of the woman. Of course, Crystal and John had been mortified beyond comprehension at Addison's display; by the sound of the unworldly, guttural screams that came out of their daughter, one would have expected her to have projectile vomited pea green soup. But no, it was half-digested, rancid milk that stank like death and the Denny's pancakes Addison had wolfed down for breakfast. The Reverend Hopkins, who was on his way over to ask – no doubt most politely – that the Johnsons take their screaming child outside so he could continue with the wedding vows, caught some thick, gray vomit globs on his cassock and John had thought at the time that it looked as if Addison was aiming the stuff at him. Declan, thankfully, had been far too young to be embarrassed by the episode, or even to remember it. John and Crystal had had no choice but to remove Addison from the church, and the ceremony itself was delayed an hour whilst Crystal's Mom changed outfits and the Reverend Hopkins slipped into non-vomit stained vestments. Addison had stopped crying almost as soon as they stepped out of the church and into the spring sunshine, much to the relief of John's frayed nerves. He'd driven Crystal and the kids back to the hotel where they'd washed up, changed clothes and decided to sit the ceremony out and plan their apologies for the evening reception. As it turned out, John and Crystal's shame amongst the Whitsell family had been fairly short lived as Charlotte's marriage hadn't actually lasted all that long; what with New Hubby doing jail time for beating the crap out of his bride on their honeymoon. Charlotte had been left severely brain damaged and with matching detached retinas by her husband's uncharacteristic and – as far as the police could tell – unprovoked attack. To this day, the poor woman wiled away her days in a private clinic muttering quietly to herself about the dark, sinister things that skulked in the periphery of what remained of her vision. With hindsight, and a not immeasurable amount of cynical superstition, Addison's outburst in the church had seemed to John to have been a portent of sorts, almost like a black cat crossing one's path, or the unfortunate sighting of a solitary magpie. So much so, in fact that when – due to an unfortunate oversight by the photographer – he and Crystal had received their copy of the wedding album, John had half expected to see unpleasant, otherworldly things lurking in the background of the pictures. But no, just happy, smiling faces oblivious to the impending fate of the happy couple. And Addison's angry, screaming face in the cool gloom of the church. "Yeah, what was that stuff?" John asked. "It tasted worse that Addison's throwup." He grinned at Crystal and saw the familiar – and much loved – wrinkles at the corners of his wife's infinitely kissable mouth. "You know I don't like to think about Charlotte's wedding," she replied. "I've never been so embarrassed in my entire life." That smile again. "Although it did stop my parents talking to me for three years, the pretentious asses." John reached over the table and held his wife's hand. Crystal had only recommenced communications with her family after Declan had died. They ate in silence awhile, each lost in their own private thoughts. John studied his wife's reaction to the congealing pool of bright green peas that lurked upon her plate and it looked to him as if she was actually enjoying them. That or she was at least putting on the pretense of enjoying them. "We should check in with home," Crystal broke the quiet. "Make sure everything's okay." "It's six in the morning over there," John reminded her. "Addison won't even be awake yet, and you know what your Mother's like if she doesn't get her full eight hours." John shivered as he pictured his Mother-in-Law asleep in his and Crystal's bed, having refused the guest bed because she said it was too lumpy. John had had to bite his tongue on that one, no matter how much it rankled; theirs was the bed in which he made love to Crystal, in which they had created two children together. Crystal's Mom – Janice – with some cajoling had agreed to housesit. Crystal's proviso at not cancelling their trip had been that the house was not left empty and Addison got to stay home to be in familiar surroundings, especially since their regular sitter had so resolutely let them down. Crystal's mother had seemed reluctant at first; of late she seemed to have caught some of her daughter's wariness around Addison, especially since the colored pencil incident at school. John wasn't sure exactly why that particular incident above all others had disturbed Janice as much as it did. It wasn't as if it had been entirely Addison's fault and the school had said that the other kid would be okay; the doctors had saved his left eye and there'd been some great advances in prosthetic eyes in recent years. In the end, John put his mother-in-law's odd behaviour down to Janice's advancing years and lingering upset following her husband's untimely death at just sixty-two. John glanced at the fob on his bunch of keys that he'd rested on the table, an old habit as his growing clutter of keys tended to dig into his leg if he kept them in his pocket. The fob had a picture of Addison on it. She was all broad, beaming smile, flaxen hair the color of morning sunshine, perfectly round cheeks, a tiny snub nose, and those deep, dark, browner-than-brown eyes that sometimes and in a certain light would appear black. John often found himself contemplating his daughter's photograph, more so since Declan's passing, and reflecting upon how little she looked like him, or his wife; so much so, that he and Crystal would sometimes joke that perhaps there had been a mix-up of babies at the hospital. There were occasions, though, where John thought that Addison looked a little like her Mom, and times that Crystal would make such comments as; she has your pout, John, or she's just like her damned father, although he thought they were more wishful thinking than anything else. Declan had quickly grown out of his mother's features and had been the absolute spit of John, there had been times that John had thought that looking into his son's beautiful face was like looking in a mirror. At that moment John realized that he missed his daughter terribly. "Well, I think it's beaten me," John declared and pushed his plate an inch or two towards the middle of the table for emphasis. "Me too," Crystal said through a mouthful of fries. "That was really good." "Despite appearances to the contrary?" John laughed. "I even ate some of that fake guacamole stuff," Crystal sounded rather proud of herself, like a kid who's forced spinach down for the very first time. "I knew you'd like it," John said. "We should buy a few cans to take home." "Don't push it, buster." Crystal flashed her husband that smile again. John slurped down the tepid brown liquid in his teacup. "Ready to go see the tower?" he asked. "After we go see Gypsy Rose," Crystal reminded. As if he'd really forgotten. The rain had eased up some by the time they stepped back outside, although the sky remained ominously swollen, as if the clouds were conspiring to birth something vast and monstrous. John had settled up with Doris, argued a little with Crystal about her making him leave a five pounds tip – that was almost eight bucks, he'd protested – and ushered his wife out of the restaurant. They had to wait for a sparsely patronized tram to rumble by and then they were across the road, through the palmist's narrow door and into the eerie – if somewhat hopelessly clichéd – realm of one astonishingly ancient, gnarled Gypsy Rose. "Welcome!" she cried in a theatrical, non-specific eastern European accent. "I was expecting you." Of course she was, John chuckled to himself, how could she not be? He recalled a favorite cartoon from long, long ago in which there was a sign outside a clairvoyant's premises – not entirely dissimilar to this one, it had to be said, despite being an ocean away – that declared 'Closed due to unforeseen circumstances'. John smiled at his thoughts and stepped forward, wrinkling his nose against the heady stink of incense and naphthalene. "Come in, come in, sit down." Gypsy Rose beckoned them both into her cramped, ill-lit parlour. She pulled up a chair at the side of the room and motioned for John to plant his ass on it. As he did so, the palmist led Crystal by the hand to a rickety wooden chair opposite her own. Gypsy Rose – and John seriously doubted that she was a true gypsy, or that she was actually named Rose (more likely she was from some inner city council estate in Manchester and was really called Edna) settled herself down and caressed the crystal ball that sat in the center of the small, square table. "It's ten pounds for a reading, ball, palm or tarot," Gypsy Rose told them. Her phoney accent slipped a little and John thought that he'd caught the undercurrent of a twang that could actually have come from Yorkshire, on the opposite side of the Pennines. "In advance." Crystal fished through her wallet and handed over what she hoped was a ten pound note and nothing larger. It was difficult to tell in the poor light, but then again that was most likely the whole point of the half a watt bulb that swung gently over the table. John was about to crack a smart one about how it was supposed to be cross the lady's hand with silver and not bank notes but thought better of it. Gypsy Rose cast a withering glance towards John, as if daring him to say anything that would spoil the ambience. John felt almost as if she were reading his mind; that she'd made a connection with his psyche and knew what his cynical old brain was thinking. That thought creeped John out, the idea of Gypsy Rose skulking around inside his brain made him feel queasy. John met Rose's eyes with his and he sank back in his chair, suitably chastised and annoyed with himself for succumbing to the psychic mumbo-jumbo; any more and he'd be begging her to read his palm too. "Palm please." Crystal held out her hand, palm up, across the table. "You have had a troubled life thus far," Gypsy Rose began her shtick. "I see both tragedy and loss." She stroked Crystal's palm and traced the lines with a crooked finger. "But I see a true, lasting love. You are a lucky lady." She looked up into Crystal's trusting face. "The man you are with now is the love of your life," she continued. "But not your first love." Wait, what? John sat forward in his chair. "Your first is a love that runs far beyond our plane of reality and nestles deep within your soul. It is a love that has always been within you, and one which grows stronger as each day passes." John made ready to be offended but checked himself. The old charlatan had seen the scepticism in his face and this was her giving him a metaphorical – or should that be metaphysical? – slap down. "Can you tell me what my future holds?" Crystal slipped all too comfortably into the occasion. "Of course I can, my dear," the psychic said with the lightest of chuckles. "Your lifeline is a long and healthy one." She traced what John assumed had to be his wife's lifeline with the gnarled finger. "And where it crosses here, and here, shows that you have two children." She must have heard Crystal's sharp intake of breath. "No, not two. It's one child. You had two." John leaned forward and placed a comforting hand on Crystal's shoulder, she leaned her head against it. "We did," his wife told the woman. "Ahh, there is your tragedy," the old woman declared as if she'd known all along. "I am so sorry for your pain." She pulled Crystal's hand closer still and squinted at it with screwed up eyes. "I see a shortened line for the pain, my dear." You're full of it, lady, John thought to himself, and then hoped again that Gypsy Rose wasn't reading his mind. "I can see your child in this one." Gypsy Rose studied a crooked line that traversed Crystal's palm. "This one is a strong, steady line. It –" She paused, stared at Crystal's upturned palm, and the color drained from her wizened face. "What is it? What do you see?" Crystal sounded a little shaky. "Your daughter," there was a tremor in the old woman's voice that hadn't been there a second before, her phoney accent all but forgotten. "God have mercy on us all," she sounded terrified. "Addison? What is it?" Crystal insisted. "She has the face of an angel –" The words hung heavy in the cloying air like an early morning fog. Gypsy Rose reached beneath her little table and calmly pulled out a small, snub-nosed revolver. She raised the gun to her temple and pulled the trigger. The blunt crack! was dulled by the heavy, musky cloths that draped the room and the bright flash from the muzzle startled John's eyes and they clamped shut. In that instant, John saw Addison in his mind's eye; felt her presence seep into his brain to create black, shadowy corners. He saw his daughter's cold, dark eyes and in them the unholy commotion in the church, Charlotte beaten to a pulp and rotting in an asylum, the gas explosion and decapitated sitter, Crystal's father laying prematurely stiff and pale in his casket, a kid blinded in one eye by a yellow pencil and other, myriad seemingly inconsequential things that compounded to make perfect, terrifying sense. He saw Declan at the bottom of the stairs, eyes glassy and unmoving, that ugly knot in his neck where knobbed bones had snapped out of place and John felt – knew – that far from being the harbinger of evil, his daughter – his beautiful Addison with her wispy, summersun hair and darker-than-dark brown eyes – was the reason. Gypsy Rose's lifeless body slumped without ceremony from her chair and hit the floor with a dull, wet thud. The gray slop of her brains oozed from the ragged quarter– sized hole above her left ear and a scarlet torrent of blood flowed from her nose. Crystal Johnson turned to her husband with a sad look in her eyes. "Oh no," she said quietly, "not again." THE END
EXTENSION Authors Daniel Cassens, Professor, Forestry and Natural Resources Lindsey Purcell, Urban Forestry Specialist, Purdue University Lumber from Urban and Construction-Site Trees www.fnr.purdue.edu For many different reasons, more and more people in larger cities want to reuse urban trees scheduled for removal. First, people who are part of the "green movement" want to turn urban trees into something more valuable than firewood, mulch, or just trash for the local landfill. Second, homeowners who are emotionally attached to their trees want to keep that wood around in the form of furniture or other household products. Third, some consumers value locally produced agricultural products— and urban wood falls into this category. Fourth, construction projects that use locally sourced urban wood gain points for LEED (Leadership in Energy & Environmental Design) certification by the United States Green Build Council. Finally, dry wood used in furniture and construction is almost half carbon by weight and that sequesters or isolates the carbon longer, aiding with issues related to climate change. Pros and Cons For many reasons, urban trees usually are not marketable to traditional sawmills and veneer manufacturers. Typically, there are relatively small volumes of urban wood available at any one location. Embedded objects found in urban wood can cause costly and dangerous damage to equipment when it's hit by the blade on the saw or veneer knife. Buildings, landscaping, and utility lines can be damaged or disrupted when trees are felled. Buried utility pipes and even septic systems can be damaged by heavy equipment (Fig. 1) used to remove the logs. Also, most tree-care companies and professional arborists don't have experience in the valuation of standing timber and struggle to find buyers for this potentially valuable wood. However, portable sawmills (Fig. 2) can process even a single tree in urban areas as well as forested settings. Portable sawmills are relatively lightweight, are generally mounted on a two-wheeled trailer, and can be pulled behind a pickup truck. There is no site damage from heavy equipment needed to load and move logs. To further limit damaging property during tree removal, hire a trained and qualified forester or Certified Arborist for oversight of the project or to remove the trees. There are several important reasons to use urban trees for local lumber. * First, there are many urban trees on the tremendous amount of forestland used for urban development. In 1998, the United States had an estimated 560,000 acres of urban, forest-covered land compared to 400,000 acres in 1986. By comparison, there are only about 4.5 million acres of forestland in the entire state of Indiana. * Urban trees are often cut down. Homeowners remove trees that die, become too large, or present an unacceptable level of risk for an urban setting. Serious storms can result in the destruction and removal of many trees at once. * Disposal of urban trees can be costly and difficult. When invasive pests such as emerald ash borer invade cities, those cities face economic disaster as they become responsible for tree removal and debris management costs. Cities incur substantial disposal costs when they are forced to remove hundreds of trees from street rightsof-way and public land each year. Landfills closed to yard waste are often a roadblock to disposal. Many states with known invasive pests have established quarantines that do not allow transportation of certain tree species debris, which limits movement of valuable wood. * Some urban trees contain wood useable by artisans, craftsmen, and other woodworking enthusiasts. Many ornamental species contain beautiful, decorative wood not readily available from lumberyards and dealers who only handle the more common tree species. * Finally, managed urban woodlots ranging in size from 2 to 10 acres may require some tree removal to cull out less favorable species, make the woodlot more sustainable, and meet overall planning goals. Trees that have reached their useful lifespan may have value if they are logged before they die. Logging mature trees also gives younger species space to thrive and mature. Economic Considerations Based solely on wholesale hardwood lumber values, the cost of converting urban trees to lumber is generally not competitive with the cost of creating lumber from forestgrown trees. The logistics of harvesting one or a few trees at one time, the need to prevent site damage, and the need to remove all parts of a tree add greatly to the cost of any lumber produced. Therefore, traditional sawmills and veneer mills rarely show interest in urban trees. That said, some lumber yards in larger cities, known as distribution yards, specialize in gathering and selling urban wood. Also, tree care companies that see the value PURDUE EXTENSION 1-888-EXT-INFO WWW.EXTENSION.PURDUE.EDU of urban wood are beginning to market their own wood products and materials as well. Much of this material will be produced by portable, thin kerf band mills. Contacting these yards could yield some interest in the harvested trees; however, while you probably will not receive much, if anything, for the logs, some disposal costs may be avoided. To an individual consumer or homeowner who wants the lumber, but otherwise would purchase lumber at retail value from a distribution yard or big box store, urban trees can be quite valuable. An average urban tree about 20 inches in diameter at 4½ feet above the ground and with a 10-foot solid log should yield 150 to 200 board feet of lumber. On the wholesale market, green hardwood lumber ranges in value from about $.40 per board foot for pallet grade stock to about $1.10 per board foot for top grade ash to $3.00 per board foot for top grade walnut (Table 1). From a good, 20-inch diameter log you should get about one-half top-grade material, one-quarter average stock, and the rest pallet stock. If you purchase a few kiln-dried boards at a distribution yard or big box store, you'll find prices that are easily double the green, wholesale price. Using your urban logs yourself is probably the best alternative. Selling a few boards to others is often difficult. In addition, smaller, custom mills can produce unique items. They can cut boards from crotches and slabs 20 inches wide or more, depending on the equipment. Also, many urban woodlots contain minor or mostly noncommercial species such as Kentucky coffeetree and catalpa as well as non-native species such as Siberian elm, Paulownia, and others that yield beautiful lumber generally not available from other sources. Custom sawing rates vary greatly. Some mills will charge by the board foot produced. Costs could range from $.20 to $.40 per board foot. Others might charge by the hour with rates ranging from $40.00 to $70.00 per hour. Since equipment capabilities vary greatly, ask about saw times, if you are paying by the hour. Be certain to ask about the cost of travel time and other costs such as blade damage from hitting foreign objects when sawing. Payment is usually expected upon completion of the job. Only in the case of an exceptional tree or land clearing is it possible to receive a great deal of compensation for urban trees. In other cases, it might be difficult to give the material away except for use as firewood or wood chips, although you may be able to sell walnut, our highest value species (Table 1). Use local advertising to help determine if there is local interest. If you sell or make other arrangements for use of your urban logs, clearly identify who is responsible for personal injury, property damage, and removal of the top wood. Table 1. Relative value of central states hardwood species. Prices can change quickly, but the relative order usually does not. \| Very High \| High \| Medium \| Low \| \|---\|---\|---\|---\| \| Walnut \| Cherry \| Ash \| Basswood \| \| \| White oak \| Hickory \| Beech \| \| \| Red oak \| Yellow poplar \| Cottonwood \| \| \| Hard maple \| \| Aspen \| \| \| Soft maple \| \| Hackberry \| \| \| \| \| Gum \| Log Quality and Size Thin kerf band mills can saw a straight log as small as about 8 inches in diameter (inside the bark). The lumber is likely to be knotty, but more individuals are beginning to appreciate "character" in finished wood products. Logs ranging from about 12 to 20 inches in diameter on the small end are ideal. Large logs up to 36 inches in diameter can be processed, but they take additional time in handling and getting the logs worked down to manageable sizes. Logs as short as about 4 feet can usually be processed, but standard lengths are from 8 to 16 feet long. Longer logs reduce loading, turning, and, thus, saw time. Cutting longer stock and timbers is possible. When cutting tree-length stems into logs or logs into boards, producing the clearest wood is usually the objective. Highly defective void areas or severe crooks in stems should be eliminated. If a stem provides for more than one log, consider bucking it to produce the straightest logs possible. It also helps to buck the stem through any major defects such as large limb knots. That puts these defects on the ends of the boards where they can be trimmed off. Butt logs typically produce the clearest lumber. Also, be certain that the lumber produced from the log lengths you select can be accommodated by any drying equipment. Logs should be processed as soon as they are cut from live trees. The longer logs lie exposed during the warmer months, the greater the chance for stain, decay, and insect attack. These problems do not develop during cold winter months. Lumber from felled logs or from dead trees may have some uses. The heartwood in species such as oak, walnut, and cherry has some natural decay- and insectresistance. The sapwood in these species is destroyed in a year or less, but the heartwood may still be salvageable. For the other species mentioned above, a year of exposure will result in serious damage to the entire log. Before cutting a tree down, locate and discuss your plans with a sawyer and make sure the arborist knows your intentions for the log portion of the tree. Without specific instructions, usable urban logs are often cut to firewood lengths on site to facilitate handling. Lumber Quality Considerations There are three broad categories of trees that may become available in urban areas. These include * trees planted around structures that have now matured, * small trees that were naturally present when the site was developed that have grown into mature trees, and * trees that need to be removed at the time of construction (or within a few years) due to root system damage. Trees removed from a wooded area for home or building construction can be high-quality and well worth processing, if they are alive, relatively free of defects, and of sufficient size. These trees are essentially woods-grown trees. If several trees are available, they could be of interest to the traditional industry. In this case, be sure the person doing the site-preparation work has equipment to remove the stumps. Many urban trees planted for shade or other benefits are open-grown and fast-growing. They are often not the most desirable for lumber and may contain embedded metal. They may be damaged around the base by lawn mowers , string trimmers, or other landscape equipment and may have wounds on the trunk caused by improper pruning. This damage usually results in localized decay and discoloration of the wood. Therefore, these trees are of no interest to the traditional industry, but, once again, could produce very usable wood with unusual character. Trees that were present in a wooded lot when the site was first developed and have now matured could be of use. If, at the time of development, these trees were already 10 to 15 inches in diameter, the lower portion of the trunk should be free of limbs and annual wood growth should be clear of defects. Recent mechanical damage and the presence of metal objects may be apparent. Many of these trees could be evaluated and used. Working with Thin Kerf Portable Mill Operators Thin kerf band mills range in size from very small, with motorized saws hand-cranked through the logs, to quite large, with much more power and with hydraulic log loaders and computerized setworks. The larger mills can saw several hundred board feet constituting several logs in a few hours. If you wish to hire a sawyer, remember, each mill is generally a small business, and the terms of any agreement can vary substantially with each owner. Most mills easily can be transported to a site, set up in a few minutes, and immediately put into action. Logs are processed into boards as directed by their owner. Sawing costs may be based on the number of board feet sawn or on the amount of time on the job. The landowner is generally expected to provide assistance, at least in the removal of lumber and waste wood, such as slabs and edgings. The slabs, edgings, sawdust, bark, and other debris are left onsite. The logs should be in an accessible site, with all branches, bumps, crotches, and large butt flares removed. The logs should be lined up in a neat row (Fig. 3). Remember, the logs are rolled onto the mill or the loader arms. Irregularities in the log will increase the difficulty of this job, and they may also prevent the log from lying flat on the mill bed. Boards with bark on the edge are usually ripped to width on the portable sawmill. This works well when only a few logs are being processed. Portable edgers are available, and some operators may use them on larger jobs. PURDUE EXTENSION 1-888-EXT-INFO WWW.EXTENSION.PURDUE.EDU Some operators process logs at their mill site. This procedure eliminates travel time for the sawyer and the equipment, and it also gets the waste wood, sawdust, and other debris away from the original site. The log owner usually needs a way to load and transport the logs, as well as to pick up the lumber when processed. Anything the log owner can do to reduce sawyer efforts should help reduce costs. Use and Application When just a tree or two are being processed, the lumber is generally used in the home woodshop for various projects. Where larger quantities are cut, the lumber can be used for general construction. For construction applications, use care. Construction lumber available at the local lumberyard is graded at the producing mill and stamped. The "grade stamp" provides important information, and its presence is required by building codes. Before processing logs into construction lumber, be sure to check with local code officials to determine if your lumber is acceptable. Green lumber must also be air-dried. This is accomplished by stacking the lumber in courses. Several boards are usually used to make up one course of lumber about 4 feet wide. Stickers, which measure about 3 /4 inch thick by 1 1 /2 inches wide by a uniform length, are placed at the very end of each course and on 2-foot or even 18-inch centers between the ends. A second course is added and another course of stickers is placed directly above the first course. When the stack is complete, it is best to cover it with tin sheets rather than plastic and with as much heavy weight as possible. Plastic tends to hold the water in the lumber and the weight helps keep the top course of lumber flat. The stack must be kept perfectly level with no twist from corner to corner and off the ground at least six inches. For complete information on drying lumber, see FNR-37 Drying Small Quantities of Hardwood Lumber. https://www.extension.purdue.edu/extmedia/FNR/FNR-37. pdf Locating Sawyers and Other Wood Use Specialists Sawyers can be difficult to locate. They are small businesses and often do not advertise. Check with equipment manufacturers; some keep a list of individuals who do custom sawing (www.woodmizer.com/us/ResourceCenter/ FindaCustomSawyer.aspx). Check with local foresters, district foresters, Extension educators, and others associated with the growth and management of timber or other wood users. They will usually know who can help. In summary, trees that are part of the urban landscape can be a valuable resource, especially if the landowner has a use for the lumber. Otherwise, it may be difficult to find some one who needs this resource. Even so, there is an increasing woodcrafters market, but it may take a bit of research on your part. Additional Readings Cassens, Daniel L. 2011. Manufacturing and Marketing Eastern Hardwood Lumber Produced by Thin Kerf Band Mills http://www.na.fs.fed.us/pubs/werc/thin%20kerf%20 band%20mills/FNR-435-manufacturing-marketing-thinkerf.pdf at USFS WERC, Princeton, WV Wood Handbook: Wood as an Engineering Material. 2010. USDA. General Technical Rep. FPL-GTR-190. Madison, WI. http://www.fpl.fs.fed.us/products/publications/sev eral_pubs.php?grouping_id=100&header_id=p Cesa, Edward; Lempicki, Edward; Knotts, Howard. 2003. Recycling Municipal Trees: A Guide for Marketing Sawlogs from Street Tree Removals. USDA, Forest Service, North eastern Area, State and Private Forestry, Forest Resources Management, NA-TP-02-94. http://www.na.fs.fed.us/pubs/ tps/recycle/recycling_trees.pdf Brashaw, Brian, et.al. 2012. Wood Utilization Options for Urban Trees Infested by Invasive Species. University of Min nesota and USDA Forest Service. http://www.emeraldash borer.info/documents/wooduse/UtilizationOptionsForUr banTrees.pdf Purcell, Lindsey; Farlee, Lenny; Dunn-Louks, Pamela; Kissel, Jason. 2014. Indiana's Urban Woodlot. Purdue Extension FNR-489-W. Sherrill, Sam. 2003. Harvesting Urban Timber: A Complete Guide. Linden Publishing, Fresno, Calif. Mar 2015 It is the policy of the Purdue University Cooperative Extension Service that all persons have equal opportunity and access to its educational programs, services, activities, and facilities without regard to race, religion, color, sex, age, national origin or ancestry, marital status, parental status, sexual orientation, disability or status as a veteran. Purdue University is an Affirmative Action institution. This material may be available in alternative formats.
Amsterdam School of Economics Annual Research Report 2012 Amsterdam School of Economics Preface The 2012 annual research report of the University of Amsterdam School of Economics (ASE) provides information on the organisation, activities and results of ASE-RI. With the funding of the institute, staff members publish in and edit international journals, attend and organise international conferences and workshops, and write and supervise dissertations. The past year has been exceptionally good in terms of completed dissertations: in total 25 students supervised by ASE faculty members successfully defended their thesis. Furthermore, the ASE continues to attract a large number of new PhD students, not only from the MPhil programme of the Tinbergen Institute, but also from the European Doctorate in Economics program funded by Erasmus Mundus (EDEEM). Because this is a continuation of a trend, this implies that we may expect the number of completed dissertations to remain high in the years to come. In the past two years, the number of publications in international A and B journals by ASE faculty members has decreased, after many years of steady increase. This may be explained by a decrease in research staff as a consequence of the recent faculty reorganisation, but also by the changing composition of the research staff, with an increasing proportion of PhD students. 2012 has been a successful year in terms of external funding, with a new Chair in Pension Economics sponsored by MN in the Macro and International Economics group, and a new Chair in Risk and Insurance sponsored by the Dutch Association of Insurers in the Actuarial Science group. Furthermore, researchers from the ASE continue to be highly visible in public debates on issues such as pension reform and the financial and sovereign debt crisis. Our research priority area on Behavioural Economics has continued to flourish, and various researchers continue to develop new initiatives to apply for large national and European research funds. I would like to end in thanking all research staff for their contributions. Prof. dr. H. Peter Boswijk Director of the Amsterdam School of Economics Research Institute October 2013 Table of Contents Part A. The Research Institute A THE RESEARCH INSTITUTE 6 CHAPTER 1: INSTITUTIONAL OVERVIEW 1.1 MISSION STATEMENT ASE-RI (Amsterdam School of Economics Research Institute) facilitates and promotes research at ASE to foster the academic ideal of intertwined university teaching and research. The institute aims for research results that significantly improve our understanding of the operation of economic systems, the behaviour of agents in the economy and the effects of economic policies. ASE-RI aims to appraise researcher performance and to provide a directive for further research with its standards for research. Research time is allocated to researchers based on their performance. 1.2 ORGANISATION ASE-RI, the research institute of the Amsterdam School of Economics, is one of the two research institutes of the Faculty of Economics & Business (FEB); the other being the research institute of the Amsterdam Business School (ABS-RI). ASE-RI is the successor of RESAM (Research in EconomicS and econometrics AmsterdaM), which was established in 1998 after the MUB (Wet Modernisering Universitair Bestuur: law on the modernization of university management) came into effect. ASE-RI covers the wide area of economics and econometrics. Research is organised in Research Programmes, which are directed by Programme leaders who are experts with core positions in the curriculum. Stimulating research that significantly improves our understanding of the economy is meant as a focus on fundamental research. In many cases, the inspiration for research questions derives from practical problems in business and society as well as from pressing problems for government policies, as is only natural for a social science. But the research results should primarily be reported to the international academic community and assessed against the quality standards that apply there. Such permanent quality assessment feeds back into the quality of teaching and of advise given to business and the government. Contributions to public debates should be a consequence of developing reliable knowledge about the economy rather than a primary goal. ASE-RI closely co-operates with the Tinbergen Institute, where many of ASE-RI's researchers are appointed as fellow. The Tinbergen Institute also acts as the graduate school for ASE-RI students. 1.3 STRATEGY AND POLICY ASE-RI aims to reach its goals by organising, stimulating and monitoring Research Programmes. Annually, programme performance is assessed. Means are allocated to programmes based on performance. Research coverage is not directed and controlled by the Faculty's management, but develops in an open competitive environment. General policy issues are discussed by the Council of Programme Directors. Faculty members in the Amsterdam School of Economics are assigned time annually for research based on their publication records in the past three years. In this way ASE-RI provides incentives to increase the quality and quantity of output. Publications are graded by quality level of the outlet. For journals, ASE-RI distinguishes: - A: excellent, international top level. Publications set directions for research, by approach and by method, select topics and set standards for analytical and methodological level. - B: good international level. Publications meet high analytic and methodological standards but have far less influence on direction and standards for future research. - Other refereed and non-refereed journals. Journals satisfy the minimum norm of aiming for an international or national audience, applying blind refereeing, and publish in an accessible language. Analytical and methodological standards satisfy a generally accepted minimum level. ASE-RI has drawn up a list of rankings of publication outlets (journals, publishing houses, conference proceedings (see the ASE-RI website www.aseri.uva.nl). The minimum norm for adequate research performance is formulated as 100 points over the past three years. An Alevel publication counts for 100 points and a B-level counts for 50 points. Other publications are worth no points. Individual authors of a publication with N authors each get a share of 2/(1+N) points of the publication. Research time assigned to individuals is related to publication points over the past three years as follows: $$100 or more: 0.5 fte 50-99: 0.25 fte 1-49: 0.125 fte 0: 0 fte$$ For faculty members with part-time positions, norms and research time are adjusted proportionally. Fellows of the Tinbergen Institute, the graduate research school in which UvA, EUR and VU co-operate, are allotted the maximum research time for a period of three years, at 0.5 of their working hours. Admission as a TI Fellow is based on A- and B-level publications only (TI has its own grading of publications). ASE-RI also stimulates concentration of the School's research in Research Programmes by other means (such as providing an annual budget for conference visits and other academic activities to the Research Programmes). CHAPTER 2: INPUT 2.1 RESOURCES AND OTHER PERSONNEL Personnel policy and human resource management are the domain of the department chairs and section heads. ASE-RI encourages the sections to hire good researchers and to stimulate faculty to increase the quality and quantity of academic publications, and has a vote in promotion and tenure decisions. Broader strategy issues concerning hiring and firing are discussed within the Amsterdam School of Economics management team and this has resulted in a document on personnel policies in which the requirements that current and new staff should meet are clearly defined. Tenured positions are only awarded to people who meet the admission requirements for fellowship of an accredited research school (preferably the Tinbergen Institute). The tables below give information on ASE-RI faculty. Table I shows that the overall research capacity was increasing until 2011. Overall, the consequenses of a major reorganisation of the Faculty of Economics and Business showed in 2011. A cut in numbers of scientific staff took place and the result was a decrease of 19% of total research staff. The total research staff slowly picked up again in 2012, due to inflow of staff hired in the second and third flows of funds and of PhD students. Table I: Input research staff at institutional level (FTE) \| \ \| fte \| 2009 \| 2010 \| 2011 \| \|---\|---\|---\|---\|---\| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 24,94 \| 25,83 \| 21,31 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 5,82 \| 6,87 \| 6,32 \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 35,00 \| 36,36 \| 23,78 \| \| Ph.D. students \| \| 19,14 \| 18,45 \| 18,91 \| \| Total Research staff \| \| 84,90 \| 87,51 \| 70,32 \| \| Support staff ASE-RI(bureau) \| \| 0,80 \| 0,84 \| 1,00 \| \| Total Staff \| \| 85,70 \| 88,35 \| 71,32 \| Table II: Input research staff at programme level (FTE) \| UvA-Econometrics \| fte \| 2009 \| 2010 \| 2011 \| \|---\|---\|---\|---\|---\| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 4,71 \| 5,73 \| 3,96 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,00 \| 0,60 \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,10 \| 0,10 \| 0,00 \| \| Ph.D. students \| \| 1,80 \| 0,00 \| 1,45 \| \| Total Research staff \| \| 6,61 \| 5,83 \| 6,01 \| \| Operations Research & Management \| fte \| 2009 \| 2010 \| 2011 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 2,62 \| 2,45 \| 0,41 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,00 \| 0,00 \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,00 \| 0,00 \| \| Ph.D. students \| \| 0,30 \| 0,00 \| 0,00 \| \| Total Research staff \| \| 2,92 \| 2,45 \| 0,41 \| \| Equilibrium, Expecatations & Dynamics \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \|---\|---\|---\|---\|---\|---\| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 4,21 \| 2,86 \| 2,91 \| 2,64 1,67 0,80 2,73 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,80 \| 0,60 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,36 \| 1,11 \| 0,08 \| \| \| Ph.D. students \| \| 2,60 \| 2,55 \| 3,83 \| \| \| Total Research staff \| \| 7,17 \| 7,32 \| 7,42 \| 7,84 \| \| Actuarial Science \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 1,79 \| 1,75 \| 0,96 \| 0,75 1,82 0,66 0,99 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 0,50 \| 0,00 \| 0,60 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,61 \| 0,51 \| 0,77 \| \| \| Ph.D. students \| \| 1,10 \| 0,70 \| 0,47 \| \| \| Total Research staff \| \| 4,00 \| 2,96 \| 2,80 \| 4,22 \| \| Industrial Statistics \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 0,40 \| 0,10 \| 0,10 \| 0,10 0,00 2,00 0,25 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,00 \| 0,00 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,80 \| 0,70 \| 0,70 \| \| \| Ph.D. students \| \| 1,50 \| 1,90 \| 1,70 \| \| \| Total Research staff \| \| 2,40 \| 2,70 \| 2,50 \| 2,35 \| \| Mint \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 2,88 \| 2,95 \| 2,97 \| 3,15 0,33 0,98 1,78 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 1,13 \| 1,88 \| 1,27 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 1,77 \| 1,33 \| 1,20 \| \| \| Ph.D. students \| \| 3,10 \| 3,00 \| 1,85 \| \| \| Total Research staff \| \| 8,88 \| 9,16 \| 7,29 \| 6,24 \| \| Human Capital \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 3,40 \| 4,05 \| 4,33 \| 1,63 2,13 0,40 4,94 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 1,06 \| 1,34 \| 1,50 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 3,32 \| 3,52 \| 0,49 \| \| \| Ph.D. students \| \| 2,10 \| 3,70 \| 5,28 \| \| \| Total Research staff \| \| 9,88 \| 12,61 \| 11,60 \| 9,10 \| \| History & Methodology of Economics \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 1,67 \| 1,71 \| 0,93 \| - - - - \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 0,40 \| 0,00 \| 0,00 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,10 \| 0,11 \| 0,11 \| \| \| Ph.D. students \| \| 1,20 \| 1,20 \| 0,20 \| \| \| Total Research staff \| \| 3,37 \| 3,02 \| 1,24 \| - \| \| Experimental & Political Economcis \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 2,57 \| 3,33 \| 3,81 \| 3,71 0,28 0,00 4,81 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 1,33 \| 1,58 \| 0,75 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,10 \| 0,00 \| \| \| Ph.D. students \| \| 4,30 \| 4,30 \| 3,33 \| \| \| Total Research staff \| \| 8,20 \| 8,20 \| 7,89 \| 8,80 \| \| Industrial Org., Competition Pol. & Regulation \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 0,69 \| 0,90 \| 0,93 \| 4,17 0,80 0,00 3,43 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 1,40 \| 1,27 \| 1,00 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,00 \| 0,00 \| \| \| Ph.D. students \| \| 1,14 \| 1,10 \| 0,80 \| \| \| Total Research staff \| \| 3,73 \| 3,27 \| 2,73 \| 8,40 \| \| SEO \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \|---\|---\|---\|---\|---\|---\| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,00 \| 0,00 \| 0,00 0,00 28,92 0,00 \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| 0,00 \| 0,00 \| 0,00 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| 27,94 \| 28,88 \| 20,43 \| \| \| Ph.D. students \| \| 0,00 \| 0,00 \| 0,00 \| \| \| Total Research staff \| \| 27,94 \| 28,88 \| 20,43 \| 28,92 \| \| AE OVO \| fte \| 2009 \| 2010 \| 2011 \| 2012 \| \| WP 1 (first flow of funds, excl. Ph.D.'s) \| \| - \| - \| 1,18 \| - - - - \| \| WP 2 (second flow of funds, excl. Ph.D.'s) \| \| - \| - \| 0,50 \| \| \| WP 3 (third flow of funds, excl. Ph.D.'s) \| \| - \| - \| 1,40 \| \| \| Ph.D. students \| \| - \| - \| 1,40 \| \| \| Total Research staff \| \| - \| - \| 3,08 \| - \| Most faculty are in the ranks of professor and PhD student (the number of researcher (oz) fte is highest, but the majority are working at SEO Economic Research). Overall there seems to be a healthy mix of researchers in different stages of their career, although the numbers of Uhd's and Postdocs are low. Table III Ranks at programme level \| Research programme \| Hgl Uhd \| \| \| \| Ud \| \| Oz \| Pdoc Ph.D. Guest \| \| \| \| \| \| \| Total \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| # \| fte \| # \| fte \| # \| fte \| # \| fte \| # \| fte \| # \| fte \| # \| fte \| # fte \| \| UvA- Econometrics \| 5 \| 0,63 \| 3 \| 1,30 \| 4 \| 1,55 \| 0 \| 0,00 \| 0 \| 0,00 \| 4 \| 3,20 \| 2 \| 0,00 \| 18 6,68 19 7,84 13 4,22 8 2,35 29 6,24 28 9,10 25 8,80 18 8,40 33 28,92 \| \| Equilibrium, expectations & dynamics \| 3 \| 1,54 \| 2 \| 0,50 \| 2 \| 0,44 \| 0 \| 0,00 \| 4 \| 2,63 \| 5 \| 2,73 \| 3 \| 0,00 \| \| \| Actuarial science \| 6 \| 2,00 \| 0 \| 0,00 \| 2 \| 0,76 \| 0 \| 0,00 \| 1 \| 0,47 \| 3 \| 0,99 \| 1 \| 0,00 \| \| \| Industrial Statistics \| 2 \| 0,80 \| 0 \| 0,00 \| 0 \| 0,00 \| 3 \| 1,30 \| 0 \| 0,00 \| 2 \| 0,25 \| 1 \| 0,00 \| \| \| MInt \| 8 \| 1,84 \| 1 \| 0,50 \| 5 \| 0,94 \| 0 \| 0,00 \| 3 \| 1,18 \| 9 \| 1,78 \| 3 \| 0,00 \| \| \| Human Capital \| 5 \| 2,29 \| 0 \| 0,00 \| 4 \| 0,00 \| 3 \| 1,87 \| 0 \| 0,00 \| 9 \| 4,94 \| 7 \| 0,00 \| \| \| Experimental & political economics \| 4 \| 1,71 \| 1 \| 0,25 \| 3 \| 0,74 \| 1 \| 0,50 \| 1 \| 0,79 \| 9 \| 4,81 \| 6 \| 0,00 \| \| \| Industrial org., Competition pol. & Regulation \| 5 \| 1,94 \| 0 \| 0,00 \| 7 \| 3,03 \| 0 \| 0,00 \| 0 \| 0,00 \| 6 \| 3,43 \| 0 \| 0,00 \| \| \| SEO economic research \| 2 \| 1,28 \| 0 \| 0,00 \| 0 \| 0,00 \| 31 \| 27,64 \| 0 \| 0,00 \| 0 \| 0,00 \| 0 \| 0,00 \| \| \| Total \| 40 \| 14,03 \| 7 \| 2,55 \| 27 \| 7,46 \| 38 \| 31,31 \| 9 \| 5,07 \| 47 \| 22,13 \| 23 \| 0,00 \| 191 82,55 \| 2.2 RESOURCES, FUNDING AND FACILITIES A substantial part of the faculty's research budget is spent on the Tinbergen Institute, where it is used to cover the expenses of the MPhil programme, courses for students and the organisation of seminars. Another large part of the budget concerns funding of the research priority area 'Behavioural Economics'. Furthermore, the sections of ASE are allocated a budget for matching and a budget for its Research Programmes based on the size of the programme (fte) and on the numbers of PhD graduations. This budget can be used for the funding of research fte's and for any research related activities of programme members, such as visiting conferences, conducting experiments and collecting data. CHAPTER 3: CURRENT STATE OF AFFAIRS 3.1 PROCESSES IN RESEARCH, INTERNAL AND EXTERNAL COLLABORATION As explained in previous chapters, ASE-RI allocates resources based on past performance. ASE-RI stimulates and facilitates application for external funding (NWO, KNAW, EU). In general, the research institute tries to stimulate an active research environment, by organising a weekly general seminar, where participants from all Research Programmes meet, and it tries to assist programme members, when necessary, by providing them with information and administrative support. The overall quality of the various seminar series is good. Especially in the Tinbergen series foreign speakers are usually invited and the debates are lively. Actual research management takes place within the Research Programmes. Decisions on research strategies, research topics, joint work, participation in international networks, publication outlets are all taken within these Programmes, sometimes by the Programme director, but mostly in an informal way by direct communication and interaction within these groups. Research groups are typically small and interaction is frequent, direct and effective. Box I: Seminar series organised in co-operation with ASE-RI Tinbergen Institute Economics Colloquia Organisation: Marco van der Leij & Jo Seldeslachts Tinbergen Institute / CREED Seminars series Organisation: Jeroen van de Ven & Gönül Dogan Tinbergen Institute Econometrics Seminars & Workshops series Organisation: Michael Massmann en Simon Broda Tinbergen Institute PhD Lunch Seminars Series Organisation: Lydia Geijtenbeek en Mark Kagan Tinbergen Institute Empirical Microeconomics Seminars Organisation: Sander Onderstal en Jose L. Moraga-Gonzalez Tinbergen Institute Macro Seminars Organisation: Christian Stoltenberg en Björn Brügemann KAFEE Lunch seminar Organisation: Noemi Peter, Matthias Weber & Dávid Kopányi CeNDEF Seminars Organisation: Marco van der Leij Another way in which ASE-RI creates a stimulating research environment is by participating in the Tinbergen Institute (TI). Two other Dutch universities (Erasmus University and VU University) participate in the TI. It is their joint graduate school and facilitates exchange amongst its fellows (top researchers of the three participating faculties) by hosting seminar series and publishing a discussion paper series. As a graduate school, the Tinbergen Institute offers a two-year research master (Master of Philosophy in Economics). These two years are part of a five-year track. The advantage of this system is that it offers students an excellent research-oriented two-year programme with good opportunities to meet top-level supervisors (TI-fellows). Table IV: Inflow 2002-2012 (ASE-RI) \| Cohort \| 2002 \| 2003 \| 2004 \| 2005 \| 2006 \| 2007 \| 2008 \| 2009 \| 2010 \| 2011 \| 2012 \| Average \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1st flow of fund projects \| 18 \| 2,75 \| 6 \| 1 \| 4,5 \| 4 \| 7 \| 5 \| 4 \| 3 \| 10 \| 5,8 \| \| 2nd flow of fund projects \| 3 \| 0 \| 4 \| 0 \| 3 \| 2 \| 4 \| 2 \| 1 \| 7 \| 1 \| 2,1 \| \| 3rd flow of fund projects \| 0 \| 0,25 \| 0 \| 2 \| 1,5 \| 2 \| 0 \| 1 \| 2 \| 2 \| 3 \| 1,1 \| \| Total projects started \| 21 \| 3 \| 10 \| 3 \| 9 \| 8 \| 11 \| 8 \| 7 \| 12 \| 14 \| 9,0 \| The number of PhD students starting a PhD project within ASE-RI was uneven in previous years and stabilized around an annual inflow of around ten since 2006. The inflow increased to 14 in 2012. As can be seen from Table IV, there are major differences between the flows of fund. The strong drop in 2003, 2004 and 2005 was a consequence of a financial shortage and, since all projects run at least four years, because of the high number of projects started in 2002 that were still weighing down on the budget. In recent years the outflow of PhD students from the Tinbergen Institute who completed their MPhil was sufficient to fill in all vacancies. Table V: graduations by cohort (FEB)* \| FEB \| \| \| \|---\|---\|---\| \| Cohort \| 2000 2001 2002 2003 2004 2005 2006 2007 2008 \| Total/Average \| \| Projects started \| 13 4 28 7 13 8 17 14 19 9/13 4/4 20/28 5/7 9/13 4/8 15/17 12/14 12/19 69% 100% 71% 71% 69% 50% 88% 86% 75% 4/9 1/4 11/20 2/5 5/9 3/4 7/15 5/12 12/12 44% 25% 55% 40% 56% 75% 47% 42% 100% 79 60 65 67 62 55 57 57 44 \| 123 \| \| Graduated/Total \| \| 90/123 \| \| Fraction graduated from total \| \| 75% \| \| Graduated within 60 months \| \| 50/90 \| \| Fraction grad. within 60 months \| \| 54% \| \| Av. duration to completion in m. \| \| 61 \| * Including all FEB students (also those now under the Amsterdam Business School Research Institute) Table VI: graduations by cohort (ASE-RI) \| ASE-RI \| \| \|---\|---\| \| Cohort \| 2000 2001 2002 2003 2004 2005 2006 2007 2008 \| \| Projects started \| 10 2 19 3 9 4 9 11 8 8/10 2/2 16/19 2/3 6/9 1/4 7/9 9/11 7/8 80% 100% 84% 67% 67% 25% 78% 88% 88% 3/8 0/2 10/16 0/0 4/6 1/1 2/7 9/9 2/7 38% 0% 63% 0% 67% 100% 29% 100% 29% 81 64 63 79,0 64 54 60 43 62 \| \| Graduated/Total \| \| \| Fraction graduated from total \| \| \| Graduated within 60 months \| \| \| Fraction grad. within 60 months \| \| \| Av. duration to completion in m. \| \| As can be seen in Table V, on average, PhD students at the FEB needed 61 months from start of the contract to actual graduation. From Table VI, we see similar figures for the ASE-RI PhD students. It is expected that the percentage of graduations (75%) will rise in the near future, when a larger proportion of projects started are carried out by PhD students with a completed two-year research-training programme. Also, the average duration of these students to complete the PhD has been decreasing in recent years. 3.2 ACADEMIC REPUTATION In 2012, CentER, the research institute in economics of Tilburg University, drew up the Top 100 Worldwide Economics Schools Research Ranking based on research contributions over the period 2008-2012 1 . The University of Amsterdam ranked 2 nd in the Netherlands, 5 th in Europe, and 23 rd worldwide. This differs from the results of the ESB Economen-top 40 of 2012, where UvA ranked 5 th in the Netherlands 2 . Furthermore, the 2012 QS World University Rankings by Subject puts FEB between ranks 51-100 for the discipline Economics and Econometrics (4 th in the Netherlands). Another measure to assess the quality of ASE-RI's academic reputation is to look at the editorial positions of its staff. Table VII indicates that many faculty members take up many positions as editors or associate editors of international journals. Membership of editorial boards is also frequent. Table VII: Editorial positions in academic international journals \| Name \| Editorship \| Journal \| Ranking \| \|---\|---\|---\|---\| \| Assenza, T. \| Guest editor \| REPLHA Special Issue of Journal of Economic Dynamics and Control Tijdschrift voor Toezicht Netspar Journal of Air Transport Management Studies in Nonlinear Dynamics and Econometrics Studies in Nonlinear Dynamics in Econometrics International Journal of Lean Six Sigma Quality Engineering Quality Engineering Quality Technology and Quantitative Management De Economist Insurance: Mathematics and Economics Journal of Computational and Applied Mathematics International Review of Law and Economics Economics of Education Review International Journal of Happiness and Development ISRN Education Complexity Economics Computational Economics Journal of Economic Dynamics and Control Journal of Economic Interaction and Coordination Macroeconomic Dynamics Insurance: Mathematics and Economics Foundations and Trends in Econometrics Insurance: Mathematics and Economics Network Science Quality Engineering Games and Economic Behavior Experimental Economics IZA Journal of European Labor Studies Small Business Economics Experimental Economics De Economist European Economic Review Journal of Economic Psychology Quantitative Finance Journal of Economic Dynamics and Control International Review of Law and Economics Public Choice \| A \| \| Baarsma, B.E. \| Member editorial board \| \| \| \| Beetsma, R.M.W.J. \| Chairman editorial board \| \| \| \| Burghouwt, G. \| Member editorial board \| \| \| \| Diks, C.G.H. \| Associate editor \| \| B \| \| Diks, C.G.H. \| Associate editor \| \| B \| \| Does, R.J.M.M. \| Member editorial advisory board \| \| \| \| Does, R.J.M.M. \| Member editorial board and member advisory board \| \| \| \| Does, R.J.M.M. \| Column editor \| \| \| \| Does, R.J.M.M. \| Member editorial board \| \| \| \| Ewijk, C. van \| Editor \| \| B \| \| Goovaerts, M.J. \| Editor \| \| A \| \| Goovaerts, M.J. \| Editor \| \| B \| \| Guerriero, C. \| Editor \| \| B \| \| Hartog, J. \| Member editorial board \| \| B \| \| Hartog, J. \| Member editorial board \| \| \| \| Hartog, J. \| Member editorial board \| \| \| \| Hommes, C. \| Member editorial board \| \| \| \| Hommes, C. \| Associate editor \| \| B \| \| Hommes, C. \| Editor \| \| A \| \| Hommes, C. \| Associate editor \| \| \| \| Hommes, C. \| Associate editor \| \| B \| \| Kaas, R. \| Managing editor \| \| A \| \| Kiviet, J.F. \| Member editorial board \| \| \| \| Laeven, R.J.A. \| Associate editor \| \| A \| \| Leij, M. van der \| Associate editor \| \| \| \| Mast, J. de \| Member editorial board \| \| \| \| Offerman, T.J.S. \| Associate editor \| \| A \| \| Offerman, T.J.S. \| Member editorial board \| \| B \| \| Praag, C.M. van \| Associate editor \| \| \| \| Praag, C.M. van \| Associate editor \| \| B \| \| Schram, A. \| Advisory editor \| \| B \| \| Soetevent, A.R. \| Associate editor \| \| B \| \| Sonnemans, J. \| Associate editor \| \| A \| \| Sonnemans, J. \| Member editorial board \| \| B \| \| Sonnemans, J. \| Member editorial board \| \| B \| \| Tuinstra, J. \| Associate editor \| \| A \| \| Ven, J. van de \| Associate editor \| \| B \| \| Winden, F.A.A.M. van \| Member editorial board \| \| B \| 1 https://econtop.uvt.nl/rankinglist.php. 2 http://www.economie.nl/artikel/de-economentop-40-van-2012. 3.3 OVERVIEW OF RESULTS Table VIII: Publications 2007-2012 \| \| 2007 2008 2009 2010 2011 2012 \| 7y Average \| \|---\|---\|---\| \| A= publications in A -jounals \| 19 32 59 47 41 25 64 49 49 56 48 49 28 43 45 58 33 33 31 44 44 41 42 12 \| 39 \| \| B= publications in B - journals \| \| 54 \| \| Other =publications in other refereed journals \| \| 39 \| \| B = in/of books \| \| 38 \| \| Total: \| 142 168 197 202 164 119 \| 164 \| Figure I and Table VIII show an increasing total output between 2007 and 2010. In 2011 and 2012 the output decreased, which is partly due to a reorganisation in the Faculty of Economics and Business. This reorganisation led to a decrease in scientific staff. Furthermore, PhD students take up an increasing proportion of the research input (see Table I), and the corresponding substitution of senior research faculty for PhD students provides another reason fo the decline. Table IX: Aggregated results of the institute \| \| A \| B \| other \| \| A \| B \| Other \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| UvA-Econometrics \| 3 \| 4 \| 0 \| 0 \| 0 \| 1 \| 0 \| 0 \| 0 \| 5 \| 0 \| 0 \| 3 \| 6,68 \| \| Equilibrium, Expectations and Dynamics \| 3 \| 7 \| 3 \| 0 \| 0 \| 2 \| 1 \| 0 \| 0 \| 3 \| 1 \| 3 \| 13 \| 7,84 \| \| Actuarial Science \| 3 \| 0 \| 4 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 7 \| 3 \| 11 \| 4,37 \| \| Industrial Statistics (IBIS) \| 2 \| 7 \| 1 \| 4 \| 0 \| 0 \| 1 \| 0 \| 1 \| 3 \| 0 \| 0 \| 0 \| 2,35 \| \| Mint \| 4 \| 7 \| 1 \| 3 \| 3 \| 0 \| 1 \| 0 \| 1 \| 1 \| 13 \| 4 \| 23 \| 6,24 \| \| Human Capital \| 3 \| 4 \| 2 \| 1 \| 0 \| 0 \| 0 \| 0 \| 0 \| 4 \| 1 \| 0 \| 9 \| 9,10 \| \| Experimental & Political Economics \| 6 \| 4 \| 3 \| 0 \| 0 \| 0 \| 0 \| 2 \| 0 \| 7 \| 0 \| 1 \| 21 \| 8,80 \| \| Industrial Organization, Competition Policies & Regulation \| 3 \| 6 \| 3 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 1 \| 11 \| 12 \| 12 \| 8,40 \| \| SEO-Amsterdam Economics \| 0 \| 12 \| 16 \| 1 \| 0 \| 0 \| 3 \| 1 \| 3 \| 0 \| 79 \| 0 \| 7 \| 28,92 \| \| Total \| 27 \| 51 \| 33 \| 9 \| 3 \| 3 \| 6 \| 3 \| 5 \| 24 \| 112 \| 23 \| 99 \| 82,70 \| \| Aggregated total \| 111 \| \| \| \| 12 \| \| \| \| \| \| \| \| \| \| Figure II: ASE-RI Dissertations In comparison to 2010, which was not a very successful year in terms of dissertations, 2011 showed a again a higher number dissertations. The year 2012 showed a particular high increase of completed dissertations. It is expected that this number will continue to be around the same level in the years to come. 3.4 RELEVANCE TO SOCIETY Although the main aim of ASE-RI is to let its research contribute to the international academic discourse, most research done within ASE-RI programmes contributes in several ways to society at large. Some examples are given here but more detailed information can be found in the programme sections in part B of this report. The Human Capital Research Programme participates in TIER, an inter-university top Institute that conducts research in the field of evidence based education. The Top Institute wants to develop knowledge of 'evidence based education' that can be utilised by: 1) the Ministry of Education, Culture and Science in policy preparation and evaluation; 2) the educational practice – for example in educational institutions – in the allocation of resources and in the decision making process when choosing between educational theories; and 3) parents and students when choosing a school or training. Researchers from the programmes MInt and Actuarial Science have strong ties with NETSPAR (network for studies on pensions, aging and retirement) and their research results will strongly impact the ways in which government and society will deal with the problems in these areas. In 2012 the Chair in Pension Economics was established, sponsored by MN. In addition, MInt has PhD students financed by De Nederlandsche Bank. SEO Economic Research carries out contract research for ministries and public organisations, private companies and non-profit institutions, nationally and internationally. SEO distinguishes itself from other research bureaus by its analytical approach. Modern economic analysis is applied to practical issues. Empirical questions are tackled with the econometrics toolkit. CHAPTER 4: RESEARCH PRIORITY AREA: BEHAVIOURAL ECONOMICS 4.1 BACKGROUND The Board of the University of Amsterdam set out a policy to create a number of Research Priority Areas ("onderzoekszwaartepunten") to move already promising areas to further excellence. Behavioural Economics had been selected as one of them. Behavioural Economics is an important field within the Amsterdam School of Economics (ASE). The ASE has the advantage that it has already had a center for experimental economics performing laboratory experiments (CREED) for more than 15 years. Within the Amsterdam School of Economics, CREED is clearly the most successful research group in terms of publications in highly ranked international journals. The Amsterdam School of Economics wants to keep its leading position in Behavioural Economics in the Netherlands and in Europe. Now that it is a Research Priority Area, additional resources are available. These resources are allocated wisely through a committee. Researchers who need money for running experiments can apply and the committee allocates resources to promising research proposals. Furthermore, some of the resources will be used to improve the research environment. Examples include visiting costs in case of joint projects with researchers abroad, the training of students and organising workshops. 4.2 FOCUS The Research Priority Area Behavioural Economics started late 2008. The goal of the Priority Area is to promote research in the field of Behavioural Economics. Behavioural Economics focuses on economic decision-making and goes beyond traditional economic theories that assume rationality and narrow self-interest: social preferences, emotions and bounded rationality are taken seriously. Behavioural economists therefore make extensive use of insights and theories of adjacent disciplines like psychology, sociology and political science. However, it is a typical economic science by the choice of topics and the way data are analysed and models are developed. 4.3 ORGANISATION Research in Behavioural Economics has a strong empirical foundation; data are gathered in laboratory or field experiments. The department already had a standing tradition in laboratory experiments (CREED was founded in 1991) and in recent years researchers from various fields in our department (e.g. industrial organisation, labour economics, non-linear dynamic systems, personnel economics, law and economics, finance) have found their way to the laboratory. Nevertheless, to start with experimental research is not that easy. One needs to acquire practical knowledge and abilities, and one needs funds (e.g. to pay participants of experiments). The Research Priority Area Behavioural Economics helps by providing funds and dissemination of knowledge. In internal seminars researchers comment on each other's plans (compulsory for funding), a workshop is organised annually and international visits from or to co-authors are financed. In 2012, the committee dealing with the allocation of resources, consisting of Theo Offerman, Erik Plug, Adriaan Soetevent, Joep Sonnemans and Jan Tuinstra, funded 20 applications and the workshop ABEE Symposium 2012. In addition, the committee funded an exchange of students of the Research priority Area and students of NYU. Both the workshop in New York where the Amsterdam-based students presented and the one in Amsterdam where the New York based students presented led to a fruitful exchange of ideas and were very successful. The Research Priority Area Behavioural Economics has already produced quite a few top publications, amongst which publications in the American Economic Review (Abbink, et al, 2010; Kuhn et al, 2011), the Journal of Economic Literature (Holmlund et al., forthcoming), Nature (van Veelen et al., 2010), Science (Ule et al., 2009) and the Review of Economic Studies (Offerman et al, 2009). The topic of the ABEE Symposium 2012 was 'Behavioural Economics in Markets and Organizations'. Presentations were held by Bjorn Bartling, Anna Dreber, Uri Gneezy, Lorenz Goette, Hans Hvide, Pedro Rey Biel, Armin Schmutzler, Sigrid Suetens, Dirk Sliwka, Catherine Tucker, Roberto Weber and Daniel Zizzo. Also Amsterdam-based researchers presented their work. B THE RESEARCH PROGRAMMES 5. UvA-ECONOMETRICS Programme director: Prof.dr. H.P. Boswijk & Dr. M.J.G. Bun METIS-code: uva/feb/ase/uva-e JEL-classification: C1, C2, C3, C4, C5 1997 Starting date: Website: www.aseri.uva.nl/uva-econometrics VSNU-scores 2001-2007: Quality: 4, Productivity: 4, Relevance: 3.5, Viability: 3.5 5.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Ariza Rojas, C. \| msc \| oz \| 0,50 \| - \| - \| - - 0,50 - 0,50 - - 0,80 0,50 0,00 - 0,25 0,42 0,00 0,80 0,13 - 0,00 0,13 0,00 0,25 0,80 0,80 0,00 - - 0,80 - \| 1 \| \| Bethlehem, J.G \| prof. dr. \| hgl \| 0,11 \| 0,11 \| 0,07 \| \| 1 \| \| Boswijk, H.P \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Boswijk, H.P \| prof. dr. \| hgl \| 0,10 \| 0,10 \| - \| \| 3 \| \| Broda, S.A. \| dr. \| ud \| 0,17 \| 0,50 \| 0,50 \| \| 1 \| \| Bun, M. \| dr. \| ud \| 0,50 \| - \| - \| \| 1 \| \| Bun, M. \| dr. \| uhd \| - \| 0,50 \| 0,13 \| \| 1 \| \| Bun, M. \| dr. \| uhd \| - \| - \| 0,60 \| \| 2 \| \| Çakmaklı, C. \| msc \| ud \| - \| - \| 0,17 \| \| 1 \| \| Cramer, J.S. \| prof. dr. \| hgl \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Gao, Z. \| msc \| phd \| 0,60 \| 0,40 \| - \| \| 1 \| \| Garderen, K.J. van \| dr. \| uhd \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Giersbergen, N.P.A. van \| dr. \| ud \| 0,42 \| 0,42 \| 0,42 \| \| 1 \| \| Gooijer, J.G. de \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,42 \| \| 1 \| \| Juodis, A. \| msc \| phd \| - \| - \| 0,05 \| \| 2 \| \| Kiviet, J.F. \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,25 \| \| 1 \| \| Kleibergen, F.R. \| dr. \| uhd \| 0,00 \| - \| - \| \| 1 \| \| Kleibergen, F.R. \| prof. dr. \| hgl \| - \| 0,00 \| 0,00 \| \| 1 \| \| Klein, A.A.B. \| dr. \| ud \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Oomen, R.C.A. \| dr. \| guest \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Ophem, J.C.M. van \| dr. \| uhd \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Pleus, M. \| msc \| phd \| - \| - \| 0,50 \| \| 2 \| \| Poldermans, R. \| msc \| phd \| - \| - \| 0,30 \| \| 2 \| \| Pua, A. \| msc \| guest \| - \| - \| 0,00 \| \| 3 \| \| Stakėnas, P. \| msc \| phd \| 0,60 \| 0,40 \| 0,40 \| \| 1 \| \| Wansbeek, T.J. \| prof. dr. \| hgl \| 0,01 \| - \| - \| \| 1 \| \| Yang, X. \| msc \| phd \| - \| - \| 0,20 \| \| 1 \| \| Zu, Y. \| msc \| phd \| 0,60 \| 0,40 \| - \| \| 1 \| \| Total 1st flow of funds \| \| \| 6,51 \| 5,73 \| 4,56 \| 3,48 3,20 0,00 \| \| \| Total 2nd flow of funds \| \| \| 0,00 \| 0,00 \| 1,45 \| \| \| \| Total 3rd flow of funds \| \| \| 0,10 \| 0,10 \| 0,00 \| \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 4,71 \| 5,73 \| 3,96 \| 2,68 \| \| \| Total 1st-3rd flow of funds \| \| \| 6,61 \| 5,83 \| 6,01 \| \| \| \| Ph.D. students \| \| \| 1,80 \| 0,00 \| 1,45 \| \| \| 5.2 PROGRAMME DESIGN Objectives The UvA-Econometrics programme aims at improving the accuracy, efficiency and robustness of econometric inference methods. Motivation Empirical economic data are usually not obtained from markets or agents in static equilibrium. Typically they give a random and disturbed indication at a certain moment in time, or over a relatively short period, of dynamic jointly dependent adjustment processes. Also they usually concern just a few aspects of the underlying complex (non-) linear economic system. The various projects united in this programme all try to gear statistical techniques to the typical characteristics of empirical economic data. Main interest is the development of accurate and efficient econometric inference to test economic theory, to support decision making and for policy evaluation. Techniques Both analytic and experimental methods are used in this programme to improve understanding of the available statistical inference techniques, and to develop alternatives. The analytic aspects often involve the derivation of asymptotic distributions, the approximation of finite sample moments or distribution functions, the elimination of nuisance parameters etc. In computer simulations of completely specified systems the existing standard procedures and the newly developed techniques are then compared and evaluated experimentally. Occasionally the alternative techniques as such are of an experimental nature, because they involve computer-intensive methods (bootstrap resampling, randomization techniques, simulation-based inference). Actual data often serve to illustrate the empirical relevance and practical usefulness of the theoretical findings, but at times empirical issues are the prime motivation of the research projects engaged in. Applications The fundamental problems of econometrics indicated above are studied in interplay with actual applied econometric research. These applications come from economics, finance or business. We do not intend to give an exhaustive overview of specific applications, but UvAEconometrics is active in labour economics (wage determination, job mobility and allocation, returns to schooling), development economics (exports and productivity, infant mortality), health economics (organization of health care, intelligence and mortality), finance (measurement and modelling of stock return volatility, option pricing, credit risk), international economics (effects of trade policy and economic integration), monetary economics (demand for money, term structure of interest rates) and business (marketing activities). The economic behaviour of individual agents is analysed on the basis of observational or experimental data of various dimensions (cross-section, time series or panel data). Subprogrammes, themes Within the general programme described above, the following sub-themes can be distinguished: * Econometric Theory. Within this sub-theme, analytical finite sample approximations, simulation-based inference, inference based on IV/GMM with weak instruments, conditional inference, methods from differential geometry as well as semi- and non-parametric methods are studied for and applied in models that may be dynamic, simultaneous or non-linear. * Microeconometrics. Econometric analyses within this sub-theme often entail a quantitative assessment of the effectiveness of a policy intervention. Outside controlled experiments policies are usually endogenous. Unbiased assessment of effectiveness requires adequate modelling of the causality, handling of any unobserved heterogeneity and understanding of the identification issues. Applications within this subtheme often include panel data, which calls for the development of accurate inference methods for dynamic panel data models. * Financial Econometrics. Topics are ARCH and stochastic volatility models, the econometrics of the CAPM and factor models, econometric models of the term structure of interest rates, econometric analysis of credit risk, the analysis of option data and implied volatilities, and the analysis of high-frequency data and realized volatility. Applications within this sub-theme often include non-stationary data. This leads to the analysis of unit roots, cointegration and error correction models, the role of (weak) exogeneity in such models and structural change. 5.3 PROGRAMME EVALUATION The (partial) early retirement of three full professors (Bethlehem, de Gooijer and Kiviet) has led to a decline in research time available to the programme in recent years. This decline is further amplified by the fact that not all members of the research programme have realised sufficient publications in recent years to qualify for a Tinbergen Institute research fellowship, or for the maximal research time awarded by the ASE-RI. Because of publication lags, this situation is not easy to remedy in the short run, and threatens the programme's viability. In 2012, the group has again exploited the possibility of taking a sabbatical, which is expected to increase research output. The appointment of a temporary assistant professor in September 2011 has offered some compensation. More importantly, plans to appoint a new full professor in econometrics have recently been developed, which will lead to a substantial increase in research input and output of the group. Almost weekly, a Friday afternoon (mostly external) seminar is organised at (and funded by) the Tinbergen Institute, jointly with econometricians from VU University Amsterdam. This is a very lively seminar series, with high-quality international speakers. In addition, occasionally an internal informal workshop is held on Thursdays at lunch time, where research projects which are still in an early stage are discussed. These meetings stimulate the coherence of the research programme and should lead to more joint research projects; however, their frequency has recently declined, which is a point for concern. All activities and achievements of UvAEconometrics are communicated via its web-site (http://aseri.uva.nl/researchprogrammes/content/uva-econometrics/uva-econometrics.html). It is the ambition of UvA-Econometrics to find further international recognition as one of the major strongholds in theoretical econometrics worldwide. The activities and achievements over the last decade (number and quality of publications, presentations at and invitations for international meetings, responsibilities regarding journals and conferences, hosting of visiting scholars, exposure at peer institutions, etc.) have been substantial, but leave ample room for further qualitative and quantitative improvements. In particular, the continued high teaching loads in the group have had a negative impact on the research output of some of its members, and consequently on the research time available to the programme. Most individual members of UvA-Econometrics continue to operate in intensive formal and informal national and international networks. In 2012, Nikolaos Kourogenis (University of Piraeus) visited the UvA-Econometrics group on a sabbatical, and Maurice Bun was a visiting scholar at Monash University, which is an indicator of such networks. As part of a strategy for improvement of research output, UvA-Econometrics continues to aim at strengthening the ties with other faculty research programs, in the form of joint applied research projects in microeconometrics and financial econometrics. No new PhD student were appointed 2012, but given the fact that five new students started in 2011, this was to be expected. Furthermore, it is expected that the UvA-Econometrics programme will continue to attract graduates from the Tinbergen Institute's MPhil programme in Econometrics for a PhD position, as initial contacts have been made with two second-year MPhil students in the second half of 2012, which are expected to result in two new PhD positions in 2013. The above evaluation can be summarized in the following SWOT analysis regarding the activities and current position of UvA-Econometrics: Strengths: good reputation; a relatively steady stream of publications; quality of human capital; expertise in a broad range of cutting edge areas of econometric (and statistical) theory; recently improved prospects regarding external funding; coherence of and atmosphere within the group; active seminar and workshop series; exposure via own discussion paper series; tight but appropriate facilities regarding computing and travel. Weaknesses: relatively few links with other units of the FEB outside the QE department; declining percentage of publications in A-journals. Opportunities: recently developed MPhil programme and Fast Track in Econometrics within the Tinbergen Institute; developing a more applied profile within ASE and with the ABS; attracting a new full professor in econometrics. Threats: decreased research input due to faculty members having reached (early) retirement age, and decreased research output (and hence eventually input) by some senior faculty members due to high teaching loads. 5.4 RESOURCES AND FUNDING The current ASE-RI facilities allow the active researchers (and also first and second year Ph.D. students) to attend at least one international conference per year; in practice more is possible, so the research group does not experience binding constraints in this respect. In recent years, UvA-Econometrics has been quite successful in obtaining external funding for research activities. Therefore, the 0.8 fte research time of one senior faculty member (Maurice Bun), and the appointments of three of the five currently active PhD students (Milan Pleus, Rutger Poldermans and Arturas Juodis) is funded by NWO grants. A fourth PhD student is funded by the EDEEM network. 5.5 OUTPUT Key publications Boswijk, H.P. & Klaassen, F. (2012). Why frequency matters for unit root testing in financial time series. Journal of Business & Economic Statistics 30, 351–357. [A] Bun, M.J.G. & Windmeijer, F. (2010). The weak instrument problem of the system GMM estimator in dynamic panel data models. Econometrics Journal 13, 95-126. [B] Giersbergen, N.P.A. van (2009). Bartlett correction in the stable AR(1) model with intercept and trend. Econometric Theory 25, 857-872. [A] Guggenberger, P., Kleibergen, F., Mavroeidis, S. & Chen, L. (2012). On the asymptotic sizes of subset Anderson-Rubin and Lagrange multiplier tests in linear instrumental variables regression. Econometrica 80, 2649–2666. [A] Kiviet, J.F. & Phillips, G.D.A. (2012). Higher-order asymptotic expansions of the leastsquares estimation bias in first-order dynamic regression models. Computational Statistics & Data Analysis 56, 3705–3729. [B] Kleibergen, F., Mavroeidis, S. (2009). Weak instrument robust tests in GMM and the new Keynesian Phillips curve. Journal of Business & Economic Statistics 27, 293-311. [A] Schluter, C., van Garderen, K.J. (2009). Edgeworth expansions and normalizing transforms for inequality measures. Journal of Econometrics 150, 16-29. [A] Forthcoming Broda, S. A., Haas, M., Krause, J., Paolella, M. & Steude, S. (2013). A mix-stable GARCH model. Forthcoming in Journal of Econometrics. Gooijer, J.G. de & Yuan, A. (2013). Asymptotic informative prior for Bayesian analysis. Forthcoming in Communications in Statistics: Theory and Methods. Joustra, P., Meester R. & van Ophem, H. (2013). Can statisticians beat surgeons at the planning of operations? Forthcoming in Empirical Economics. Juodis, A. (2013). A note on bias-corrected estimation in dynamic panel data models. Forthcoming in Economics Letters. Kiviet, J.F. (2013). Identification and inference in a simultaneous equation under alternative information sets and sampling schemes. Forthcoming in The Econometrics Journal. Publications in numbers \| UvA-Econometrics \| \| \| \| 2012 \| \|---\|---\|---\|---\|---\| \| 1) Academic publications \| a) in refereed journals \| A \| 3 \| 7 0 1 0 8 0 5 0 0 3 \| \| \| \| B \| 4 \| \| \| \| \| Other \| 0 \| \| \| \| b) in other journals \| \| 0 \| \| \| \| c) book chapters \| A \| 0 \| \| \| \| \| B \| 1 \| \| \| \| \| Other \| 0 \| \| \| \| d) in proceedings \| \| 0 \| \| \| Subtotal \| \| \| \| \| \| 2) Books \| \| A \| 0 \| \| \| \| \| B \| 0 \| \| \| \| \| Other \| 0 \| \| \| 3) Ph.D. theses \| \| \| 5 \| \| \| 4) Professional publications \| \| \| 0 \| \| \| 5) Popular publications \| \| \| 0 \| \| \| 6) Working papers \| \| \| 3 \| \| \| Total \| \| \| \| 16 \| Article in journal – refereed A Boswijk, H.P. & Klaassen, F. (2012). Why frequency matters for unit root testing in financial time series. Journal of Business & Economic Statistics 30, 351–357. Guggenberger, P., Kleibergen, F., Mavroeidis, S. & Chen, L. (2012). On the asymptotic sizes of subset Anderson-Rubin and Lagrange multiplier tests in linear instrumental variables regression. Econometrica 80, 2649–2666. Klein, A. & Spreij, P. (2012). Transformed statistical distance measures and the Fisher information matrix. Linear Algebra and its Applications 437, 692–712. B B Broda, S.A. (2012). The expected shortfall of quadratic portfolios with heavy-tailed risk factors. Mathematical Finance 22, 710–728. Gooijer, J.G. de, Brännäs, K., Lönnbark, C. & Soultanaeva, A. (2012). Simultaneity and asymmetry of returns and volatilities: The emerging Baltic states' stock exchanges. Studies in Nonlinear Dynamics & Econometrics 16, Article 4. Kiviet, J.F. & Niemczyk, J. (2012). Comparing the asymptotic and empirical (un)conditional distributions of OLS and IV in a linear static simultaneous equation. Computational Statistics & Data Analysis 56, 3567–3586. Kiviet, J.F. & Phillips, G.D.A. (2012). Higher-order asymptotic expansions of the leastsquares estimation bias in first-order dynamic regression models. Computational Statistics & Data Analysis 56, 3705–3729. Other Gooijer, J. de, Diks, C. and Gatarek, L. (2012). Information flows around the globe: Predicting Opening Gaps from Overnight Foreign Stock Price Patterns. Central European Journal of Economic Modelling and Econometrics 4, 23–44 . Book / book chapter – refereed Broda, S.A. & Paolella, M. (2012). Saddlepoint approximations: A review and some new applications, in: Gentle, J. E., Härdle, W. K. & Mori, Y. (eds.), Handbook of Computational Statistics, 2nd edition, Springer Verlag, Berlin, 953–983. working- and discussion papers Boswijk, H.P., Jansson, M. & Nielsen, M.Ø. (2012). Improved likelihood ratio tests for cointegration rank in the VAR model. Tinbergen Institute Discussion Paper # 12097/III. Cramer, J.S. (2012). Childhood intelligence and adult mortality, and the role of socioeconomic status. Tinbergen Institute Discussion Paper # 12-070/4. Kiviet, J.F. (2012). Identification and inference in a simultaneous equation under alternative information sets and sampling schemes. Tinbergen Institute Discussion Paper # 12128/III. UvA Dissertation – internally prepared Gao, Z. (2012, 29 May). Essays on empirical likelihood in economics (promotor H.P. Boswijk, co-promotor K.J. van Garderen). Mazza, J. (2012, 23 March). On the uncertain nature of human capital investments (promotor J. Hartog, co-promotor H. van Ophem). Stakėnas, P. (2012, 21 November). Fractional integration and cointegration in financial time series (promotor H.P. Boswijk). Weide R. van der (2012, 8 March). The time-variation of volatility and the evolution of expectations (promotors C.H. Hommes and H.P. Boswijk). Zu, Y. (2012, 19 January). Essays on nonparametric econometrics of stochastic volatility (promotor H.P. Boswijk). Recognition Çakmaklı, C. (2012). AXA post-doc research fund with 120,000 Euros for two years. Garderen, K.J. van (2012). European Doctorate in Economics Erasmus Mundus programme organized by a consortium of seven universities and coordinated by Universite Paris 1, Sorbonne Pantheon, was selected by the EU (EACEA) under Erasmus Mundus Action 1 Call for proposals (/29/09). Conference organiser Bun, M.J.G. (2012). Member of the programme committee of the 18th International Conference on Panel Data, Paris, 2012. Bun, M.J.G. (2012). Member of the programme committee of the Econometric Society European Meetings (ESEM), Malaga, 2012. Çakmaklı, C. (2012). Workshop on Recent Theory and Applications of DSGE Models, Rotterdam, Netherlands, 8 June 2012. Garderen, K.J. van (2012). Co-ordinating Committee Member of the Netherlands Econometric Study Group (NESG). Editorship Kiviet, J.F. (2012). Member of the Editorial Board of Foundations and Trends in Econometrics. Kleibergen, F. (2012). Associate editor of Economic Letters. Keynote/invited talk Gooijer, J.G. de (2012, 22 March). "Nonparametric portmanteau tests for detecting nonlinearities in high dimensions". Institute for Advanced Studies, Vienna. Kleibergen, F. (2012, 11 July), "Reality checks for and of factor pricing", NBER Forecasting and Empirical Methods in Macroeconomics and Finance Workshop, Cambridge. Other lectures Boswijk, H.P. (2012, 6 July). "Improved likelihood ratio tests for cointegration rank in the VAR model", Quantitative Economics Colloquium, Freie Universität Berlin. Boswijk, H.P. (2012, 29 August). "Improved likelihood ratio tests for cointegration rank in the VAR model". EEA-ESEM 2012, Málaga. Boswijk, H.P. (2012, 22 November). "Wild bootstrap with statistical leverage", Bootstrap Workshop, University of Copenhagen. Boswijk, H.P. (2012, 15 December). "Improved likelihood ratio tests for cointegration rank in the VAR model", 23 rd (EC) 2 Conference on Hypothesis Testing, Maastricht. Broda, S.A. (2012, 27 August). "Tail probabilities and partial moments for quadratic forms in multivariate generalized hyperbolic random vectors", 20th International Conference on Computational Statistics (COMPSTAT), Limassol, Cyprus. Broda, S.A. (2012, 16 November). "Tail probabilities and partial moments for quadratic forms in multivariate generalized hyperbolic random vectors", Statistics Research Seminar, University of Geneva, Switzerland. Bun, M.J.G. (2012, 9 March). "Identification in linear dynamic panel data models". Monash Econometrics and Business Statistics seminar, Monash University, Melbourne. Bun, M.J.G. (2012, 2 May). "Currency unions and international trade: causal inference with panel data". Seminar study group in panel data, Monash University, Melbourne. Bun, M.J.G. (2012, 7 June). "Empirical trade models: causal inference with panel data". Seminar Curtin Business School, Curtin University, Perth. Bun, M.J.G. (2012, 5 July). "Identification in linear dynamic panel data models". Econometric Society Australasian Meeting (ESAM), Deakin University, Melbourne. Bun, M.J.G. (2012, 18 July). "Deterrence and crime: causal inference with panel data". Division of Economics seminar, Nanyang Technological University, Singapore. Bun, M.J.G. (2012, 26 October). "Deterrence and crime: causal inference with panel data". Workshop on recent developments in Econometrics, Universitat Rovira i Virgili, Reus. Bun, M.J.G. (2012, 1 November). "Mean stationarity in dynamic panel data models". UvAEconometrics workshop, University of Amsterdam, Amsterdam. Bun, M.J.G. (2012, 31 May). "Dynamic panel data models". Special Lectures in Econometrics, Monash University, Melbourne. Çakmaklı, C. (2012, 6 April). "Bayesian semiparametric dynamic Nelson-Siegel model", Society for Nonlinear Dynamics and Econometrics (SNDE) 20th Annual Symposium, Istanbul, Turkey, April 5–6, 2012. Çakmaklı, C. (2012, 8 June). "Inflation regimes, technological change and weak identification in an NKPC model with forward looking price behavior", Workshop on Recent Theory and Applications of DSGE Models, Rotterdam, Netherlands. Çakmaklı, C. (2012, 1 November). "Posterior-predictive evidence on US inflation using a New Keynesian Phillips curve with weak identification, regime shifts and technological change", European Seminar on Bayesian Econometrics, Vienna, Austria, 1–2 November 2012. Çakmaklı, C. (2012, 8 November). "Posterior-predictive evidence on US inﬂation patterns using alternative Phillips curve structures and non-ﬁltered time series". ECARES, Brussels, Econometrics and Statistics seminars. Çakmaklı, C. (2012, 3 December). "Inflation regimes, technological change and weak identification in an NKPC model with forward looking price behavior", 6th CSDA International Conference on Computational and Financial Econometrics (CFE'11), Oviedo, Spain, 1–3 December 2012. Garderen, K.J. van (2012, 4 October). Seminar University of Southampton "Conditional Bimodality in a Simple Structural Equations Model". Giersbergen, N.P.A. van (2012, 8 June). "Bootstrapping subset test statistics in IV regression". Netherlands Econometrics Study Group, Groningen, The Netherlands. Giersbergen, N.P.A. van (2012, 1 December). "Bootstrapping subset test statistics in IV regression". Computational and Financial Econometrics, Oviedo, Spain. Kiviet, J.F. (2012, 23 February). Lunch seminar on "Exploiting strong instruments unduly neglected by standard GMM" at the University of Amsterdam. Kiviet, J.F. (2012, 21 March). Seminar on "Exploiting strong instruments unduly neglected by standard GMM" at the Department of Economics of Carlos III University Madrid (Spain). Kiviet, J.F. (2012, 30 March). Seminar on "Exploiting strong instruments unduly neglected by standard GMM" at the Department of Management, Technology and Economics, ETH, Zurich (Switzerland). Kiviet, J.F. (2012, 15 June). Seminar on "Exploiting strong instruments unduly neglected by standard GMM" at the Department of Econometrics and Business Statistics of Monash University, Melbourne (Australia). Kiviet, J.F. (2012, 21 June). Lunch time seminar organized by the Department of Economics of Melbourne University at the "La Spagetatta" restaurant on: "To IV or not to IV?: the answer to that question is KLS". Kiviet, J.F. (2012, 5 July). Presented the paper: "Exploiting strong instruments unduly neglected by standard GMM" at the Econometric Society Australasian Meeting 2012, Melbourne (Australia), July 4-6. Kiviet, J.F. (2012, 24 October). Presentation at the NTU-Yonsei joint workshop at NTU on the paper "Refraining from instrumental variables by exchanging orthogonality conditions for simultaneity assumptions". Kiviet, J.F. (2012, 21 November). Lunch seminar at the NTU Division of Economics on "Refraining from instrumental variables by exchanging orthogonality conditions for simultaneity assumptions". Kleibergen, F. (2012, 22 March). "Reality checks for and of factor pricing", Tilburg University. Kleibergen, F. (2012, 12 April). "Identification in linear dynamic panel data models", Columbia University, New York. Kleibergen, F. (2012, 20 April). "Identification in linear dynamic panel data models", Boston College, Boston. Kleibergen, F. (2012, 8 May). "Inference on subsets of parameters in linear IV without assuming identification", University of California San Diego, San Diego. Kleibergen, F. (2012, 10 May). "Reality checks for and of factor pricing", Federal Reserve of New York, New York. Klein, A. (2012, 21 June). "An algorithm for the exact Fisher information matrix of vector ARMAX time series processes", presented at SIAM Conference on Applied Linear Algebra. Universitat Politècnica de València, Valencia, Spain, June 18–22. Klein, A. (2012, 14 November). "Transformed statistical distance measures and the Fisher information matrix", presented at The 2012 Haifa Matrix Theory Conference, Technion Haifa, Israel, November 12–15. Ophem, H. van (2012, August 28). "Adverse selection and moral hazard in the choice of the deductible in health costs insurance”, presented at ESEM 2012, Malaga, Spain. Ophem, H. van (2012, September 21). "Reservation wages and starting wages", presented at EALE 2012, Bonn, Germany. Membership academies Boswijk, H.P. (2012). Fellow Tinbergen Institute. Boswijk, H.P. (2011). Member of European Time-Series Econometric Research Network (ETSERN). Boswijk, H.P. (2012). Member of PhD committee of Cem Çakmaklı (Erasmus University Rotterdam, 26 January 2012), and of Paweł Janus (VU University, 16 February 2012). Boswijk, H.P. (2012). Member of the international evaluation panel of the Graduate School Of Social Sciences, University Of Copenhagen (13–15 November 2012). Broda, S. A. (2012). Fellow Tinbergen Institute. Bun, M.J.G. (2012). Fellow Tinbergen Institute. Cramer, J.S. (2012). Fellow of the Econometric Society. Cramer, J.S. (2012). Resting member of the Royal Netherlands Academy of Arts and Sciences Cramer, J.S. (2012). Honorary research fellow Tinbergen Institute. Çakmaklı, C. (2012). Fellow of the Rimini Center for Economic Analysis (RCEA). Çakmaklı, C. (2012). Research Associate at Center for Economics and Econometrics, Bogazici University, Turkey. Garderen, K.J. van (2012). Member Doctoral Board of EDEEM (European Doctorate in Economics- Erasmus Mundus). Gooijer, J.G. de (2012). Honorary Fellow International Institute of Forecasters. Kiviet, J.F. (2012). Elected member of the Royal Netherlands Academy of Arts and Sciences Kiviet, J.F. (2012). Fellow of Journal of Econometrics. Kiviet, J.F. (2012). Fellow Tinbergen Institute. Kiviet, J.F. (2012). Member CESifo research network. Kleibergen, F. (2012). Fellow of Journal of Econometrics. Kleibergen, F. (2012). Associate research fellow Tinbergen Institute. Relevant positions Boswijk, H.P. (2012). Member of the Board of the Tinbergen Institute. Boswijk, H.P. (2012). Referee for: Journal of Applied Econometrics, Journal of Econometrics, Journal of Economic Dynamics and Control, Journal of Time Series Analysis. Broda, S.A. (2012). Referee for: Mathematical Finance. Bun, M.J.G. (2012). Visiting scholar Monash University (February–July 2012). Bun, M.J.G. (2012). Visiting scholar Nanyang Technological University (15–21 July, 2012). Bun, M.J.G. (2012). Referee for: Econometric Reviews, Econometric Theory, Economics and Human Biology, Economics Letters, Journal of Applied Econometrics, Journal of Business & Economic Statistics, Journal of Econometrics, Journal of Statistical Planning and Inference, Journal of the Royal Statistical Society, Oxford Bulletin of Economics and Statistics, Spatial Economic Analysis, The World Economy. Çakmaklı, C. (2012). Referee for: Emerging Markets Finance and Trade, Journal of Applied Econometrics, Journal of Econometrics, International Journal of Forecasting. Garderen, K.J. van (2012). Referee for: Journal of Economic Dynamics and Control. Giersbergen, N.P.A. van (2012). Referee for: Computational Statistics & Data Analysis. Kiviet, J.F. (2012). Visiting professor at the Department of Econometrics and Business Statistics of Monash University, Melbourne (Australia) from 11–22 June 2012 to give a short course on "Monte Carlo simulation for econometricians; methods, accuracy, methodology". Kiviet, J.F. (2012). Visiting Professor at Nanyang Technological University, Singapore (1 July – 31 December 2012). Kiviet, J.F. (2012). Referee for: Econometric Theory, Journal of Applied Econometrics, Computational Statistics and Data Analysis, Journal of Econometrics, The Econometrics Journal. Kleibergen, F. (2012). Referee for: Journal of Econometrics, Journal of Applied Econometrics, Econometric Theory, Econometrica, Journal of Business & Economic Statistics, Review of Economics and Statistics, The Econometrics Journal, Economics Letters. 6. EQUILIBRIUM, EXPECTATIONS & DYNAMICS Programme director: Prof.dr. C.H. Hommes & dr.ir. F.O.O. Wagener Metis-code: uva/feb/ase/eed JEL-Classification: C, D, E6 Starting date: 1998 Website: http://cendef.uva.nl VSNU-Scores 2001-2007: Quality: 4.5, Productivity: 4.5, Relevance: 5, Viability:5 6.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Anufriev, M. \| dr. \| ud \| 0,50 \| 0,50 \| 0,50 \| 0,02 \| 1 \| \| Assenza, T. \| dr. \| postdoc \| 0,11 \| 0,11 \| 0,08 \| - \| 3 \| \| Assenza, T. \| dr. \| postdoc \| - \| - \| - \| 0,16 \| 1 \| \| Bao, T. \| msc \| phd \| 0,20 \| 0,60 \| 0,60 \| - \| 1 \| \| Bao, T. \| dr. \| postdoc \| - \| - \| - \| 0,80 \| 3 \| \| Bekiros, S. \| dr. \| guest \| 0,00 \| - 0,00 \| - \| - - \| 1 \| \| Cornea, A. \| dr. \| postdoc \| 0,25 \| \| 0,00 \| \| 3 \| \| Diks, C. (CeNDEF) \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| 0,50 \| 1 \| \| Furth, D. \| dr. \| guest \| 0,00 \| - - 0,33 \| - \| - - - \| 1 \| \| Heemeijer, P. (CeNDEF) \| dr. \| guest \| 0,00 \| \| - \| \| 1 \| \| Heijnen, P. \| dr. \| ud \| 0,50 \| \| - \| \| 1 \| \| Hommes, C.H. (CeNDEF) \| prof. dr. \| hgl \| 0,50 \| 0,50 - \| 0,50 \| 0,47 0,07 \| 1 \| \| Hommes, C.H. (CeNDEF) \| prof. dr. \| hgl \| - \| \| - \| \| 2 \| \| Kiseleva, T. \| msc \| phd \| 0,60 \| 0,30 \| 0,57 \| - \| 2 \| \| Kiseleva, T. \| dr. \| postdoc \| - \| - - 0,50 - - \| - \| 0,07 0,80 0,25 0,80 0,00 \| 1 \| \| Kopányi, D. \| msc \| phd \| - \| \| 0,33 \| \| 1 \| \| Koster, M.A.L. \| dr. \| ud \| 0,50 \| \| 0,41 \| \| 1 \| \| Leij, M. van der \| dr. \| postdoc \| - \| \| 0,60 \| \| 2 \| \| Leur, M. van de \| msc \| guest \| - \| \| 0,00 \| \| 3 \| \| Makarewicz, T. \| msc \| phd \| - \| - \| 0,33 \| - \| 1 \| \| Makarewicz, T. \| msc \| phd \| - \| - \| \| 0,80 \| 2 \| \| Massaro, D. \| msc \| phd \| 0,60 \| 0,60 \| 0,47 \| - \| 1 \| \| Massaro, D. \| dr. \| postdoc \| - \| - \| \| 0,80 \| 2 \| \| Mohammadian Moghayer, S. \| msc \| phd \| 0,60 \| 0,45 \| 0,40 \| - \| 1 \| \| Negriu, A. \| msc \| phd \| - \| - - \| \| 0,20 \| 1 \| \| Ochea, M.I. \| msc \| phd \| 0,00 \| - \| - \| - \| 1 \| \| Ochea, M.I. \| dr. \| ud \| - - \| \| 0,00 \| 0,17 \| 1 \| \| Ramer, R. \| dr. \| ud \| 0,08 \| 0,03 \| 0,00 \| 0,00 \| 1 \| \| Sniekers, F. \| msc \| phd \| - \| - - \| \| 0,13 \| 1 \| \| Tuinstra, J. (CeNDEF) \| prof. dr. \| hgl \| 0,50 \| 0,50 - 0,80 - \| 0,50 \| 0,50 0,80 0,50 0,00 \| 1 \| \| Veld, D. in 't \| msc \| phd \| - \| \| 0,80 \| \| 2 \| \| Wagener, F. (CeNDEF) \| dr. \| uhd \| 0,80 \| \| 0,50 \| \| 1 \| \| Wang, J. \| msc \| guest \| - \| \| 0,00 \| \| 3 \| \| Weddepohl, H.N. \| prof. dr. \| guest \| 0,00 \| - \| - \| - \| 1 \| \| Weide, R. van der (CeNDEF) \| drs. \| phd \| 0,00 \| 0,00 - \| 0,00 \| 0,00 0,00 \| 1 \| \| Wolski, M. \| msc \| guest \| - \| \| 0,00 \| \| 3 \| \| \| \| \| \| Total 2010 \| \| Total 2012 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Wu, C. \| msc \| guest \| - \| - \| 0,00 \| - \| 1 \| \| Zeppini-Rossi, P. \| dr. \| guest \| 0,60 \| 0,60 0,00 1,00 \| 0,33 \| 0,00 0,00 0,00 \| 1 \| \| Zovko, I. (CeNDEF) \| dr. \| guest \| 0,00 \| \| 0,00 \| \| 1 \| \| Zhu, M. \| dr. \| guest \| 0,33 \| \| 0,00 \| \| 1 \| \| Total 1st flow of funds \| \| \| 6,21 \| 5,11 1,10 1,11 \| 5,37 \| 3,77 3,27 0,80 \| \| \| Total 2nd flow of funds \| \| \| 0,60 \| \| 1,97 \| \| \| \| Total 3rd flow of funds \| \| \| 0,36 \| \| 0,08 \| \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 4,81 \| 2,86 \| 2,91 \| 2,64 \| \| \| Total 1st-3rd flow of funds \| \| \| 7,17 \| 7,32 2,55 \| 7,42 \| \| \| \| Ph.D. students \| \| \| 2,00 \| \| 3,83 \| \| \| 6.2 PROGRAMME DESIGN The objective of the programme is the development of (mathematical) economic theory, focussing on the understanding of economic processes. The programme aims at developing models of economic behaviour in different areas of economics, including microeconomics, macroeconomics and finance. Emphasis is given to behavioural models of dynamic market phenomena. The research group employs a multi-disciplinary approach. The models are studied both from a theoretical and a computational perspective, and the validity of the models is tested in laboratory experiments with human subjects as well as empirically using real data. The NWOVernieuwingsimpuls Information Flows in Financial Markets, the EU STREP project Financial Markets and Complexity and the NWO-VIDI programme Structural Stability in Economic Dynamics are part of the research programme. The programme can be subdivided into five closely related and interacting research themes: Equilibrium theory: Individual optimising behaviour of economic agents generates aggregate supply and demand of commodities, as a function of prices and individual expectations. In equilibrium supply and demand are equal. Many types of equilibrium can be studied: partial versus general, competitive versus monopolistic, dynamic versus static, temporary equilibrium, single, representative agent as well as heterogeneous, interacting agents equilibria. The existence of equilibria is studied, as well as conditions for stability or instability of dynamic adjustment processes. Game theory & Industrial organisation: This part of the programme focuses on modelling strategic behaviour of economic agents in markets with imperfect competition, such as duopoly and oligopoly. Equilibria in non-cooperative games (e.g. duopoly, oligopoly) as well as cooperative games (costs sharing, general equilibrium) are studied. Evolutionary games with heterogeneous, boundedly rational strategies competing against each other are also studied. Expectations and learning: Bounded rationality models of expectation formation and learning schemes are becoming a serious alternative to rational expectations, which was the dominating paradigm until quite recently. The fully rational representative agent is replaced by a large heterogeneous population of boundedly rational interacting agents, who form expectations based upon time series observations and update their forecasting rules according to new observations and new information about market fundamentals. Conditions under which learning schemes converge to rational expectations or to a boundedly rational expectations equilibrium with excess volatility are investigated. Formation of expectations is studied in theory, in laboratory experiments with human subjects and in real markets. Nonlinear economic dynamics: This part of the programme focuses on nonlinear complexity models of dynamic market phenomena. Are market fluctuations mainly caused by random exogenous shocks, or can endogenous nonlinear economic laws of motion explain (a significant part of) the fluctuations? Various deterministic and stochastic economic models are studied theoretically, computationally as well as empirically, attempting to explain the most important stylised facts observed in real economic and financial time series. Emphasis is given to complex adaptive systems where markets consist of a large population of agents selecting simple strategies according to their relative success in the recent past. In these evolutionary adaptive systems endogenous variables such as prices and agents' beliefs co-evolve over time. Dynamic optimisation: Emphasis is given to dynamic optimisation problems in environmental economics, characterised by a conflict between economic benefits and ecological costs. Tools from nonlinear dynamics and bifurcation theory are employed to investigate non-convex dynamic optimisation problems. The main thrust is a structural analysis, that is, investigation of the global solution structure of dynamic optimisation problems and dynamic games. The qualitative changes of these solutions are studied under changes of the parameters. Geometrical methods, like bifurcation theory, normal form theory and perturbation theory, as well as numerical methods yield insights that hold not just at isolated parameter values, but for the complete parameter set. 6.3 PROGRAMME EVALUATION This program grew out of a mathematical economics program Equilibrium and Dynamics, led by Weddepohl, which was quite small until the mid nineties. The group was extended considerably at the end of 1998, thanks to an NWO-MaG Pionier grant awarded to Hommes, to set up the Center for Nonlinear Dynamics in Economics and Finance (CeNDEF). At that time the program changed from a small specialized mathematical economics program into a multi-disciplinary research program with an emphasis on economic theory, but also running laboratory experiments (in cooperation with Joep Sonnemans at CREED) to test behavioural theories and doing empirical work as well (in cooperation with Peter Boswijk at UvAEconometrics), in particular nonlinear time series analysis, to test behavioural models empirically. Weddepohl retired in 2002 while Furth and Koster joined the group in the same year; at that point game theory has been included as one of the research themes of the program. At the end of 2003, the CeNDEF postdocs Diks, Tuinstra and Wagener obtained tenured positions, ensuring the continuation of the research program. In 2009 the research program was ranked as one of the three top programs at the FEB by the VSNU "Visitatiecommissie" (Quality 4.5, Productivity 4.5, Relevance 5, Viability 5). From the report of the committee: "The group (...) is developing very fruitful projects on highly topical current issues." The publication record of the year 2012 is very good. The output was 10 articles in international refereed journals (of which 3 A and 7 B publications) and two B publications in books. Moreover, three PhD students, Te Bao, Domenico Massaro and Saeed Mohammadian Moghayer, defended their thesis successfully; Domenico Massaro was even awarded the doctorate cum laude. The programme is internationally established, as is shown by excellent citation statistics (e.g. according to the Science Citation Index (SCI) in 2012 almost 400 citations of published work by group members), many invited and several keynote lectures at international seminars, conferences and workshops by various members of the research group. In the IDEAS/RePEc ranking of Top 20% institutes (http://ideas.repec.org/top/top.netherlands.html), CeNDEF ranks as number 13, two positions up from last year. This ranking contains faculties of economics and departments; among the small institutes of the order of a research group (about 10 researchers) CeNDEF ranks 3rd on the list (after the UvA Finance Group and SCHOLAR, ex aequo with CREED). In 2012, two of the group members were promoted to Full Professor, Cees Diks and Jan Tuinstra. Moreover, a former PhD student, Marius Ochea, joined the group as Assistant Professor, as well as two prospective PhD students: Anghel Negriu and Florian Sniekers. The evaluation can be summarized in the following SWOT analysis of the CeNDEF activities. Strengths: international reputation as an excellent research group on nonlinear dynamics and complexity applications in economics and finance, high scientific impact (e.g., with more than 400 citations, Brock and Hommes, Econometrica 1997, is one of the best cited journal articles co-authored by a Dutch economist), regular international visitors, active seminars and international workshops, own working paper series, frequently visited website, good facilities for computing and travel. Weaknesses: relatively few publications in top mainstream journals, where multi-disciplinary work and non-mainstream approach such as agent-based modelling and complexity modelling are far from being well accepted; the number of links with practitioners and policy makers has been relatively low, but is now increasing. Opportunities: development of UvA Graduate School in Economics; application of groupspecific know-how to core economic problems, to demonstrate in this way the value of the programme's characteristic approach; developing more policy oriented research, e.g. through a new project on heterogeneous expectations in macro economics and monetary policy; for example, the NWO-complexity project is a research project jointly with researchers and policy makers at DNB. Threats: A multidisciplinary group is likely to be handicapped when evaluated in a monodisciplinary environment; and the complexity of the tools used may turn out to be an impediment at disseminating the research approach. 6.4 RESOURCES AND FUNDING The budget received from ASE-RI every year (about 12.000 Euro) only covers on average one conference per researcher per year. In the last couple of years the remaining CeNDEF budget (from the NWO-Pionier grant 1998-2003) was able to cover additional conferences, workshops, etc., if desired. A budget of the Faculty covers some of the costs for the Economics Colloquia; another budget of the Tinbergen Institute covers the costs of joint research seminars Cooperative Behaviour, Strategic Interaction and Complex Systems - CSC together with the VU mathematical economics group. The group has been quite successful in obtaining additional external funding. In July 2005 Wagener obtained a NWO-MaGW VIDI grant for the research proposal "Structural Stability in Economic Dynamics", which ended in December 2010. This project employs tools from nonlinear dynamics and bifurcation theory to investigate non-convex dynamic optimisation problems characterized by a conflict between economic benefits and environmental externalities. In September 2006 two PhD students (Kiseleva and Mohammadian Moghayer) started working on this project and a postdoc (Heijnen) started in December 2006. CeNDEF is part of a consortium of six research groups who obtained an EU FP7 grant for the collaborative project Monetary, Fiscal and Structural Policies with Heterogeneous Agents (POLHIA), which started november 2008 and ended october 2011. Mei Zhu has been appointed as postdoc under this program. In 2010, Cees Diks and Cars Hommes have obtained a NWO-Complexity grant of K€ 440 for the research proposal "Understanding financial instability through complex systems", jointly with DNB. Marco van der Leij and Daan in 't Veld are funded as post-doc and PhD student respectively through this grant. In 2011 and 2012, CeNDEF has been part of several European consortia that obtained grants: the EU FP7-ICT project "Complexity Research Initiative for Systemic InstabilitieS" (CRISIS), the EU COST action IS1104 "The EU in the new complex geography of economic systems: models, tools and policy evaluation", and two newly funded INET projects, "Coordination of Expectations", led by Roger Guesnerie and "Heterogeneous Expectations and Financial Crises", led by Cars Hommes. A newly funded EU FP7 Collaborative project Macro-Risk Assessment and Stabilization Policies with New Early Warning Signals (RASTANEWS) will start in 2013. 6.5 OUTPUT Key publications Anufriev, M. & Hommes, C.H. (2012), Evolutionary selection of individual expectations and aggregate outcomes, American Economic Journal–Micro 4 (4), 35-64. Brock, W.A., Hommes, C.H. & Wagener, F.O.O. (2009). More hedging instruments may destabilize markets. Journal of Economic Dynamics & Control, 33, (11), 1912-1928. Diks, C., Panchenko, V. & Dijk, D. van (2011). Likelihood-based scoring rules for comparing density forecastst in tails. Journal of Econometrics, 163, 215-230. Hommes, C.H. & Ochea, M.I. (2012), Multiple equilibria and limit cycles in evolutionary games with logit dynamics, Games and Economic Behavior 74, 434-441. Leij, M.J. van der (2011). Experimenting with buddies. Science, 334, (6060), 1220-1221. Polasky, S., Zeeuw, A. de & Wagener, F.O.O. (2011). Optimal management with potential regime shifts. Journal of Environmental Economics and Management, 62, 229-240. Schinkel, M.P., Tuinstra, J. & Rüggeberg, J. (2008). Illinois Walls: How barring indirect purchaser suits facilitates collusion, RAND Journal of Economics 39, 683-698. Forthcoming Anufriev, M., Assenza, T., Hommes, C., Massaro, D. Interest rate rules and macroeconomic stability under heterogeneous expectations. Macroeconomic Dynamics. Anufriev, M, Hommes, C.H. and Philipse, R.H.S. Evolutionary selection of expectations in positive and negative feedback markets, Journal of Evolutionary Economics. Diks, C., Hommes, C., and Zeppini, P. More memory under evolutionary learning may lead to chaos. Physica A 392(4), 808-812. Hommes, C.H., Behavioral rationality and heterogeneous expectations in complex economic systems, Cambridge University Press. Hommes, C.H., Lux, T., Individual expectations and aggregate behavior in learning to forecast experiments, Macroeconomic Dynamics 17(2), March 2013. Hommes, C.H., Sorger, G. and Wagener, F.O.O. (2013), Consistency of linear forecasts in a nonlinear stochastic economy, In: Bischi, G.I., Chiarella, C. and Sushko, I. (Eds.), Global Analysis of Dynamic Models in Economcs and Finance. Essays in Honour of Laura Gardini, Springer Verlag, Berlin, pp. 229-287. Massaro, D. Heterogeneous expectations in monetary DSGE models. Journal of Economic Dynamics and Control. Vrugt, J.A., Ter Braak, C.J., Diks, C.G.H., and Schoups, G. Hydrologic data assimilation using particle Markov chain Monte Carlo simulation: Theory, concepts and applications, Advances in Water Resources. Wagener, F.O.O. Regime Shifts: Early Warnings. Encyclopedia of Energy, Natural Resource and Environmental Economics. Elsevier. Publications in numbers \| E)quilibrium, Expectations & Dynamics \| \| \| \| 2012 \| \|---\|---\|---\|---\|---\| \| Academic \| a) in refereed journals \| A \| 3 \| 13 0 3 0 16 0 3 1 3 13 \| \| \| \| B \| 7 \| \| \| \| \| Other \| 3 \| \| \| \| b) in other journals \| \| \| \| \| \| c) book chapters \| A \| \| \| \| \| \| B \| 2 \| \| \| \| \| Other \| 1 \| \| \| \| d) proceedings \| \| 0 \| \| \| Subtotal \| \| \| \| \| \| 2) Books \| \| \| 0 \| \| \| 3) Ph.D. \| \| \| 3 \| \| \| 4) \| \| \| 1 \| \| \| 5) Popular \| \| \| 3 \| \| \| Working \| \| \| 13 \| \| \| Total \| \| \| \| 36 \| Article in journal - refereed A B Anufriev, M. & Hommes, C.H. (2012). Evolutionary selection of individual expectations and aggregate outcomes, American Economic Journal–Microeconomics 4 (4), 35-64. Bao, T., Hommes, C.H., Sonnemans, J. & Tuinstra, J. (2012). Individual expectations, limited rationality and aggregate outcomes. Journal of Economic Dynamics and Control 36, 1101-1120. Hommes, C.H. & Ochea, M.I. (2012). Multiple equilibria and limit cycles in evolutionary games with logit dynamics. Games and Economic Behavior 74, 434-441. Anufriev, M. and Hommes, C.H. (2012). Evolution of market heuristics. The Knowledge Engineering Review, 27(2), 255–271. Bao, Te and Yongqin Wang (2012). Incomplete contract, bargaining and optimal divisional structure. Journal of Economics 107(1), 81-96. Cincotti, S., Sornette, D., Treleaven, P., Battiston, S., Caldarelli, G., Hommes, C. and Kirman, A. (2012). An economic and financial exploratory, European Physical Journal Special Topics 214, 361-400. Farmer, J.D., Gallegati, M., Hommes, C., Kirman, A., Ormerod, P., Cincotti, S., Sanchez, A. and Helbing, D. (2012). A complex systems approach to constructing better models for managing financial markets and the economy, European Physcial Journal Special Topics 214, 295-324. Heemeijer, P., Hommes. C.H., Sonnemans, J. & Tuinstra, J. (2012). An experimental study on expectations and learning in overlapping generations models. Studies in Nonlinear Dynamics and Econometrics 16, Issue 4, Article 1. Hommes, C.H., Kiseleva, T., Kuznetsov, Y. and Verbic, M. (2012). Is memory in evolutionary selection (de) stabilizing?, Macroeconomic Dynamics 16, 335-357. Koster, M. (2012). Consistent cost sharing. Mathematical Methods of Operations Research 75, 1-28. Other Flores, R., Koster, M., Lindner, I., and Molina, E. (2012). Networks and collective action, Social Networks 34(2), 570-584. Gooijer, J. de, Diks, C. and Gatarek, L. (2012). Information flows around the globe: Predicting Opening Gaps from Overnight Foreign Stock Price Patterns. Central European Journal of Economic Modelling and Econometrics 4(1) 23-44. Negriu, A. and Piatecki, C. (2012). On the performance of voting systems in spatial voting simulations. Journal of Economic Interaction and Coordination 7, 63-77. Article in journal – professional Ductor, L, Kucinskas, S., Leij, M. van der, Robalo, P. & Van Veldhuizen, R. (2012). The collaboration network of Tinbergen Institute. Tinbergen Magazine, Fall 2012, 32-37. Article in magazine or newspaper – popular scientific Hommes, C.H. (2012). How expectations interact to create bubbles, interview for Institute of New Economic Thinking (INET), by Perry Mehrling (http://ineteconomics.org/). Koster, M. (2012, 15 October). Interview tijdschriftKijk. Veld, D. in 't (2012, 21 April). Crisisonderzoek. Interview for Het Financieele Dagblad. Book / book chapter – refereed B Diks, C.G.H. & Makarewicz, T. (2012). Initial Predictions in Learning-to-Forecast Experiment. In: Teglio, A., Alfarano, S., Camacho-Cuena, E., and Ginés-Vilar, M. (eds.). Managing Market Complexity: The Approach of Artificial Economics, Lecture Notes in Economics and Mathematical Systems, Volume 662, pp. 223-235. Springer. Kopányi, D. (2012). Heterogeneous Learning in Bertrand Competition with Differentiated Goods. In: Teglio, A., Alfarano, S., Camacho-Cuena, E., and Ginés-Vilar, M. (eds.). Managing Market Complexity: The Approach of Artificial Economics, Lecture Notes in Economics and Mathematical Systems, Volume 662, pp.155-166. Springer. Book / book chapter – non-refereed Boswijk, H.P., Griffioen, G. and Hommes, C.H. (2012). Success and failure of technical analysis in the cocoa futures market, In: Kyrtsou, C and Vorlow, C. (Eds.), Progress in Financial Markets Research, Nova Publishers, pp. 25-70. Report – working- and discussion papers Anufriev, M., Kopányi, D. & Tuinstra, J. (2012). Learning Cycles in Bertrand Competition with Differentiated Commodities and Competing Learning Rules. Amsterdam, University of Amsterdam, CeNDEF Working paper 12-05. Assenza, T., Brock, W.A. & Hommes, C.H. (2012). Animal Spirits, Heterogeneous Expectations and the Amplification and Duration of Crises. Amsterdam, University of Amsterdam, CeNDEF Working paper 12-07. Assenza, T. & Delli Gatti, D. (2012). E Pluribus Unum: Macroeconomic Modelling for Multiagent Economies. Amsterdam, University of Amsterdam, CeNDEF Working Paper 12-08. Cornea, A., Hommes, C.H. & Massaro, D. (2012). Behavioral heterogeneity in U.S. inflation dynamics. Amsterdam, University of Amsterdam, CeNDEF Working Paper 12-03. Frenken, K., Izquierdo, L. & Zeppini, P. (2012). Recombinant innovations and endogenous technological transitions. Eindhoven, Eindhoven University of Technology, ECIS Working Paper. Hommes, C.H., Zhu, M. (2012). Behavioral Learning Equilibria. CeNDEF Working paper 1209. Kovarik, J. & Leij, M.J. van der (2012). Risk aversion and social networks. Valencia, Ivie, Ivie Working paper WP-AD 2012-01. Lelyveld, I. van & Veld, D. in 't (2012). Finding the Core: Network Structure in Interbank Markets. Amsterdam, De Nederlandsche Bank, DNB Working Paper 348. Massaro, D. (2012). Heterogeneous expectations in monetary DSGE models. Amsterdam, University of Amsterdam, CeNDEF Working Paper 12-02. Ochea, M.I. (2012). Evolution of Repeated Prisoner's Dilemma Play under Logit Dynamics, University of Amsterdam, CeNDEF Working paper 12-10. Toomet, O., Leij, M.J. van der & Rolfe, M. (2012). Social networks and labor market inequality between ethnicities and races. Amsterdam-Rotterdam, Tinbergen Institute, TI Discussion paper TI 2012 – 120/II. Tuinstra, J. & Veld, D. in 't (2012). Market-Induced Rationalization and Welfare Enhancing Cartels. Amsterdam, University of Amsterdam, CeNDEF Working Paper 12-06. Wagener, F.O.O. (2012). Regime shifts: early warnings. Amsterdam, University of Amsterdam, CeNDEF Working paper 12-01. UvA Dissertation – internally prepared Bao, T. (2012, 24 October). Experiments on Heterogeneous Expectations and Switching Behavior. Universiteit van Amsterdam. [promotor prof.dr. C.H. Hommes] Massaro, D. (2012, 27 March). Bounded rationality and heterogeneous expectations in macroeconomics. Universiteit van Amsterdam. [promotor prof.dr. C.H. Hommes] Mohammadian Moghayer, S. (2012, 7 February). Bifurcations of indifference points in discrete time optimal control problems. Universiteit van Amsterdam. [promotor prof.dr. C.H. Hommes; co-promotor dr.ir. F.O.O. Wagener] Conference organiser Hommes, C.H. (2012, 5 March). KNAW Symposium Understanding and Managing Complex Systems, Amsterdam, 5 March, 2012. Veld, D. in 't (2012). Organizer of the CeNDEF reading group Networks in Markets, University of Amsterdam. Wagener, F.O.O. (2012). Member Organisation Committee of the 16 th Symposium of the International Society of Dynamic Games (Amsterdam, 2014). Wagener, F.O.O. (2012). Member Scientific Committee of the 12 th Viennese Workshop on Optimal Control, Dynamic Games and Nonlinear Dynamics,30 May – 2 June, 2012. Recognition Assenza, T. (2012). Unicredit Post-Doc grant for the project 'Animal Spirits and Financial Crises'. Principal investigator. Hommes, C.H. (2012). National Coordinator EU FP7 Pilot Flagship FuturICT. Hommes, C.H. (2012). 3 papers in the 25 most cited papers list of the 25 th anniversary Tinbergen Institute: - A rational route to randomness (joint with W.A. Brock), Econometrica 65(5), 1059-95, 1997; 312 SSCI citations, best cited TI paper 1997-2001; - Heterogeneous beliefs and routes to chaos in a simple asset pricing model, (joint with W.A. Brock), Journal of Economic Dynamics & Control 22(8-9), 1235-74, 1998; 267 SSCI citations, second best cited TI paper 1997-2001; - Behavioral heterogeneity in stock prices, (joint with H.P. Boswijk and S. Manzan), Journal of Economic Dynamics & Control 31(6), 1938-70; 31 SSCI citations 5 th best cited TI paper 2007-2012. Hommes, C.H. and Bao, T. (2012), Institute New Economic Thinking (INET) grant Heterogeneous expectations and financial crises (HExFiCs). Hommes, C.H. and Makarewicz, T. (2012). NWO Talent grant Learning to forecast with evolutionary models. Hommes, C.H. and Massaro, D. (2012). FP7–SSH–2012–1.3-1 Collaborative project MacroRisk Assessment and Stabilization Policies with New Early Warning Signals (RASTANEWS). Sloot, P. and Hommes, C.H. (2012). SIM-CITY, NWO e-Science Center grant. Media appearance Hommes, C.H. (2012, February 15). Economie en Schuld, VPRO Labyrint, Television Science Program. Editorship Assenza, T. (2012). Guest editor REPLHA Special Issue of Journal of Economic Dynamics and Control. Diks, C. (2012). Associate editor for Studies in Nonlinear Dynamics and Econometrics. Hommes, C.H. (2012). Editor Journal of Economic Dynamics & Control. Hommes, C.H. (2012). Editorial Board Complexity Economics. Hommes, C.H. (2012). Associate Editor Computational Economics. Hommes, C.H. (2012). Associate Editor Journal of Economic Interaction and Coordination. Hommes, C.H. (2012). Associate Editor Macroeconomic Dynamics. Leij, M.J. van der (2012). Associate editor for Network Science. Tuinstra, J. (2012). Associate Editor for Journal of Economic Dynamics & Control. Keynote/invited talk Assenza, T. (2012, 27-29 June 27-29). 'Animal Spirits, Heterogeneous Expectations and the Amplification and Duration of Crises'. INEXC : International Network on Expectational Cordination Conference, Paris, France. Invited lecture. Diks, C. (2012, 30 May). 'Phenomenological and ratio bifurcations of a class of discrete time stochastic processes', 12th Viennese Workshop, Vienna, Austria. Invited talk. Diks, C. (2012, 16 June). 'Nonparametric tests for serial independence and Granger noncausality: An overview', 1st Conference of the International Society for NonParametric Statistics, Chalkidiki, Thessaloniki, Greece. Invited talk. Diks, C. (2012, July). PhD Course on Agent Based Modelling, Nanjing University, China. Invited lecture series. Diks, C. (2012, 10 September). 'Complexity in Economics and Finance', Rotary International Division Amsterdam. Invited lecture. Diks, C. (2012, 10 October). 'Early Warning Signals for Critical Transitions in Economics and Finance?', KNAW Colloquium Early Warnings, Amsterdam. Invited lecture. Diks, C. (2012, 18 December). 'Complexity in Economics and Finance', Social Physics Workshop, Technical University Eindhoven. Invited lecture. Hommes, C.H. (2012, 30 May). `Behavioral Rationality and Heterogeneous Expectations in Complex Economic Systems', 12 th Vienneses Workshop, May 30-June 2, 2012, Vienna, Keynote Lecture. Hommes, C.H. (2012, 21 June). `Behavioral Rationality and Heterogeneous Expectations in Complex Economic Systems', 17 th Workshop on Heterogeneous Interacting Agents (WEHIA), June 21-23, 2012, Paris, Keynote Lecture. Hommes, C.H. (2012, 3 August). `Behavioral Learning Equilibria, Expectations in Dynamic Macroeconomic Models Conference, Federal Reserve Board of St Louis, August 2-4, St. Louis, USA, Invited Lecture. Hommes, C.H. (2012, 3 September). `Behavioral Rationality and Heterogeneous Expectations in Complex Economic Systems', European Conference on Complex Systems (ECCS), September 2-7, 2012, Brussel, Invited Plenary Lecture. Hommes, C.H. (2012, 6 September). `Behavioral Rationality and Heterogeneous Expectations in Complex Economic Systems', Artificial Economics, September 6-7, 2012, Castellon, Spain, Keynote Lecture. Hommes, C.H. (2012, 6 November). `The Heterogeneous Expectations Hypothesis Evidence from Laboratory Experiments', Dep. of Finance, Maastricht University, Invited Seminar. Hommes, C.H. (2012, 16 November). `Behavioral Rationality and Heterogeneous Expectations in Complex Economic Systems', INET-CIGI Workshop on AgentBased and Stock-Flow Modeling, November 15-17, 2012, Waterloo, Canada, Invited by Joe Stiglitz. Leij, M.J. van der (2012, 14 March). A social network analysis of occupational segregation. Workshop on segregation, schooling and social networks. CPB. The Hague, The Netherlands. Invited talk for workshop. Leij, M.J. van der (2012, 31 May). Social networks and research output. Eindhoven University of Technology. Eindhoven, The Netherlands. Invited seminar. Leij, M.J. van der (2012, 11 June). Social networks and research output. Tinbergen Institute Seminar: Networks in Economics. Tinbergen Institute. Amsterdam, The Netherlands. Invited talk for workshop. Leij, M.J. van der (2012, 1 July). Bounded rationality and incomplete information in network games. 12 th SAET Conference. Brisbane, Australia. Invited talk for session on Public Economics and Networks. Leij, M.J. van der (2012, 9 July). Complex methods in economics: An example of behavioral heterogeneity in house prices. Massey University. Auckland, New Zealand. Invited seminar. Leij, M.J. van der (2012, 23 August). Complex methods in economics: An example of behavioral heterogeneity in house prices. Magyar Nemzeti Bank. Budapest, Hungary. Invited seminar. Leij, M.J. van der (2012, 20 December). Social networks and research output. Stockholm University. Stockholm, Sweden. Invited seminar. Leur, M. van de (2012, 22 May). The role of available information under Individual Evolutionary Learning in a Continuous Double Auction. BiGSEM Colloquium, Universität Bielefeld, Germany. Invited lecture. Leur, M. van de (2012, 12 July). The role of available information under Individual Evolutionary Learning in a Continuous Double Auction. EDE-EM Jamboree, Université Paris 1, Paris, France. Tuinstra, J. (2012, 19 September). Learning, heterogeneous agents and complexity. COST Action IS1104 Workgroup 4 meeting, Urbino, Italy. Tuinstra, J. (2012, 28 September). An experimental investigation of learning and expectations in economic models. Tinbergen Institute – 25th anniversary, Amsterdam, The Netherlands. Wagener, F.O.O. (2012, 29 May). Analysing Feedback Nash equilibria in R&D competition with PDE methods. Day-0 Workshop, Vienna, Austria. Invited talk. Wagener, F.O.O. (2012, 30 May). Analysing R&D cooperation with bifurcation theory. 12 th Viennese Workshop on Optimal Control, Dynamic Games and Nonlinear Dynamics, Vienna, Austria. Invited talk. Wagener, F.O.O. (2012, 27 June). Experiments and Expectations. International Network on Expectational Coordination. Collège de France, Paris, France. Keynote lecture. Wagener, F.O.O. (2012, 17-21 September). Summer School of Mathematics for Economics and Social Sciences. Centro di Ricerca Matematica Ennio di Giorgi, San Miniato, Italy. Invited lecture series. Wagener, F.O.O. (2012, 25 October). Economic dynamics and bifurcation theory. Mathematisch Instituut. Utrecht. Invited lecture. Wagener, F.O.O. (2012, 13 November). Economic dynamics and bifurcation theory. Universität Bielefeld, Germany. Invited lecture. Wagener, F.O.O. (2012, 27 November). The lake game: Strategic decisions interacting with nonlinear dynamics. GERAD, Montréal, Canada. Invited seminar. Wagener, F.O.O. (2012, 29 November). Numerical methods to analyse feedback Nash equilibria in the lake pollution game. Fourth Workshop on Game Theory in Energy, Resources and Environment. Montréal, Canada. Invited talk. Other lectures Assenza, T. (2012, February 2-4). Individual Expectations and Aggregate Macro Behavior. 3rd Southern Europe Experimentalists Meeting, Lanzarote, Spain. Bao, T. (2012). Learning, forecasting and optimizing: an experimental study. Royal Economic Society Annual Meeting, 26-28 March, Cambridge, UK. Bao, T. (2012). A simple experiment on fee structure and mutual fund choice. Seminar at Université Libre de Bruxelles, 4 May, Brussels, Belgium. Bao, T. (2012). Learning, forecasting and optimizing: an experimental study. LeeX International Conference on Theoretical and Experimental Macroeconomics, 11-15 June, Barcelona, Spain. Bao, T. (2012). Learning, forecasting and optimizing: an experimental study. 18th International Conference on Computing in Economics and Finance, 27-29 June, Prague, Czech Republic. Bao, T. (2012). Learning, forecasting and optimizing: an experimental study. European Economic Association Annual Meeting, 27-31 August, Malaga, Spain Diks, C. (2012, 27 June). Complex methods in economics: An example of behavioral heterogeneity in house prices, SCE Conference - Computing in Economics and Finance, Prague, Czech Republic. Hommes, C.H. (2012, 1 February). `The Economy as a Complex Evolving System. Things to know for Policy Makers', Lezingencyclus Duurzame Economie, Utrecht, Invited Lecture. Hommes, C.H. (2012, 15 May). EU FP7 CRISIS project, Technical Review, Workpackage 4, Laboratory Experiments, Brussel. Hommes, C.H. (2012, 21 September). `Consistency of Linear Forecasts in a Nonlinear Stochastic Economy' Modelli Dinamici in Economia e Finanza (MDEF), Urbino, Italy, September 20-22, 2012, Contributed Talk. Hommes, C.H. (2012, 15 October). EU FP7 meeting on Macro, Finance and Monetary Policy under Heterogeneous Expectations, 15-16 October 2012, Frankfurt. Hommes, C.H. (2012, 10 November). `Chaos en Complexe Systemen in de Economie', UvA Docenten Dag Economie \& Bedrijfskunde, FEB, Amsterdam, Invited Lecture. Hommes, C.H. (2012, 16 November). Institute of New Economic Thinking (INET) Conference False Dichotomies: Economics and the Challenges of Our Time, November 16-17, 2012, Waterloo, Canada, Invited Discussant. Koster, M. (2012, 20 July). Conditional Prediction Values. SING-8 Conference, Budapest, Hungary. Makarewicz, T. (2012, 28 June). Learning-to-forecast with genetic algorithms. Computing in Economics and Finance 2012, Prague, Czech Republic. Makarewicz, T. (2012, 7 September). Initial predictions in learning-to-forecast experiment. Artificial Economics 2012, Castellón de la Plana, Spain. Makarewicz, T. (2012, 5 June). Learning-to-Forecast with genetic algorithms. TI PhD Lunch Seminar, Amsterdam. Makarewicz, T. (2012, 2 October). Initial predictions in learning-to-forecast experiment. TI PhD Lunch Seminar, Amsterdam. Makarewicz, T. (2012, 19 November). Learning-to-Forecast with genetic algorithms. CeNDEF PhD Lunch Seminar, Amsterdam. Leij, M.J. van der (2012, 23 January). Risk aversion and social networks. KAFEE Lunch seminar. University of Amsterdam. Netherlands. Internal seminar. Leij, M.J. van der (2012, 11 September). Complex methods in economics: An example of behavioral heterogeneity in house prices. Satellite Workshop of Latsis Symposium 2012: Economics on the Move. Zürich, Switzerland. Contributed talk. Leur, M. van de (2012, 22 November). Mean-reverting response to shocks in financial markets. CeNDEF PhD Lunch Seminar. Amsterdam. Leur, M. van de (2012, 4 December). The role of available information under Individual Evolutionary Learning in a Continuous Double Auction. CeNDEF PhD Lunch Seminar. Amsterdam. Ochea, M. (2012, 20-24 May). Evolution of reciprocity in n-person, asymmetric social dilemmas. Game Dynamics Workshop, May 20-24, 2012, Center for Rationality, Hebrew University, Jerusalem, Israel. Ochea, M. (2012, 9-10 June). Evolution of reciprocity in n-person, asymmetric social dilemmas. NORKLIMA Workshop, Oslo, Norway. Ochea, M. (2012, July). Competing Heuristics in Cournot Games. GAMES 2012, World Congress of the Game Theory Society, Istanbul, Turkey. Tuinstra, J. (2012, 20 September). Positive welfare effects of barriers to entry in a dynamic equilibrium model. Seventh MDEF Workshop, Urbino, Italy. Tuinstra, J. (2012, 28 June). On the stability of the Cournot solution under competing learning rules. The 18th International Conference on Computing in Economics and Finance, Prague, Czech Republic. Veld, D. in 't (2012, 31 January). Finding the core: Network structure in interbank markets. CeNDEF PhD Lunch Seminar. Amsterdam. Veld, D. in 't (2012, 4 February). Finding the core: Network structure in interbank markets. 17 th Coalition Theory Network Workshop. Paris, France. Veld, D. in 't (2012, 5 March). Understanding financial instability through complex systems: First results. KNAW Symposium Understanding and managing complex systems. Amsterdam. Veld, D. in 't (2012, 20 March). Network models of markets with intermediaries. CeNDEF reading group Network in Markets Presentation. Amsterdam. Veld, D. in 't (2012, 5 May). On the possibility of welfare-enhancing cartels. QED Jamboree. Copenhagen, Denmark. Veld, D. in 't (2012, 23 June). Finding the core: Network structure in interbank markets. Scientific Conference Networks in the Global World: Structural Transformations in Europe, the US and Russia. St. Petersburg, Russia. Veld, D. in 't (2012, 27 June). Behavioural heterogeneity and the financial crisis. 18th International Conference Computing in Economics and Finance (CEF). Prague, Czech Republic. Veld, D. in 't (2012, 6 November). Behavioural heterogeneity and the financial crisis. Tinbergen Institute Lunch Seminar. Amsterdam. Veld, D. in 't (2012, 26 November). Behavioural heterogeneity and the financial crisis. CeNDEF PhD Lunch Seminar. Amsterdam. Veld, D. in 't (2012, 14 December). Network structure in interbank markets: Core periphery networks. NWO Complexity Winterschool, Zandvoort. Wagener, F.O.O. (2012, 19 July). Markov–Perfect Nash Equilibria in Models With a Single Capital Stock. 15 th International Symposium on Dynamic Games and Applications. Liblice, Czech Republic. Wagener, F.O.O. (2012, 17 December). Economics of environmental regime shifts. KAFEE Lunch Seminar. Internal Seminar. Membership academies Diks, C. (2012). Fellow Tinbergen Institute. Koster, M. (2012). Dutch representative in SING. Hommes, C.H. (2012). Fellow Tinbergen Institute. Hommes, C.H. (2012). NWO Complexity Program Committee. Hommes, C.H. (2012, 19 March). PhD committee Jakob Grazini, Empirically Based Agentbased Models, Universita Torino, Italy. Hommes, C.H. (2012, 11 December). PhD committee Isabelle Salle, Heterogeneity, Learning and Monetary Policy: an Application to Inflation Targetting Regimes, Université Bordeaux, France. Leij, M.J. van der (2012). Junior Fellow Tinbergen Institute. Tuinstra, J. (2012). Fellow Tinbergen Institute. Wagener, F.O.O. (2012). Fellow Tinbergen Institute. Member of Management Committee COST action IS1104. Relevant position Assenza, T. (2012). Referee for: Journal of Economic Dynamics and Control; Journal of Economic Interaction and Coordination. Bao, T. (2012). Referee for: Journal of Economic Dynamics and Control, and Journal of Economic Behavior and Organization. Diks, C. (2012). Referee for: Advances in Complex Systems, Chaos, Economic Letters, Communications in Statistics - Theory and Methods, Empirical Economics, Energy Economics, Journal of Approximate Reasoning, Journal of Economic Behavior and Organization, Journal of Economics Dynamics and Control, Journal of Economic Interaction and Coordination, Methodology and Computing in Applied Probability, METRON, Water Resources Research. Hommes, C.H. (2012). Referee for: American Economic Review, Journal of Money Credit and Banking, Proceedings National Academy of Sciences (PNAS). Koster, M. (2012). Referee for: Mathematical Social Sciences, Mathematical Methods of Operations Research, Games and Economic Behavior. Leij, M.J. van der (2012). Referee for: Journal of Economic Dynamics and Control, Economic Journal. Massaro, D. (2012). Referee for: Journal of Economic Dynamics and Control. Ochea, M. (2012). Referee for: Games and Economic Behavior, Journal of Economic Dynamics and Control, Physica D, Applied Mathematics and Computation. Tuinstra, J. (2012). Referee for: Computational Economics, Decisions in Economics and Finance, Journal of Economic Behavior and Organization, Journal of Economic Dynamics and Control. Veld, D. in 't (2012). Referee for: Journal of Economic Dynamics & Control, Journal of Economics. Wagener, F.O.O. (2012). Referee for: Central European Journal for Operations Research, Journal of Dynamics and Differential Equations, Journal of Economic Dynamics and Control, Journal of Environmental Economics and Management, Mathematical Reviews, Resource and Energy Economics, Royal Society Interface, Strategic Behavior and the Environment. 7. ACTUARIAL SCIENCE Programme director: Prof.dr.ir. M.H. Vellekoop METIS code: uva/feb/ase/act JEL-classification: C, G2 Starting date: 1989 Website: www.aseri.uva.nl/act VSNU-scores 2001-2007: Quality: 4, Productivity: 4, Relevance: 5, Viability: 3.5 7.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Antonio, K. \| dr. \| ud \| 0,50 \| 0,60 \| 0,60 \| 0,60 0,32 0,47 - - 0,00 0,16 - 0,27 - - - - - 0,00 \| 2 \| \| Berkum, F. van \| msc \| phd \| - \| - \| 0,18 \| \| 3 \| \| Can, U. \| dr. \| postdoc \| - \| - \| - \| \| 2 \| \| Cao, J. \| msc \| phd \| 0,3 \| - \| - \| \| 3 \| \| Chen, A. \| dr. \| postdoc \| - \| - \| - \| \| 3 \| \| Cui, J. \| dr. \| ud \| 0,05 \| 0,20 \| 0,16 \| \| 1 \| \| Cui, J. \| dr. \| ud \| - \| - \| 0,15 \| \| 3 \| \| Dhaene, J. \| prof. dr. \| hgl \| 0,00 \| 0,00 \| - \| \| 3 \| \| Fan, Z. \| msc \| phd \| - \| - \| - \| \| 1 \| \| Goovaerts, M.J. \| prof. dr. \| bijz. hgl \| 0,21 \| 0,21 \| 0,07 \| \| 3 \| \| Haastrecht, A. van \| drs. \| phd \| 0,20 \| 0,10 \| 0,00 \| \| 1 \| \| Janssen, M.J.J. \| drs. \| phd \| 0,20 \| 0,20 \| 0,02 \| \| 3 \| \| Janssen, M.J.J. \| drs. \| guest \| - \| - \| 0,00 \| \| 1 \| \| Joseph, A.S. \| drs. \| phd \| 0,20 \| 0,20 \| 0,02 \| \| 3 \| \| Joseph, A.S. \| drs. \| guest \| - \| - \| 0,00 \| \| 1 \| \| Kaas, R. \| prof. dr. \| hgl \| 0,50 \| 0,40 \| 0,50 \| 0,50 \| 1 \| \| Kaas, R. \| prof. dr. \| hgl \| - \| - \| - \| - 0,40 \| 3 \| \| Kort, J. de \| msc \| phd \| - \| - \| 0,20 \| \| 3 \| \| Kuné, J.B. \| prof. dr. \| hgl \| 0,15 \| 0,00 \| 0,05 \| 0,00 0,75 \| 1 \| \| Laeven, R. \| prof. dr. \| hgl \| - \| - \| - \| \| 2 \| \| Pelsser, A.J. \| prof. dr. \| hgl \| 0,10 \| - \| - \| - - - - \| 3 \| \| Pelsser, A.J. \| prof. dr. \| hgl \| 0,25 \| - \| - \| \| 1 \| \| Plat, H.J. \| drs. \| phd \| 0,20 \| 0,20 \| 0,05 \| \| 3 \| \| Plat, H.J. \| drs. \| guest \| - \| - \| 0,00 \| \| 1 \| \| Ronner, A.E. \| prof. dr. \| bijz. hgl \| 0,10 \| 0,10 \| 0,20 \| 0,10 0,08 \| 3 \| \| Rijckevorsel, J.L.A. \| prof. dr. \| bijz. hgl \| 0,20 \| 0,20 \| 0,20 \| \| 3 \| \| Tamerus, J.H. \| drs. \| oz \| 0,00 \| 0,00 \| - \| - \| 1 \| \| Vellekoop, M. \| prof. dr. \| hgl \| 0,13 \| 0,40 \| 0,25 \| 0,25 0,32 \| 1 \| \| Vellekoop, M. \| prof. dr. \| hgl \| - \| - \| 0,15 \| \| 3 \| \| Willemse, W.J. \| dr. \| ud \| 0,21 \| 0,15 \| - \| - - \| 1 \| \| Willemse, W.J. \| dr. \| guest \| - \| - \| 0,00 \| \| 1 \| \| Total 1st flow of funds \| \| \| 1,99 \| 1,85 \| 0,96 \| 1,02 1,82 1,38 \| \| \| Total 2nd flow of funds \| \| \| 0,50 \| 0,00 \| 0,60 \| \| \| \| Total 3rd flow of funds \| \| \| 1,51 \| 1,11 \| 1,24 \| \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 1,79 \| 1,75 \| 0,96 \| 0,75 \| \| \| Total 1st-3rd flow of funds \| \| \| 4,00 \| 2,96 \| 2,80 \| 4,22 0,99 \| \| \| Ph.D. students \| \| \| 1,10 \| 0,70 \| 0,47 \| \| \| 7.2 PROGRAMME DESIGN The programme concerns both fundamental and applied research in the field of financial institutions. It is mainly directed at insurance companies (for life, non-life, pension and social insurance), but also at banks and other financial intermediaries. Research is performed on the mathematical modeling, estimation, appraisal and control of financial risks of such financial institutions under complete and incomplete information and for complete and incomplete markets. For long term insurance contracts, especially pensions, saving by insurance is significant, which leads to the study of optimal investment and consumption problems. An increasingly important aspect is the influence of the "risk of longevity" on the policies of life insurance, social insurance and care insurance. Newly reported statistics show that life expectancy continues to rise faster than predicted both in the Netherlands and abroad, and the modeling of this effect and its consequences for life insurance policies and pension contracts therefore remains an important area of investigation. Present-day challenges for non-life insurance contracts include decreasing profit margins, increasing competition and selective behaviour of the insured and of insurance companies. In social insurance, there are specific problems that emerge from the privatisation of social insurance contracts. Apart from studying problems in the separate fields of life, non-life, pension and social insurance, work is also done on the theoretical research subject which concerns the unification of several distinct actuarial theories in these fields, and their connection with stochastic financial mathematics. Supervision and regulation of insurance companies and pension funds form an important part of the field of actuarial research. Methods for risk measurement and the determination of solvency requirements have come under intensified scrutiny in the wake of the recent financial crisis. The new European regulatory framework Solvency II for insurers and the Dutch FTK regulation for pension funds lead to many important new research questions. The Actuarial Science group therefore works on the further development of actuarial risk theory, in particular the development of new mathematical and economic models in the fields of market-consistent valuation, market-consistent pricing and market-consistent embedded value for insurance portfolios. Other significant fields of research are the interaction between credibility theory, models for the estimation of unreported claims (IBNR) and actuarial ordering of risks, and their consequences for the determination of insurance premiums (risk classification). Credibility models can be viewed as Generalized Linear Mixed Models, having both random (subjectspecific) and fixed effects in the linear predictor. Generalized Linear Models and Generalized Linear Mixed Models can be used for a variety of actuarial statistical problems like survival modelling, graduation, multiple-state models, loss distributions, risk classification, premium rating and claims reserving in non-life-insurance. Other aspects are the homogeneity and heterogeneity of insurance portfolios, the probabilistic and subsidising solidarity imposed on the insured, the voluntary or compulsory character of the insurance, and the auto-selection and anti-selection of those insured. 7.3 PROGRAMME EVALUATION The year 2012 saw the arrival of three new members of our group. PhD student Zhenzhen Fan will perform research which is partially funded by APG, Sami Umut Can joined us from Cornell on a postdoc position and Roger Laeven was appointed as full professor for the chair 'Verzekeringseconomie' which is sponsored by het Verbond van Verzekeraars (the Dutch Association of Insurers). Laeven's research interests, which include axiomatic characterization of risk measures, models for stochastic dependence and decision under uncertainy, concern fundamental theoretical questions but they are also of increasing importance for actuarial practice. This year's publications therefore included abstract results on entropy coherent and entropy convex risk measures in the Mathematics of Operations Research, but also contributions on premium calculations and recursive computation methods in Insurance: Mathematics and Economics. The interplay between finance and insurance remains one of the main research subjects of the group. This is witnessed, for example, in the Netspar Research Theme Reconciliation of Short Term Risks and Long Term Goals for Retirement Provisions. This project came to an end in 2012 but funding for a new Netspar theme was acquired for the period 2013-2016. This new project, called Risk Management for Funded Pension Systems aims to "quantify the effects of changes in pension contracts, in risk measurement procedures and in the regulatory framework for different stakeholders in both the second and third pillar, using models which take explicit account of uncertainties in financial and demographic parameters." Research will be done in cooperation with the universities of Tilburg and Edinburgh and with industrial partners APG, AEGON and Cardano. Cardano also participated in a ICPM Research Project on the use of derivatives in pension funds; this project was completed in 2012 but mathematical models for derivatives will play a major role in the new Netspar project as well. Contacts with other research groups and financial institutions have been organized both in an international setting and in the Netherlands. Examples of the first include an international conference on backward stochastic differential equations (organized by Laeven), a summer schools at the KU Leuven (Antonio and Vellekoop) and the appointment of Antonio as chairman of the ASTIN scientific committee. The group also contributed to the organisation of the international conference on Insurance Mathematics and Economics in Hong Kong and the AFMATH conference in Brussels. Closer to home, the effects of new regulatory regimes were discussed during a mini symposium on Risk, Regulation and Supervision for Insurers and Pension Funds at the Royal Netherlands Academy of Arts and Sciences (KNAW) and at a workshop hosted by the Dutch Central Bank (DNB) on Countercyclical Regulation (in cooperation with the Finance group of the FEB and other universities in the Netherlands). Regulation also formed one of the topics of a joint publication of the Amsterdam Center for Insurance Studies (ACIS) and the Dutch Association of Insurers, to which the group contributed with essays on longevity risk and on possible improvements for pension contracts in the Netherlands. Strengths: New staff members have strengthened the position of the group with respect to its main research themes: stochastic loss reserving, mortality modeling, financial risk management, risk measures and dependence, regulatory design and pension reform. The group is therefore expected to continue to play an important role in the national and international research networks which study these issues. Weaknesses: The group is small and it has become harder to attract new staff members, both for tenure tracks and for PhD positions. Many excellent students choose to pursue a professional career outside academia. Opportunities: Research in the group comprises some traditional actuarial subjects but also looks at the interplay between finance and insurance which has received increased attention since the beginning of the financial crisis. This combination is very relevant for subjects such as pension reform and regulatory issues, which are expected to play an important role in the field the coming decade. Threats: The group has been successful in attracting more Master students for both Executive and regular programmes but numbers are relatively small compared to other programmes in the faculty. This leads to further pressure on the time available for research. 7.4 RESOURCES AND FUNDING Below are several Research grants awarded to members of the group: 10/2009 – 09/2012. Netspar theme grant: Reconciling Short Term Risks and Long Term Goals for Retirement Provisions, theme coordinator: prof. M.H. Vellekoop, €500.000. 11/2009 – 11/2012. VENI grant (NWO Vernieuwingsimpuls/Innovational Research Incentives Scheme) 'Non-life: A Life Insurance Approach', dr. K. Antonio, €250.000. 01/2010 – 01/2014. VIDI grant (NWO Vernieuwingsimpuls/Innovational Research Incentives Scheme) 'Econometrics of Contagion in Insurance and Finance', prof.dr.R.J.A. Laeven, €800.000. 01/2013 – 12/2015. Netspar theme grant: Risk Management for Funded Pension Schemes, theme coordinator: prof. M.H. Vellekoop, €500.000. 01/2012 – 01/2015 Chair 'Verzekeringseconomie' sponsored by Verbond van Verzekeraars (Dutch Association of Insurers), €400.000. 01/2012 – 01/2014 Sponsored PhD Research Grant, APG (Position of Zhenzhen Fan). 2013: Sponsored PhD Research Grant, Van Ameyde (Position to be filled). 7.5 OUTPUT Key publications Antonio K. & Valdez E.A. (2012). Statistical concepts of a priori and a posteriori risk classification. Advances in Statistical Analysis 96(2), 187-224. Kaas, R., Goovaerts, M.J., Dhaene, J. & Denuit, M. (2008). Modern actuarial risk theory — Using R. 2nd edition. Springer. Goovaerts, Marc J., Rob Kaas & Roger J. A. Laeven (2011). Worst case risk measurement: Back to the future?, Insurance: Mathematics and Economics 49, 380-392. Chen, A., Pelsser, A. and Vellekoop, M.H. (2011). Modeling Non-Monotone Risk Aversion Using SAHARA Utility Functions, Journal of Economic Theory 146(5), pp. 20752092. Plat, R. (2009). On Stochastic Mortality Modeling, Insurance: Mathematics and Economics 45 (3), pp. 393-404. Forthcoming Antonio K. & Plat R. (2013). Micro-level stochastic loss reserving in general insurance. Scandinavian Actuarial Journal. Accepted for publication. Cui, Jiajia, Bart Oldenkamp, and Michel Vellekoop (2013). When do derivatives add value in asset allocation problems for pension funds?, Forthcoming in Rotman International Journal of Pension Management, 6(1), Spring 2013. Tomas, J. (2012). Essays on boundaries effects and practical considerations for graduation of mortality by local likelihood models. Insurance and Risk Management, 80(2), forthcoming. A Other Publications in numbers \| Actuarial Science \| \| \| \| \|---\|---\|---\|---\| \| 1) \| a) in refereed journals \| A \| 3 \| \| \| \| B \| 0 \| \| \| \| Other \| 4 \| \| \| b) in other journals \| \| 0 \| \| \| c) book chapters \| A \| 0 \| \| \| \| B \| 0 \| \| \| \| Other \| 0 \| \| \| d) proceedings \| \| 0 \| \| Subtotal \| \| \| \| \| 2) Books \| \| \| 0 \| \| 3) Ph.D. \| \| \| 0 \| \| 4) \| \| \| 7 \| \| 5) Popular \| \| \| 3 \| \| Working \| \| \| 11 \| Article in journal – refereed Dhaene, J., Goovaerts, M., Vanmaele, M. & Van Weert, K. (2012). Convex Order Approximations in case of Cash Flows of Mixed Signs. Insurance: Mathematics and Economics, 51, p. 249-256. Goovaerts, M.J., Linders, D. Van Weert, K. & Tank, F. (2012). On the interplay between distortion-, mean value- and Haezendonck-Goovaerts risk measures. Insurance: Mathematics and Economics, 51 (3), 10-18. Kaluszka, M., Laeven, R.J.A. & Okolewski, A. (2012). A note on weighted premium calculation principles, Insurance: Mathematics and Economics 51, 379-381. Antonio K. & Valdez E.A. (2012). Statistical concepts of a priori and a posteriori risk classification. Advances in Statistical Analysis 96(2), 187-224. Goovaerts, M.J., Laeven, R.J.A. & Shang, Z. (2012). Transform analysis and asset pricing for diffusion processes: A recursive approach, Journal of Computational Finance 16, 4781. Van Weert, K. Dhaene, J. & Goovaerts, M.J. (2012). Comonotonic approximations for the probability of lifetime ruin, Journal of Pension Economics and Finance, 11 (2), p. 285–309. Tomas, J. (2012). Univariate graduation of mortality by local polynomial regression. Bulletin Français d'Actuariat, 12(23), 5-58. Article in journal – professional Antonio K. & Plat R. (2012). Schadereservering anders?: van driehoeken naar micro-data. De Actuaris Juli 2012, 32-34. Laeven, R.J.A. (2012). Verzekeraars en pensioenen: Aantrekkelijke alternatieven voor het StAr RAM-contract, ACIS/Verbond van Verzekeraars bundel, juni 2012. Ayadi, R., Danielsson, J., Laeven, R.J.A., Pelsser, A.A.J., Perotti, E.C. & Wüthrich, M.V. (2012). Countercyclical regulation in Solvency II: Merits and flaws, VOXEU. [7,000 downloads in 2012. Tamerus, J.H. (2012). Defined Ambition, De Actuaris 19 (3), pp 16-17, interview. Vellekoop, M.H. (2012). Langlevenrisico bij Verzekeraars, ACIS/Verbond van Verzekeraars bundel, juni 2012. Article in magazine or newspaper – popular scientific Tamerus, J.H. (2012, January). Pensioenen zijn al langer broos, De Financiele Telegraaf, interview. Tamerus, J.H. (2012, March). Pensioenfondsen verzwakt door indexatiestreven/ Kritiek op pensioenplan pijnlijk, Het Financieele Dagblad, interview. Tamerus, J.H. (2012, April). Zijn we nog op tijd?, Het Financieele Dagblad. Inaugural Lecture Laeven, R.J.A. (2012). Contagion: Challenges in Risk and Insurance, Inaugural Lecture, Amsterdam: AUP Press. Report – professional Antonio, K. (2012). Sluiten van de periodetafel GBM/V 2005-2010. Rapport uitgegeven door het Actuarieel Genootschap – Actuarieel Instituut, bijlage bij het rapport 'Prognosetafel AG 2012-2062', 28 pagina's. Antonio, K., Vellekoop, M.H. et. al. (2012). Prognosetafel AG 2012-2062. Rapport uitgegeven door het Actuarieel Genootschap – Actuarieel Instituut, 25 pagina's. Report – working- and discussion papers Antonio, K. & Zhang Y. (2012). Mixed models for predictive modeling in actuarial science. AFI Research Report, KU Leuven, Belgium. Antonio, K. & Plat, R. (2012). Micro-level stochastic loss reserving in general insurance. AFI Research Report, 12_70, KU Leuven, Belgium. (Accepted for Scandinavian Actuarial Journal) Aït-Sahalia, Y., Cacho-Diaz, J.A. & Laeven, R.J.A. (2012). Modeling financial contagion using mutually exciting jump processes, Mimeo, Princeton University and University of Amsterdam. Cui, J. & Ponds, E. (2012). From intergenerational risk sharing to intergenerational risk trading, working paper, University of Amsterdam. Cui, J. & Van den Goorbergh, R. (2012). Investing in illiquid assets: implications for long term institutional investors, working paper, University of Amsterdam. Laeven, R.J.A. & Stadje, M.A. (2012). Robust portfolio choice and indifference valuation, Mimeo, University of Amsterdam and Tilburg University. Pigeon, M., Antonio, K. & Denuit, M. (2012). Individual claims reserving with the multivariate skew normal model. AFI Research Report, 12_61, KU Leuven, Belgium. Tomas, J. & Planchet, F. (2012 a). Multidimensional smoothing by adaptive local kernelweighted log-likelihood with application to long-term care insurance. ISFA – Laboratoire SAF Working paper – n. 2012.8 (Submitted to Insurance Mathematics & Economics). Tomas, J. & Planchet, F. (2012b). Essays on the construction and validation of specific propspective mortality tables. ISFA – Laboratoire SAF Working paper. van Berkum, F. (2012, September). Structural breaks in mortality trends, joint work with Michel Vellekoop and Katrien Antonio, ttp://www.netspar.nl/events/admin/file.aspx?lid=1&id=1756. Vercruysse W., Dhaene J., Denuit M., Pitacco E. & Antonio K. (2012). Premium indexing in lifelong health insurance. AFI Research Report 12_74, KU Leuven, Belgium. Conference organiser Antonio, K. (September 20-21, 2012). Organizer of the IA\|BE Summer School on 'Valuation of contingent claims', KU Leuven. Antonio, K. (2012). Chair of the scientific committee of ASTIN 2013: The Hague. Laeven, R.J.A. (September 6, 2012). Organizer of a Mini Symposium on Risk, Regulation and Supervision for Insurers and Pension Funds, Royal Netherlands Academy of Arts and Sciences (KNAW). Laeven, R.J.A. (April 27, 2012). Academic Co-Organizer of a Workshop on Countercyclical Regulation at the Dutch Central Bank. Laeven, R.J.A. (January 18, 2012). Co-Chair of the Organizing Committee of the CWIEurandom International Workshop on Backward Stochastic Differential Equations. Kaas, R. ( June 28-30, 2012). Member Scientific Committee, IME Conference 2012; Hong Kong. Vellekoop, M.H. (2012). Member Scientific Committee, AFMath Conference 2012, Brussels. Recognition Antonio, K. Supervisor of the MSc paper of Laurence Verheye and Siska Depril, 'Een analyse van het AG-AI sterftemodel', Master in de verzekeringen, KU Leuven. Awarded the AFI thesis award (1,000 euro) for the best MSc thesis in insurance (June 2012). Antonio, K. Supervisor of the MSc thesis of Hok-Kwan Kan, 'A Bayesian mortality forecasting framework for population and portfolio mortality', Master in Actuarial Science and Financial Mathematics, University of Amsterdam. Awarded 2nd place, Johan de Witt thesis prize by the Dutch Actuarial Association (AG-AI) (March 2012). Antonio, K. Supervisor of the MSc thesis of Frederik Borgers, 'Micro-level stochastic loss reserving', Master in Actuarial and Financial Engineering, KU Leuven. Awarded the IA\|BE thesis prize (1,000 euro) for the best MSc thesis in actuarial science. Antonio, K. Co-chairholder of the AG Insurance Research Chair on health insurance, KU Leuven, with prof. J. Dhaene and prof. M. Denuit, 12.2011-09.2015. Laeven, R.J.A. Best EMAS Teacher 2012 awarded by TIAS NIMBAS Business School to the teacher with the highest student evaluations in the Executive Master of Actuarial Science (EMAS). Laeven, R.J.A. Van Ameyde PhD Research Grant 2012. Laeven, R.J.A. APG PhD Research Grant 2012. Laeven, R.J.A. Sponsorship Chair of Risk and Insurance by the Dutch Association of Insurers. Laeven, R.J.A. Netspar Theme Grant 2012 (one of eight participants). Laeven, R.J.A. VIDI Research Grant 2009 awarded by the Netherlands Organization for Scientific Research (NWO). Ronner, A.J. (2012). Editor of Book "Risico en Risicomanagement in Nederland" Wolters Kluwer 2012, ISBN 978 90 13 10011 2. Vellekoop, M.H. (2012). Project leader Netspar Research Theme 2013-2016 'Risk management for funded pension schemes' (500.000 euro total). Media appearance Laeven, R.J.A. (Februari 2012). Interview en Profielschets (3 pagina's) in De Onderlinge, Een uitgave van de Federatie van Onderlinge Verzekeringmaatschappijen in Nederland, Jaargang 22, Nummer 2. Laeven, R.J.A. (September 2012). Interview en Profielschets (2 pagina's) in Infoplus, Uitgave voor leden van het Verbond van Verzekeraars, Nummer 8. Laeven, R.J.A. (6 augustus 2012). Interview in De Telegraaf. Editorship Goovaerts, M.J. Insurance: Mathematics and Economics, Editor. Goovaerts, M.J. Journal of Computational and Applied Mathematics, Editor. Laeven, R.J.A. Insurance Markets and Companies: Analyses and Actuarial Computations Associate Editor. , Laeven, R.J.A. Insurance: Mathematics and Economics, Associate Editor. Kaas, R. Insurance: Mathematics and Economics, Managing Editor. Keynote/invited talk Antonio K. (October 24, 2012). Micro-level stochastic loss reserving. Cass Business School, City University (London, UK). Antonio K. (October 18, 2012). Micro-level stochastic loss reserving. Statistics Seminar, Department of mathematics, KU Leuven. Goovaerts, M.J. (May 11, 2012). Solvency Capital: The Challenge between Theory and Practice- University of Piraeus. Goovaerts, M.J. (May 18, 2012). Decision Principles, University of Lausanne. Goovaerts, M.J. (June 24, 2012). Decision Principles, Conference Xiamen. Goovaerts, M.J. (June 28, 2012). On the interplay between distortion, mean value and Haezendonck-Goovaerts Risk Measures, IME conference ,Hong Kong. Goovaerts, M.J. (October 3, 2012). The mean value principle revisited, ICACCM, Ankara. Laeven, R.J.A. (October 31, 2012). Countercyclical regulation in Solvency II: Merits and flaws, Invited Speaker, AC Program, University of Leuven, Belgium. Laeven, R.J.A. (October 2, 2012). Actuaris maakt garanties waar?!, Invited Speaker, Actuarisdag, Nieuwegein, The Netherlands. Laeven, R.J.A. (September 11, 2012). Measuring systemic risk, Invited Speaker, Academic Advisory Board, APG, Amsterdam, The Netherlands. Laeven, R.J.A. (June 18, 2012). Measuring systemic risk, Invited Speaker, Universita Ca' Foscari Venezia, Venice, Italy. Laeven, R.J.A. (May 30, 2012). Measuring systemic risk, Invited Speaker, 20th Anniversary ISBA, the Quantitative Methods in Statistics, Biostatistics and Actuarial Sciences Conference, Louvain-la-Neuve, Belgium. Laeven, R.J.A. (April 27, 2012). Countercyclical premium in Solvency II, Invited Speaker, Workshop on Countercyclical Regulation, Dutch Central Bank, Amsterdam, The Netherlands. Laeven, R.J.A. (April 16, 2012). Measuring systemic risk, Invited Speaker, Tinbergen Institute, Amsterdam, The Netherlands. Janssen, M. (2012). 'Optimal Allocation of Diversification Benefits' Invited speaker at CEMAPRE seminar at ISEG, Universidade Tecnica de Lisboa (Lisbon, Portugal). Janssen, M. (2012). 'Optimal Allocation of Diversification Benefits' Invited speaker at DSA Seminar at Université de Lausanne (Lausanne, Switzerland). Tomas, J. (23 March 2012). Essays on graduation of mortality by adaptive local kernelweighted log-likelihood. Invited paper, Séminaire L2 – Lyon-Lausanne, Lausanne, Switzerland. Tomas, J. (24 May 2012). Essays on graduation of mortality by adaptive local kernelweighted log-likelihood. Invited paper, 44ème Journée de Statistique, Société Française de Statistique (SFdS), Université Libre de Bruxelles, Brussels, Belgium. Tomas, J. (June 28, 2012). Essays on graduation of mortality by adaptive local kernelweighted log-likelihood. Invited talk, 16th International Congress on Insurance Mathematics & Economics (IME), University of Hong-Kong, Hong-Kong, China. Vellekoop, M.H. (December 6, 2012). Optimal consumption and investment under Randomly Terminating Income. Invited Talk, University of Ulm. Vellekoop, M.H. (September 28, 2012). Nonlinear Filtering in stock price models. Keynote Speaker at Symposium in honor of prof. Arun Bagchi, University of Twente, Enschede. Vellekoop, M.H. (April 3, 2012). Non-monotone Risk Aversion and Optimal Investment: SAHARA Utility Functions. Invited talk, Korteweg De Vries Institute, Amsterdam. Vellekoop, M.H. (May 9, 2012). Eerlijk delen en eerlijk vermenigvuldigen. Invited talk, Actuariaatcongres, Felix Meritis, Amsterdam. Other lectures Antonio K. (December 20, November 14 and May, 2012). Stochastisch modelleren van sterfte-risico. Lecture for IIR (Institute for International Research, Amsterdam). Antonio K. (May 14, 2012). Stochastic loss reserving in non-life insurance. Lecture in the framework of the KU Leuven Actuarial Contact Program (ACP). Antonio K. (May 11, 2012). Statistical techniques for ratemaking and reserving in non-life insurance. Continuous Professional Development (CPD) for the Belgian Institute of Actuaries (IA\|BE). Antonio K. (March 14 and 21, 2012). Regressietechnieken voor schade- en levenactuariaat. Continuous Professional Development (CPD) for the Dutch Actuarial Assocation (AG-AI). Berkum, F. (November 9, 2012). Structural breaks in mortality rates, Netspar Pension Day (joint work with Michel Vellekoop and Katrien Antonio). Cui, J. (June 29, 2012). IME annual conference presentation on "When do derivatives add value in asset allocation problems for pension funds?", Hong Kong. Cui, J. (January 25, 2012). International Pension Workshop presentation on "When do derivatives add value in asset allocation problems for pension funds?", Amsterdam. Cui, J. (November 23, 2012). Netspar Working Group presentation on "Investing in illiquid assets: implications for long term institutional investors". Cui, J. (September 11, 2012). Netspar Pension Day presentation on "From intergenerational risk sharing to intergenerational risk trading", Amsterdam. De Kort, J. (November 9, 2012). Portfolio Selection under Uncertain Lifetime, Netspar Pension Day. Janssen, M. (2012). Contributed Talk: 'Optimal Allocation of Diversification Benefits' 1st European Actuarial Journal Conference (Lausanne, Switzerland). Laeven, R.J.A. (September 6, 2012). Contagion: Challenges in Risk and Insurance, Inaugural Lecture, University of Amsterdam, The Netherlands. Tamerus, J.H. (2012, March). Aan de slag met het pensioenakkoord Een draaiboek voor uw nieuwe pensioencontract. IIR ALM-Conference. Tamerus, J.H. (2012, April). In het verleden ligt het heden, in het nu wat komen gaat. Een draaiboek voor uw nieuwe pensioencontract. Belangengroep Pensioengerechtigden PFZW, Annual Congress. Tamerus, J.H. (2012, May). Aan de slag met het pensioenakkoord. Bent u er klaar voor? Een draaiboek voor uw nieuwe pensioencontract. Boardmembers pensionfund SPOV, studymeeting. Tamerus, J.H. (2012, May). Aan de slag met het pensioenakkoord. Een draaiboek voor uw nieuwe pensioencontract. Servicekantoor AGH, study meeting for boardmembers of trustees. Tamerus, J.H. (2012, September). Bestuurlijke dilemma's in het pensioencontract. Comenius, studymeeting. Tamerus, J.H. (2012, September). Solidariteit in het arbeidspensioen: sterkmaker of splijtzwam? TIASNIMBAS, Masterclass. Tamerus, J.H. (2012, September). Toen gekozen, nu beoordeeld. De ontwikkeling van ons pensioencontract, bezien met de inzichten van nu. Masterclass Vakbondsbestuurders in spé FNV/CNV/MHP-Jong. Tomas, J. (November 30, 2012). Introduction aux méthodes de lissage par vraisemblance locale. Applications à l'assurance dépendance. 3h lecture in french to 2nd year master. Modèles de durée et applications actuarielles – ISFA, Universíté Claude Bernard Lyon 1 – Lyon, France. Vellekoop, M.H. (December 21, November 15 and May 7, 2012). Afdekken van langlevenrisico. Lecture series for IIR (Institute for International Research, Amsterdam). Vellekoop, M.H. (June 12, 2012). An actuarial look at the crisis. Invited lecture, Rijksuniversiteit Groningen, Groningen. Membership academies Laeven, R.J.A. (2012). PhD Committee of Bowen Zhang, Delft University. (Promotor: prof.dr. Cornelis Oosterlee). Laeven, R.J.A. (2012). PhD Committee of Juan Juan Cai, Tilburg University. (Promotors: prof.dr. John Einmahl en prof.dr. Laurens de Haan). Laeven, R.J.A. (2012). PhD Committee of Amit Kothiyal, Erasmus University Rotterdam. (Promotors: prof.dr. Han Bleichrodt en prof.dr. Peter Wakker). Relevant positions Antonio, K. (April 15-May 5, 2012). Research stay at University of Lyon (France), ISFA. Antonio, K. (2012). Referee for North American Actuarial Journal, ASTIN Bulletin, Insurance: Mathematics and Economics, Scandinavian Actuarial Journal. Antonio, K. (2012). Member of the AG-AI Werkgroep Prognosetafel en Ervaringssterfte. Cui, J. (2012). Referee for Economica, ASTIN Bulletin, The Quarterly Review of Economics and Finance Laeven, R.J.A. (2012). Visiting Professor at the Bendheim Center for Finance, Princeton University, US. Laeven, R.J.A. (2012). Advisor and Co-Director of the Multivariate Risk Modeling Group, Eurandom, the European Institute for Statistics, Probability, Stochastic Operations Research and Its Applications, Eindhoven, The Netherlands. Laeven, R.J.A. (2012). Fellow and Director of the Insurance Supervision Research Program of the Amsterdam Center for Insurance Studies (ACIS). Laeven, R.J.A. (2012). Extramural Fellow of CentER. Laeven, R.J.A. (2012). Fellow of the cluster Stochastics --- Theoretical and Applied Research (STAR). Laeven, R.J.A. (2012). Fellow of the Network for Studies on Pensions, Aging and Retirement (Netspar). Tamerus, J.H. (1992-). Member of the Pension Committee of the Dutch Labour Foundation on behalf of the Union for Middelclass and Higher Employees (MHP) Vellekoop, M.H. F(2012). ellow of the Network for Studies on Pensions, Aging and Retirement (Netspar). Vellekoop, M.H. (2012). Director of Research for the Derivatives Technology Foundation, Amsterdam Vellekoop, M.H. (2012). Member of Commissie Sterfte Onderzoek (CSO) of the Actuarial Association (AG). 8. INDUSTRIAL STATISTICS Programme director: Prof.dr. R.J.M.M. Does METIS-code: uva/feb/ase/ibis JEL-Classification: C1 (Econometric and Statistical Methods and Methodology: General) Starting date: 1994 Website: www.aseri.uva.nl/is VSNU-scores 2003-2008: (Mathematics): Quality: 4, Productivity: 4, Relevance: 5, Viability: 4 8.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| IBIS \| \| \| \| \| \| \| \| \| Akkerhuis, T.S. \| drs. \| phd \| - \| - \| - \| 0,17 \| 3 \| \| Bisgaard, S. \| prof. dr. \| hgl \| 0,10 \| - \| - \| - \| 3 \| \| Does, R.J.M.M. \| prof. dr. \| hgl \| 0,30 \| 0,30 \| 0,30 \| 0,30 0,10 0,50 \| 3 \| \| Does, R.J.M.M. \| prof. dr. \| hgl \| 0,10 \| 0,10 \| 0,10 \| \| 1 \| \| Erdmann, T.P. \| drs./dr. \| oz \| 0,50 \| 0,50 \| 0,50 \| \| 3 \| \| Lokkerbol, J. \| drs. \| phd \| - \| 0,40 \| 0,20 \| - \| 3 \| \| Mast, J. de \| dr. \| hgl \| 0,40 \| 0,40 \| 0,40 \| 0,40 0,40 0,40 0,00 0,08 \| 3 \| \| Kemper, B.P.H. \| dr. \| oz \| 0,50 \| 0,50 \| 0,50 \| \| 3 \| \| Schoonhoven, M. \| dr. \| oz \| 0,50 \| 0,50 \| 0,50 \| \| 3 \| \| Steiner, S.H. \| prof. dr. \| guest \| - \| - \| - \| \| N/A \| \| Zwetsloot, I.M. \| drs. \| phd \| - \| - \| - \| \| 3 \| \| Total 1st flow of funds \| \| \| 0,10 \| 0,10 \| 0,10 \| 0,10 0,00 2,25 \| \| \| Total 2nd flow of funds \| \| \| 0,00 \| 0,00 \| 0,00 \| \| \| \| Total 3rd flow of funds \| \| \| 2,30 \| 2,60 \| 2,40 \| \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 1,90 \| 0,10 \| 0,10 \| 0,10 \| \| \| Total 1st-3rd flow of funds \| \| \| 2,40 \| 2,70 \| 2,50 \| 2,35 \| \| \| Ph.D. students \| \| \| 0,00 \| 1,90 \| 1,70 \| 0,25 \| \| 8.2 PROGRAMME DESIGN The research is tightly associated to the commercial activities of IBIS, which is an independent consulting firm owned by the UvA. The interaction of scientific research on the one hand, and its application in the service of IBIS UvA's clients on the other, is seen as the crux of the institute. Industrial statistics aims to develop techniques and methods, and build methodological knowledge in support of their effective application, for the pursuit of operational effectiveness in businesses and industry. Industrial statistics has strong ties with statistics, operations research, management science and industrial engineering. Research focuses on four themes, elaborated as 1.2.1 through 1.2.4 below. 8.2.1 Statistical process control and control charting methodology Statistical process control (SPC) offers methods for detecting when a system transits from a normal state to a disturbed state (named out-of-control). Methodology for SPC in the manufacturing industry has, in the previous two decades, reached a mature stage. Attention is now shifting to control chart methods for robust monitoring and for detecting small shifts in the parameters. Such applications require an integration of SPC with robust statistics and adding additional runs rules to the control charts. 8.2.2 Methodologies for improvement of operational effectiveness, especially in healthcare Industry and consulting firms develop methodologies for process, quality and efficiency improvement, some of which are applied on an extremely wide scale. Examples include Six Sigma, Lean Manufacturing, Business Process Reengineering, and Statistical Process Control. A critical and scientific study of these commercially offered methodologies aims to assess their merits, and where possible suggest improvements. In recent years, the research has focused on improvement of operational effectiveness in healthcare institutions in particular. Pressure on healthcare to improve quality, efficiency and safety is high. The consultancy activities of IBIS UvA, as well as the excellent network of contacts in healthcare, provide a good empirical basis for the research, and ample opportunities to test methods in practice. Another special focus is on methodologies for diagnostic problem solving, including frameworks and prescriptions for exploratory data analysis, and the identification and specification of strategies for efficient diagnosis. 8.2.3 Measurement system analysis The precision of measurement devices, as well as the reliability of diagnostic tests and quality inspections, can be established by means of a statistical evaluation. Especially the evaluation of measurements and tests that produce results on binary and categorical scales struggles with fundamental and practical hiatuses in insight, for which it is plausible that industrial statistics can make contributions and possibly even induce breakthroughs. Among the objectives for the next 10 years, is the challenge to improve the industrial standard for measurement systems analysis (as laid down in AIAG, 2002), and to improve the international legal standard for modeling measurement precision (as specified in ISO, 1995). 8.2.4 Stochastic scheduling in services and healthcare Efficient scheduling of hearings in a court house, of patients in a dental practice, or in general: of customers waiting for a service, must deal with random variation in arrival times and availability of the servers. Research aims to expand and apply the theory of stochastic scheduling to improve efficiency, optimizing and improving the balance between utilization of the resources, and waiting time for the customers. The research aims to advance the mathematical treatment, stochastic analysis of queues, and the practical usefulness in service and healthcare systems. 8.3 PROGRAMME EVALUATION 8.3.1 Group, formation and activities There are two chairs in IBIS: Industrial Statistics (prof. Does) and Methods & Statistics for Operations Management (prof. De Mast). Further, since 2012 the group has three senior researchers (dr. Erdmann, dr. Kemper, dr. Schoonhoven), and two junior researchers (drs. Akkerhuis, drs. Zwetsloot) have accepted a position in IBIS. One junior researcher (dhr. Kuiper) is expected to accept a position in IBIS in 2013. Prof.dr. Mandjes, professor of Applied Probability at the Faculty of Science of the UvA, has accepted a 0.1 FTE position at IBIS starting January 1 st , 2013. In addition, prof.dr. Steiner has joined the group for a period of 11 months (Sept 2012 through June 2013) as visiting professor. Stefan Steiner is professor in the Dept. of Statistics & Actuarial Sciences in Waterloo University, Canada. Stefan collaborates with junior and senior researchers of IBIS in research projects. The group has collaborated extensively with researchers from other institutions, most notably: the University Medical Center in Groningen; the Faculty of Economics and Business, University of Groningen; the King Fahad University of Petroleum and Minerals, Dhahran, Saudi Arabia; the Quaid-i-Azam University Islamabad, Pakistan; University of Sargodha, Sargodha, Pakistan. Waterloo University, Canada; and the Institute of Psychology, Leiden University. Also, the group has benefited from close collaborations with several hospitals and companies that allowed researchers of IBIS to do field tests and collect data for their research, and professionals from these organizations have co-authored several case studies with IBIS researchers. SWOT: - Compared to previous years, we think the research group has managed to build sufficient critical mass to allow us to aim for high impact research projects. - All senior and junior researchers of IBIS combine their academic work with a position as consultant in IBIS's commercial activities; this combination represents a unique strength of the group, as research is inspired by and thoroughly grounded in its application context in the field, and consulting services provide an effective channel for research output to be of benefit for society. - But the combination of highly professional work in consultancy and academic work represents a challenge for time management. 8.3.2 Achievements in 2012 Among the best achievements of 2012, the group considers: - 6 refereed papers (2xA, 3xB), 4 non-refereed papers, 1 book, 1 book-chapter - Inaugural address by prof.dr. Jeroen de Mast. - 3 successful PhD defenses: dr. Nasir Abbas, dr. Gerard Niemeijer, and dr. Tashi Erdmann. - 3 MSc theses: drs. Thomas Akkerhuis, Alex Kuiper, drs. Inez Zwetsloot. - 9 forthcoming papers (5xB) SWOT: - The research output of the group is good considered the limited size of the group, and it is impressive considered that the group is almost entirely funded (directly or indirectly) by revenues generated by group members themselves. - The output is again high like previous years (2011: 9 refereed papers, 2 dissertations and 7 forthcoming papers). This is remarkable because prof. Does is highly involved in the Executive Programmes, and prof. De Mast has substantial teaching activities. 8.3.3 External evaluations Most recent evaluation (note that the group was part of the KdV Institute for Mathematics in the period that was evaluated): VSNU-scores 2003-2008 (Mathematics): Quality: 4, Productivity: 4, Relevance: 5, Viability: 4 8.3.4 Relevance for society and valorization The research is aimed at developing effective methods and techniques for various ambitions in operations improvement in commercial firms and nonprofit organizations: - Quality control and improvement; - Operational effectiveness and productivity; - Safety and reliability of processes; - Product development. SWOT: - The consulting activities of IBIS offer opportunities for cross-fertilization that are recognized internationally as unique. - Much research is directly inspired by problems encountered in our consulting activities. These activities and the courses that we teach offer an effective outlet for the results of research. - In its publication policy, IBIS aims to strike a balance between prestigious academic journal, and applied and professional journals. 8.4 RESOURCES AND FUNDING Prof.dr. Does's full professor position at the FEB is partially (0.2 fte) paid for by funds of the 1st flow and by funds of the 3rd flow of IBIS (0.2 fte). All other positions are paid for by funds of the 3rd flow. Prof.dr. De Mast has a 0.2 fte position as full professor, which is paid for from the dividend of IBIS. Prof.dr. Steiner's visiting professorship is paid by Waterloo University. The other personnel costs are directly paid by IBIS. 8.5 OUTPUT Key publications Kemper, B.P.H. & Mandjes, M.R.H. (2012). Mean sojourn times in two-queue fork-join systems: bounds and approximations. OR Spectrum 34(3), 723-742. [B] Mast, J. De (2011). The tactical use of constraints and structure in diagnostic problem solving. Omega 39(6), 702–709. [B] Mast, J. De, Erdmann, T.P. & Wieringen, W.N. van (2011). Measurement system analysis for binary inspection: Continuous versus dichotomous measurands. Journal of Quality Technology 43(2), 99–112. [A] Mast, J. De & Lokkerbol, J. (2012). An Analysis of the Six Sigma DMAIC Method from the Perspective of Problem Solving. International Journal of Production Economics 139(2), 604–614. [A] Schoonhoven, M., Riaz, M. & Does, R.J.M.M. (2011). Design and analysis of control charts for standard deviation with estimated parameters. Journal of Quality Technology 43(4), 307–333. [A] Schoonhoven, M. & Does, R.J.M.M. (2012). A robust standard deviation control chart. Technometrics 54(1), 73-82. [A] Forthcoming Abbas, N., Riaz, M. & Does, R.J.M.M. (in press). Mixed EWMA-CUSUM charts for process monitoring. Quality and Reliability Engineering International (DOI: 10.1002/qre.1385). [B] Erdmann, T.P., Mast J. De & Warrens M. (in press). Some common errors of experimental design, interpretation and inference in agreement studies. Statistical Methods in Medical Research (DOI: 10.1177/0962280211433597). Heuvel J. van den, Niemeijer G.C. & Does, R.J.M.M. (in press). Measuring health care quality – the challenges. International Journal of Health Care Quality Assurance. A B Mehmood, R., Riaz, M. & Does, R.J.M.M. Does (in press). Control charts for location based on different sampling schemes. Journal of Applied Statistics (DOI:10.1080/02664763.2012.740624). [B] Niemeijer, G.C., Flikweert, E., Trip, A., Does, R.J.M.M., Ahaus, K.T.B., Boot, A. & Wendt, K.W. (in press). The usefulness of Lean Six Sigma to the development of a clinical pathway for hip fractures. Journal of Evaluation in Clinical Practice (DOI:10.1111/j.1365-753.2012.01875.x). Mehmood, R., Riaz, M. & Does, R.J.M.M. (in press). Efficient power computation for r out of m runs rules schemes. Computational Statistics (DOI 10.1007/s00180-012-0322-4). [B] Schoonhoven, M. & Does, R.J.M.M. (in press). A robust Xbar control chart. Quality and Reliability Engineering International (DOI:10.1002/qre.1447). [B] Schoonhoven, M., Lubbers, C. & Does R.J.M.M. (2013). Shortening the throughput time of a hospital's billing process, Quality Engineering 25(2). [B] Erdmann, T.P., Boessenkool, H., Hogewoning, L. & Does, R.J.M.M. (2013). Reducing work in process at an emergency assistance center, Quality Engineering 25(1). [B] Publications in numbers \| Industrial Statistics \| \| \| \| \|---\|---\|---\|---\| \| 1) Academic publications \| a) in refereed journals \| A \| 2 \| \| \| \| B \| 7 \| \| \| \| Other \| 1 \| \| \| b) in other journals \| \| 4 \| \| \| c) book chapters \| \| 1 \| \| \| d) proceedings \| \| 0 \| \| Subtotal \| \| \| \| \| 2) Books \| \| \| 1 \| \| 3) Ph.D. theses \| \| \| 3 \| \| 4) Professional publications \| \| \| 0 \| \| 5) Popular publications \| \| \| 0 \| Article in journal - refereed Mast, J. De & Lokkerbol, J. (2012). An Analysis of the Six Sigma DMAIC Method from the Perspective of Problem Solving., International Journal of Production Economics 139(2), 604–614. Schoonhoven, M. & Does, R.J.M.M. (2012). A robust standard deviation control chart. Technometrics 54(1), 73-82. Erdmann, T.P. & Mast, J. De (2012). Assessment of Binary Inspection with a Hybrid Measurand. Quality and Reliability Engineering International 28(1), 47–57. Kemper, B.P.H. & Mandjes, M.R.H. (2012). Mean sojourn times in two-queue fork-join systems: bounds and approximations. OR Spectrum 34(3), 723-742. Lokkerbol, J., Does, R.J.M.M., Mast, J. De & Schoonhoven, M. (2012). Improving processes in financial service organizations: where to begin? International Journal of Quality and Reliability Management 29(9), 981-999. Lokkerbol, J., Molenaar, M.A.F. & Does, R.J.M.M. (2012). An efficient public sector. Quality Engineering 24(3), 431-435. Lokkerbol, J., Schotman, M.A.M. & Does, R.J.M.M. (2012). Personal injuries: a case study. Quality Engineering 24(1), 102-106. Mooren, J., Mast, J. De & Does, R.J.M.M. (2012). The Case of Premature Drill Wear-out. Quality Engineering 24(2), 354–359. Niemeijer, G.C., Trip, A., Ahaus, K.T.B., Wendt, K.W. & Does, R.J.M.M. (2012). Reducing overuse of diagnostic tests for trauma patients. Quality Engineering 24(4), 558-563. Other Niemeijer, G.C., Trip, Wendt, K.W., Jong, L.J. de & Does, R.J.M.M (2012). Impact of five years Lean Six Sigma in a university medical center. Quality Management in Health Care 21(4), 262-268. Book / book chapter – popular scientific Kemper, B.P.H. (2012). Capaciteitenmodel - ORE-model. In: Webers, Engelen, L. van & Luijben T. (eds), Het Groot Verbeterboek, Den Haag Academic Service, pp. 72-73. Mast, J. de , Does, R.J.M.M., Koning, H. de & Lokkerbol, L. (2012). Lean Six Sigma for Services and Healthcare. Alphen aan den Rijn: Beaumont Quality Publications, ISBN-978-90-79452-00-2, 170 pages. UvA dissertation – externally prepared Abbas N. (2012, 6 September). Memory-type control charts in statistical process control. Universiteit van Amsterdam. [promotor prof. dr. R.J.M.M. Does; co-promotor: dr. M. Riaz] Erdmann T.P. (2012, 21 November). Statistical Evaluation of Binary Measurement Systems. Universiteit van Amsterdam. [promotor prof. dr. J de Mast] Niemeijer G.C. (2012, 3 July). Process improvement in healthcare. Universiteit van Amsterdam. [promotores: prof. dr. R.J.M.M. Does, prof.dr.ir. C.T.B. Ahaus; copromotores: dr. A. Trip, dr. K.W. Wendt] Editorship De Mast, J. (2012). Member Editorial Board, Quality Engineering. Does, RJMM (2012). Member Editorial Board, and Member Advisory Board, Quality Engineering. Does, RJMM (2012). Column Editor, Quality Engineering. Does, RJMM (2012). Member Editorial Board, Quality Technology and Quantitative Management. Does, RJMM (2012). Member Editorial Advisory Board, International Journal of Lean Six Sigma. Does, RJMM (2012). Member Publication Management Board American Society for Quality. Keynote/invited talk De Mast, J. (2012). "Industriële statistiek als technologie voor het oplossen van problemen." Inaugural address, University of Amsterdam (2012). De Mast, J. (2012). "Diagnostic problem solving for quality and reliability problems." Invited presentation, International Symposium on Business and Industrial Statistics, Bangkok (ISBIS-2012). Does, RJMM (2012, 27 March). "Management of Processes". Invited presentation, University of Nijenrode, Breukelen. Does, RJMM (2012, 12 September). "Process improvement in Healthcare". Invited presentation, European Network for Business and Industrial Statistics, University of Ljubljana, Slovenia. Erdmann, T.P. (2012). "Measurement system analysis for binary inspection." Invited presentation, International Symposium on Business and Industrial Statistics, Bangkok (ISBIS-2012). Kemper, B.P.H. (2012). "Streamline the Path to Optimal Care for Cardiovascular Patients." ASQ World Conference on Quality Improvement, Anaheim. Other lectures De Mast, J. (2012). "Kwaliteitskunde: Verder in isolement, of aansluiting vinden bij bedrijfskunde en economie?" Read before the Dutch Academy for Quality, 19 March 2012. De Mast, J. (2012). "Operationele effectiviteit … in de zorg." Symposium in the University Medical Center of Utrecht, 7 November 2012. Kemper, B.P.H. (2012). "Zorg op afspraak verbeteren met Lean Six Sigma." PICA, Kenniscentrum patiëntenlogistiek, 17 September 2012. Membership academies De Mast, J. (2012). Associate Member, International Academy for Quality. De Mast, J. (2012). Senior Member, American Society for Quality (ASQ). De Mast, J. (2012). External Examiner, PhD Defense of Oana Danila, University of Waterloo. Does, RJMM (2012). Academician, International Academy for Quality. Does, RJMM (2012). Board member, Dutch Academy for Quality. Does, RJMM (2012). Fellow, American Society for Quality (ASQ). Does, RJMM (2012). Elected member, International Statistical Institute (ISI). Does, RJMM (2012). Member of the ASQ Shewhart Medal Nomination Committee. Does, RJMM (2012). Member of the ASQ Statistics Division Hunter Award Nomination Committee. Does, RJMM (2012). Council Member, European Network for Business and Industrial Statistics (ENBIS). Does, RJMM (2012). Vice President Projects, International Academy for Quality. Relevant position De Mast, J. (2012). Referee for Int. J. of Production Economics, Technometrics, J.of Quality Technology, Advances in Data Analysis and Classification, Applied Stochastic Models in Business and Industry, J. of Applied Statistics. Does, RJMM (2012). Referee for Quality Engineering, Communications in Statistics – Theory and Methods, Int. J. of Lean Six Sigma, Quality Technology and Quantitative Management, Quality and Reliability Engineering Int., Int. J. of Production Research, J. of Applied Statistics, Sage Publications. Kemper, B.P.H. (2012). Referee for Int. J. for Lean Six Sigma, Quality Engineering, J. of the Operational Research Society. Schoonhoven, M. (2012). Referee for Quality and Reliability Engineering Int., Technometrics, Applied Stochastic Models in Business and Industry, Quality Technology and Quantitative Management. 64 9. MINT - MACRO AND INTERNATIONAL ECONOMICS Programme director: Prof.dr. F.J.G.M. Klaassen METIS-code: uva/feb/ase/mint JEL-classification: E, F, H Starting date: 2001 Website: www.aseri.uva.nl/mint VSNU-scores 2001-2007: Quality: 4, Productivity: 4, Relevance: 5, Viability: 4.5 9.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Beetsma, R. \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| 0,50 0,23 \| 1 \| \| Bonthuis, B. \| msc \| phd \| - \| - \| - \| \| 3 \| \| Buiter, W. \| prof. dr. \| guest \| 0,00 \| 0,00 \| - \| - - - \| 1 \| \| Bucciol, A. \| dr. \| postdoc \| 0,86 \| 0,42 \| 0,11 \| \| 3 \| \| Ceyhan, P. \| drs. \| guest \| - \| 0,00 \| 0,00 \| \| 1 \| \| Chen, D. \| msc \| phd \| - \| - \| - \| 0,27 0,11 0,50 0,27 \| 3 \| \| Ewijk, C. van \| prof. dr. \| hgl \| 0,11 \| 0,00 \| 0,11 \| \| 1 \| \| Giuliodori, M. \| dr. \| uhd \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Gornicka, L. \| msc \| phd \| - \| - \| - \| \| 2 \| \| Haan, W.J. den \| prof. dr. \| hgl \| 0,80 \| 0,80 \| 0,47 \| 0,00 \| 2 \| \| Hoogduin, L. \| prof. dr. \| hgl \| 0,02 \| 0,05 \| 0,05 \| 0,00 0,18 \| 1 \| \| Jager, H. \| prof. dr. \| hgl \| 0,19 \| 0,13 \| 0,18 \| \| 1 \| \| Klaassen, F.J.G.M. \| dr. \| uhd \| 0,50 \| 0,50 \| 0,50 \| - \| 1 \| \| Klaassen, F.J.G.M. \| prof. dr. \| hgl \| - \| - \| - \| 0,50 \| 1 \| \| Knaap, T. \| dr. \| guest \| 0,00 \| 0,00 \| 0,00 \| - - - 0,27 \| 1 \| \| Kirchner, M. \| msc \| phd \| 0,60 \| 0,60 \| 0,40 \| \| 1 \| \| Kriwoluzky, D. \| dr. \| postdoc \| 0,33 \| 0,66 \| - \| \| 2 \| \| Kwaak, C. van der \| msc \| phd \| - \| - \| - \| \| 1 \| \| Leefmans, N. \| drs. \| docent \| 0,00 \| 0,00 \| 0,00 \| 0,00 0,00 0,00 \| 1 \| \| Lekniute, Z. \| msc \| phd \| - \| - \| - \| \| 1 \| \| Lorié, J.A. \| dr. \| guest \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Lozej, M. \| msc \| phd \| 0,60 \| 0,60 \| - \| - 0,21 \| 2 \| \| Mavromatis, K. \| dr. \| ud \| - \| - \| - \| \| 1 \| \| Omeno Sanchez, A.I. \| dr. \| postdoc \| 0,00 \| 0,42 \| 0,80 \| 0,33 \| 2 \| \| Ploeg, F. van der \| prof. dr. \| guest \| 0,10 \| 0,10 \| - \| - - \| 1 \| \| Ribeiro-Poplawski, M. \| dr. \| guest \| 0,00 \| - \| - \| \| 1 \| \| Romp, W.E. \| dr. \| postdoc \| 0,80 \| 0,80 \| 0,68 \| 0,27 \| 3 \| \| Romp, W.E. \| dr. \| ud \| - \| - \| - \| 0,13 0,10 - - - \| 3 \| \| Romp, W.E. \| dr. \| ud \| - \| - \| - \| \| 1 \| \| Rusinova, D. \| msc \| phd \| 0,10 \| - \| - \| \| 1 \| \| Schabert, A. \| dr. \| guest \| 0,00 \| 0,00 \| - \| \| 1 \| \| Sedlácek, P. \| msc \| phd \| 0,60 \| 0,60 \| 0,40 \| \| 2 \| \| Sedlácek, P. \| dr. \| postdoc \| - \| - \| 0,27 \| 0,58 \| 3 \| \| Sterk, V. \| drs. \| phd \| 0,00 \| 0,00 \| 0,00 \| - \| 1 \| \| Stoltenberg, C.A. \| dr. \| ud \| 0,50 \| 0,50 \| 0,50 \| 0,50 \| 1 \| \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Teulings, C.N. \| prof dr \| hgl \| 0,00 \| 0,10 \| 0,10 \| 0,10 0,00 \| 1 \| \| Veestraeten, D. \| dr. \| ud \| 0,35 \| 0,25 \| 0,18 \| \| 1 \| \| Vermeylen, K. \| dr. \| ud \| - \| - \| - \| 0,00 \| 1 \| \| Vos, S.J. \| drs. \| guest \| 0,60 \| 0,60 \| 0,45 \| 0,00 \| 3 \| \| Westerhout, E. \| dr. \| guest \| - \| - \| - \| 0,00 - \| 1 \| \| Wijnbergen, S.J.G. \| prof dr \| hgl \| 0,11 \| 0,11 \| 0,14 \| \| 3 \| \| Wijnbergen, S.J.G. \| prof dr \| hgl \| 0,11 \| 0,32 \| 0,35 \| 0,45 0,47 0,00 0,00 0,27 \| 1 \| \| Willems, T. \| drs. \| phd \| 0,60 \| 0,60 \| 0,60 \| \| 1 \| \| Wind, J. de \| drs. \| phd \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Zaheer, S. \| drs. \| phd \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Zhao, L. \| msc. \| phd \| - \| - \| - \| \| 3 \| \| Total 1st flow of funds \| \| \| 4,18 \| 4,15 \| 3,97 \| 3,89 0,60 1,75 \| \| \| Total 2nd flow of funds \| \| \| 2,33 \| 3,08 \| 1,67 \| \| \| \| Total 3rd flow of funds \| \| \| 2,37 \| 1,93 \| 1,65 \| \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 3,48 \| 2,95 \| 2,97 \| 3,15 \| \| \| Total 1st-3rd flow of funds \| \| \| 8,88 \| 9,16 \| 7,29 \| 6,24 1,78 \| \| \| Ph.D. students \| \| \| 2,50 \| 3,00 \| 1,85 \| \| \| 9.2 PROGRAMME DESIGN Objective The programme uses empirical and theoretical methods to analyse important economic issues in the areas of macroeconomics and international economics. Special emphasis is given to the evaluation of existing fiscal and monetary policies and the question how these policies can be improved upon. Dissemination of the results takes place mainly via international, refereed scientific journals, but also via more policy-oriented outlets. Motivation The growth that a country experiences not only has direct effects on the available resources, it can also have important indirect effects through, for example, the stability of the social and political environment. Similarly, the business cycle fluctuations countries face can have farreaching consequences to many, especially if these fluctuations mainly fall on subgroups within the population. It is therefore crucial to thoroughly understand the characteristics of economic developments, the factors that are behind them, and to what extent and how governments can affect these developments. The current international sovereign debt crisis and discussions on the sustainability of pension systems exemplify this. Themes Major international economic developments and policy debates generate a constant stream of research ideas for our group. The resulting projects are often intertwined, but we choose to categorize them into the following (interrelated) themes. Monetary economics and policy Monetary policy is used throughout the world to accomplish important macroeconomic objectives such as price stability, exchange rate stability, and/or full employment. In one project Christian Stoltenberg has studied monetary policy in the United States. Since the mid1980s the interest-rate policy of the Federal Reserve System has been more aggressive in fighting inflation than in the past. He explains this with a decreasing role of cash in transactions. Sajjad Zaheer focuses on Islamic banking, a fast-growing part of the financial sector. He compares the transmission of a monetary contraction through Islamic and conventional banks and finds that the former cut their lending less, weakening the monetary policy transmission. He also finds that for dual banks, which have both Islamic and conventional banking branches, Islamic branches are financially more stable and better capitalized but also less efficient than conventional ones. Fiscal policy and sovereign debt Fiscal policy is a crucial aspect of macroeconomics. Given that government expenditures are a substantial fraction of GDP, they play an important role in welfare redistribution, and financing these expenditures through debt and taxes is likely to have important effects on, for example, financial markets, labour force participation, and investment. Christiaan van der Kwaak and Sweder van Wijnbergen study fiscal policy and address the issue that macroeconomic models have ignored financial fragility and sovereign risk, which is problematic given the policy questions we are facing today. Early results indicate the severe limits on fiscal policy when banks are in distress and expansion is debt financed in a highdebt environment. Fiscal policy may even become counterproductive. Roel Beetsma and Massimo Giuliodori focus on the interest rates that governments have to pay on public debt, with particular emphasis on the GIIPS countries (Greece, Ireland, Italy, Portugal, Spain). They show how news from the daily newsflash of Eurointelligence, an independent internetbased news service, affects interest rate spreads on public debt. Bad news on one country not only drives up the spread for that country, but also for other countries, and this propagation is stronger for the so-called GIIPS countries. Financial fragility and macroeconomics This theme was also stimulated by the recent crises, showing the interaction between banking distress, fiscal policy to mitigate financial crisis, public debt, sovereign risk, international spill overs, and banking supervision. Regarding the latter, there is widespread agreement that banks need tighter supervision and control, but there is an equally widespread concern that implementing higher capital requirements will abort the recovery before it has even started. Yet we know very little about the macroeconomic effects of bank regulation. Lucyna Gornicka and Sweder van Wijnbergen focus on a key element: how do banks adjust to more stringent regulation? Early results show that stronger requirements lead to less leverage. Lex Hoogduin, in his capacity as adviser to the International Monetary Fund (IMF), works on the relation between micro and macroprudential policies to maintain financial stability. Of particular interest is the macro part, which concerns the financial system as a whole instead of only individual institutions, because that part is empirically very relevant, yet seriously under researched. Foreign exchange market The foreign exchange market is the largest financial market in the world. Many countries have managed or fixed exchange rates, and these are our research focus. Speculative attacks on them can have serious economic and societal consequences. Franc Klaassen has improved the measurement of pressure in the foreign exchange market, that is, the pressure on a currency to depreciate, and how to estimate the effectiveness of monetary policy to ward off pressure. Konstantinos Mavromatis has examined the real appreciation of currencies of transition economies, with particular focus on the composition of capital inflows: the larger inward foreign direct investment relative to portfolio investment, the more productivity increases and the stronger the real appreciation. Dirk Veestraeten has studied the effect of switches in the dynamic process of financial prices, for instance due to fixing the price by adopting a fixed exchange rate or a common currency. Such switching generates strong effects on expectations and thus the dynamics of prices in forward-looking markets. Deeper understanding of these effects is of vital importance. Pensions and macroeconomic developments Research projects of Roel Beetsma, Boele Bonthuis, Damiaan Chen, Casper van Ewijk, Ward Romp, and Siert Jan Vos focus on the sustainability of pension systems and the consequences of changing them, and on the optimal design of pensions systems, as is heavily debated at present. One project stems from the fact that calls for abolishing mandatory participation are becoming louder, as young generations see their contribution payments rise and doubts about their own future pensions are getting stronger. Is a funded pension system with intergenerational risk sharing feasible when participation in the system is no longer mandatory? For many plausible parameter combinations the answer is negative: mandatory participation is a necessity, because otherwise the young would leave the system. Business cycles and macroeconomic models Several projects mentioned above deal with business cycles and macro models. Here we mention some additional projects. Petr Sedláček has a framework with heterogeneous firms that face inefficiencies and shows that in such a model aggregate fluctuations can have serious negative welfare consequences. Sweder van Wijnbergen and Tim Willems explain why in recent times employment takes so long to reach pre-recession levels during the recovery. Roel Beetsma and Franc Klaassen study the asymmetry of business cycles, with particular reference to the effectiveness of policy in downturns. 9.3 PROGRAMME EVALUATION In 2012 MInt published 12 articles in international refereed journals and there are 10 of such publications forthcoming. The students of the group have also done well. Siert Jan Vos (supervised by Roel Beetsma) graduated and took up a position at MN. He remains affiliated with MInt. Tim Willems (supervisor Sweder van Wijnbergen) graduated and started as a postdoc at the University of Oxford. From the many invitations Petr Sedláček received at the international job market, he decided to accept the job offer from the University of Bonn. His has recently received the Joop Hartog Award for best FEB dissertation over 2010 and 2011. That was his third award this year, after winning the first prize at a congress hosted by the Society for Computational Economics and the 2 nd place in the Young Economist of the Year of the Czech Economic Society. For MInt these prizes came on top of the second and third prizes that Christian Stoltenberg and Dirk Veestraeten, respectively, won in the Van der Schroeff Contest 2012 for the best teacher of the FEB as a whole. During 2012 some researchers left, but the group as a whole grew substantially. Arturo Ormeno Sanchez decided to move to Credit Suisse after his postdoc position expired. Henk Jager retired but is still affiliated with MInt. We were successful in recruiting several promising young researchers. From the international job market Konstantinos Mavromatis decided to move from the University of Warwick to MInt after his graduation. Ward Romp came back from APG to MInt on a full-time basis. Several new students started their PhD research: Boele Bonthuis and Damiaan Chen funded by MN, Lucyna Gornicka and Christiaan van der Kwaak from the Tinbergen Institute MPhil program, Zina Lekniute as an employee of APG and supported by a grant from ICPM, and Lin Zhao funded externally and by the Duisenberg School of Finance. MInt members are also in contact with interested external partners to attract additional external funds to further strengthen the group. We continue to stimulate the coherence of the group by seminars, joint lunches, drinks, and other activities. The visibility of the group and the interaction with the academic community have been further enhanced through numerous external presentations, conference participations, and participation in networks such as Netspar. We have a seminar series with renowned speakers, which is organised jointly with the VU University Amsterdam and funded by the Tinbergen Institute. The programme is being noticed by the outside world, for instance reflected by invitations for presentations, contributions to research volumes, referee activities, the high quality of applicants in the latest international recruitment rounds There are intensive contacts with policy institutions via visitorships and joint research papers (European Commission, ECB, IMF, BIS, OECD, WTO, Dutch Finance Minister, among others), joint appointments (Coen Teulings as director and Casper van Ewijk as deputy director at CPB Netherlands Bureau of Economic Policy Analysis), joint positions (Joris de Wind and Ed Westerhout working at the CPB), via seminars and teaching (by employees of the Dutch Central Bank), and memberships of several advisory committees for the Dutch government. There are also collaborations with the business sector, such as APG, Atradius, MN, and Rabobank. And we take part in public debates on issues such as pension reform and the financial and sovereign debt crises. Particularly Roel Beetsma, Lex Hoogduin, and Sweder van Wijnbergen are frequently asked by radio and television channels to comment on such topics, and they regularly write for opinion pages of quality newspapers. Another sign of the societal relevance is that many undergraduate students take our courses and write their theses at MInt. Those students also offer ways to disseminate insights from research on key (inter)national events and debates to society. The 2009 QANU Research Review assessed the program over the 2001-2007 period (under its previous name "The Transformation of Europe"). The results of this research visitation were: Quality 4, Productivity 4, Relevance 5, and Viability 4.5. All productivity indicators were found to be highly satisfactory, with the possible exception of student numbers which had declined somewhat, despite a high number of theses defended. We can now say that after the review period we have continued in line with our strong points, and our efforts to recruit students through the Tinbergen Institute as well as external funding have paid off. Strengths: Good and relevant productivity and good (inter)national reputation. Numerous contacts with policy makers, businesses, media, and so on. Solid funding base, not only because we serve many undergraduate students, but also because of our connections to the non-academic world. Coherent group. Good seminar series, jointly with the VU. Weaknesses: We experience severe competition in the job market, especially from financial and policy institutions. Because of good outside options it is easy to lose good researchers and not always easy to convince excellent undergraduate students to pursue a PhD. Opportunities: We are trying to raise external funding so as to enlarge the group. Our expanding contacts with the financial industry generate opportunities in this regard. The new hire on the international job market will hopefully provide a further boost. We have contacts with many undergraduate students, creating opportunities for the research group, both directly and indirectly through the students' contacts at policy institutions and businesses. We wish to further exploit our international contacts. Threats: Financial distress at FEB and the resulting faculty reorganisation with vacancy stop have substantially increased the teaching load and administrative duties for MInt researchers. This is particularly relevant due to the number of undergraduate students that we serve. To avoid a negative impact on research output, this situation needs to be improved. 9.4 RESOURCES AND FUNDING To finance our conferences, traveling, seminars, visitors, and so on, we use first-stream resources from the government, funds from the research institute, the Tinbergen Institute, and the following other sources. A major success was the cooperation between Roel Beetsma and MN, one of the largest pension administrators and pension wealth managers in the Netherlands. The company sponsors the MN Chair in Pension Economics and two PhD students. Moreover, Roel Beetsma and Casper van Ewijk have a grant from Netspar for their pension research. The former has also obtained a grant from the International Centre for Pension Management at the Rotman School of Management, Toronto. Casper van Ewijk succeeded in obtaining a grant for a postdoc from the NWO Open Research Area Plus as of 2013. Sweder van Wijnbergen has used funds for research on credit crisis consequences from the Gieskes-Strijbis Foundation, and he has grants for a student from EBN, a Dutch holding company for national gas interests of the Dutch state, and the Duisenberg School of Finance. In addition, one student was financed by the Dutch Central Bank, one by the Pakistan government, and one by Rabobank. It was unfortunate that the proposal for the big research project FuturICT, an EU Future and Emerging Technologies (FET) flagship in which the UvA-FEB including MInt participated, was rejected in the final round. 9.5 OUTPUT Key publications Covas, F. & Den Haan, W.J. (2011). The cyclical behavior of debt and equity finance. American Economic Review 101, 877-899. Beetsma, R.M.W.J. & Giuliodori, M. (2010). The Macroeconomic Costs and Benefits of the EMU and other Monetary Unions: An Overview of Recent Research, Journal of Economic Literature 48, 603-641. Beetsma, R.M.W.J. & Giuliodori, M. (2011). The Effects of Government Spending Shocks: Review and Estimates for the EU. Economic Journal 121, F4-32. Daniëls, T.R., Jager, H. & Klaassen, F.J.G.M. (2011). Currency Crises with the Threat of an Interest Rate Defence. Journal of International Economics 85, 14-24. Klaassen, F.J.G.M. & Magnus, J.R. (2009). The Efficiency of Top Agents: An Analysis through Service Strategy in Tennis. Journal of Econometrics 148, 72-85. Sterk, V. (2010). Credit Frictions and the Comovement between Durable and Non-durable Consumption. Journal of Monetary Economics 57, 217-225. Forthcoming Beetsma, R.M.W.J., Bluhm, B., Giuliodori, M. & Wierts, P. (2013). From first-release to expost fiscal data: exploring the evolution of fiscal forecast errors in the EU. Contemporary Economic Policy. [B] Beetsma, R.M.W.J., Giuliodori, M., Jong, F. de & Widijanto, D. (2013). Spread the News: the Impact of News on the European Sovereign Bond Markets during the Crisis. Journal of International Money and Finance. [B] Beetsma, R.M.W.J., Romp, W.E. & Vos, S.J. (2013). Intergenerational risk sharing, pensions and endogenous labour supply in general equilibrium. Scandinavian Journal of Economics. [B] Bonenkamp, J. & Westerhout, E. (2013). Intergenerational risk sharing and endogenous labour supply within funded pension schemes. Economica. [B] Guerriero C. (2012). The Political Economy of Incentive Regulation: Theory and Evidence from US States. Journal of Comparative Economics. [A] Lammers, J., Wijnbergen, S.J.G. van & Willebrands, D. (2013). Condom use, risk perception and HIV knowledge: a comparison across sexes in Nigeria. Journal of HIV/AIDS- Research and Palliative Care. Lepetyuk, V. & Stoltenberg, C.A. (2013). Policy Announcements and Welfare. Economic Journal, forthcoming. [A] Mishkin F., Giuliodori, M. & Matthews, K. (2013). The Economics of Money, Banking and Financial Markets. European Edition (First Edition), Pearson Education. Veestraeten, D.J.M. (2013). Erratum to "An alternative approach to modelling relapse in cancer with an application to adenocarcinoma of the prostate" [Mathematical Biosciences, 199 (2006) 38-54]. Mathematical Biosciences. A B Westerhout, E. (2013). Population Ageing and Health Care Expenditure Growth. In: Hamblin, K. & Harper, S. (eds.), International Handbook on Ageing and Public Policy, Edward Elgar. [B] Wijnbergen, S.J.G. van & Willems, T. (2013). Imperfect information, lagged labour adjustment, and the Great Moderation. Oxford Economic Papers. [B] Publications in numbers \| Mint \| \| \| \| 2012 \| \|---\|---\|---\|---\|---\| \| 1) Academic publications \| a) in refereed journals \| A \| 4 \| 12 3 4 0 19 1 1 13 4 23 \| \| \| \| B \| 7 \| \| \| \| \| Other \| 1 \| \| \| \| b) in other journals \| \| 3 \| \| \| \| c) book chapters \| A \| 3 \| \| \| \| \| B \| 0 \| \| \| \| \| Other \| 1 \| \| \| \| d) proceedings \| \| 0 \| \| \| Subtotal \| \| \| \| \| \| 2) Books \| \| A \| 1 \| \| \| \| \| B \| 0 \| \| \| \| \| Other \| 0 \| \| \| 3) Ph.D. theses \| \| \| 1 \| \| \| 4) Professional publications \| \| \| 13 \| \| \| 5) Popular publications \| \| \| 4 \| \| \| 6) Working papers \| \| \| 23 \| \| \| Total \| \| \| \| 61 \| Article in journal – refereed Beetsma, R.M.W.J., Romp, W.E. & Vos, S.J. (2012). Voluntary Participation and Intergenerational Risk Sharing in a Funded Pension System. European Economic Review 56, 1310-1324. Boswijk, H.P. & Klaassen, F.J.G.M. (2012). Why frequency matters for unit root testing in financial time series. Journal of Business and Economic Statistics 30, 351-357. Covas, F. & Haan, W.J. den (2012). The Role of Debt and Equity Finance Over the Business Cycle. Economic Journal 122, 1262-1286. Haan, W.J. den & Wind, J. de (2012). Nonlinear and stable perturbation-based approximations. Journal of Economic Dynamics and Control 36, 1477-1497. Beetsma, R.M.W.J. & Giuliodori, M. (2012). The changing macroeconomic response to stock market volatility shocks. Journal of Macroeconomics 34, 281-293. Beetsma, R.M.W.J., Giuliodori, M. & Hanson, J. (2012). Budgetary Consolidation under Different Exchange Rate Regimes. Economics Letters 117, 912-916. Ewijk, C. van, Groot, H. de & Santing, C. (2012). Meta analysis of the equity premium. Journal of Empirical Finance 19, 819-830. Ewijk, C. van & Volkerink, M. (2012). Will ageing lead to a higher real exchange rate for the Netherlands? De Economist 160, 59-80. Stoltenberg, C.A. (2012). Real Balance Effects, Timing and Equilibrium Determination. Journal of Money, Credit and Banking 44, 981-994. Veestraeten, D.J.M. (2012). Transition probabilities in a problem of stochastic process switching. Economics Letters 114, 201-204. Wijnbergen, S.J.G. van & France, A. (2012). Assessing Debt Sustainability in a Stochastic Environment: 200 Years of Dutch Debt and Deficit Management. De Economist 160, 219-236. Other Teulings, C.N. (2012). The financing and economy for an aging society, Gerontechnology 11, 99. Article in journal - non-refereed Beetsma, R.M.W.J. & Gradus, R. (2012). A Discussion of the Changes to Europe's MacroFiscal Framework in Response to the Crisis. CESifo Forum 13, 1. Eijffinger, S. & Hoogduin, L. (2012). The European Central Bank in (the) crisis. CESifo Dice Report, Journal for Institutional Comparisons 10, 32-38. Hoogduin, L. & Wierts, P. (2012). Thoughts on Policies and the Policy Framework after a Financial Crisis, in: Threat of Fiscal Dominance?, BIS papers No. 65, 83-90. Article in journal – professional Beetsma, R.M.W.J. (2012, 1 November). Bouw sociale huursector geleidelijk af, Mejudice. Beetsma, R.M.W.J. (2012, 10 October). Berichtgeving over kosten pensioenfondsen misleidend, Mejudice. Beetsma, R.M.W.J. (2012, 26 September). Houd Griekenland binnen de euro, maar draai geldkraan dicht, Mejudice. Beetsma, R.M.W.J. (2012, 10 July). Overheid maakt zichzelf onbetrouwbaar met flip-flop tandartstarieven, Mejudice. Eijffinger, S., Haan, J. de & Hoogduin, L. (2012). Canon deel 2: monetaire economie. Economisch Statistische Berichten 97, 149-153. Ewijk, C. van & Lever, M. (2012). Wonen in je pensioen; reactive. Economisch Statistische Berichten 97, 662-663. Haan, J. de, Joseph, A., Vos, S.J. & Wijckmans, J. (2012). De impact van Solvency II regels voor pensioenfondsen. Economisch Statistische Berichten 97. Hoogduin, L. (2012). Is het afsplitsen van de risicovolle activiteiten van banken een goed idee? Vraag van de week. Economisch Statistische Berichten 97, 128. Lorié, J.A., Nordman, N. & Willebrands, D. (2012). Griekse staatsschuld onhoudbaar. Economisch Statistische Berichten 97, 422-425. Lorié, J.A., Nordman, N. & Willebrands, D. (2012). Aantal faillissementen terug op niveau 2009, Economisch Statistische Berichten 97. Lorié, J.A. & Willebrands, D. (2012, 17 augustuts). Grexit blijft spelen met vuur, Mejudice. Article in journal – popular scientific Haan, J. de, Joseph, A., Vos, S.J. & Wijckmans, J. (2012, April). The impact of Solvency II rules, Investment & Pensions Europe. Article in magazine or newspaper – popular scientific Beetsma, R.M.W.J. (2012, 10 October). Pensioenkosten, Financieel Dagblad. Beetsma, R.M.W.J. & Gradus, R. (2012, 16 February). Loonstijging is geen panacee, Financieel Dagblad. Gradus, R., Beetsma, R.M.W.J., Bovenberg, A.L., Caminada, K., Dijkgraaf, E. & Eijffinger, S. (2012, January 24). Sociale vlaktaks is goed voor iedereen, De Volkskrant. A Book / book chapter – refereed Beetsma, R.M.W.J. & Bucciol, A. (2012). The consequences of indexed debt for welfare and funding ratios in the Dutch pension system. In: Bovenberg, A.L., Ewijk, C. van & Westerhout, E. (eds.), The Future of Multi-Pillar Pensions, Cambridge University Press. , Bovenberg, A.L., Ewijk, C. van & Westerhout, E. (eds.). The Future of Multi-Pillar Pensions Cambridge University Press. Ewijk, C. van & Bovenberg, L.A. (2012). Designing the pension system: Conceptual framework. In: Bovenberg, A.L., Ewijk, C. van & Westerhout, E. (eds.), The Future of Multi-Pillar Pensions, Cambridge University Press. Ewijk, C. van & Bovenberg, L.A (2012). The future of multi-pillar pension systems, In: Bovenberg, A.L., Ewijk, C. van & Westerhout, E. (eds.), The Future of Multi-Pillar Pensions, Cambridge University Press. Book / book chapter – non-refereed Ewijk, C. Van (2012). Langdurige zorg: vooral een verzekeringsprobleem. In: Schut, E. & Varkevisser, M. (eds.), Een economisch gezonde gezondheidszorg, Preadviezen van de KVS, Sdu, Den Haag, 217-243. Report – professional Ewijk, C. van, Lever, M. & Mehlkopf, R. (2012). CPB Notitie, 30 mei 2012, Generatieeffecten Pensioenakkoord, CPB, Den Haag. Lorié, J.A., Kastelein, M., Nordman, N. & Willebrands, D. (2012). Sticking together: the future of the Eurozone, Amsterdam: Atradius Economic Research. Working- and discussion papers Beetsma, R.M.W.J., Cukierman, A. & Giuliodori, M. (2012). The Political Economy of Redistribution in the US in the Aftermath of World War II and the Delayed Impacts of the Great Depression - Evidence and Theory. University of Amsterdam, http://www1.fee.uva.nl/mint/content/people/content/giuliodori/downloadablepapers/b eetsma_cukierman_giuliodori2.pdf. Beetsma, R.M.W.J, Giuliodori, M., Walschot, M. & Wierts, P. (2012). Fifty Years of Fiscal Planning and Implementation in the Netherlands. University of Amsterdam, http://www1.fee.uva.nl/mint/content/people/content/giuliodori/downloadablepapers/E JPE_2012.pdf. Beetsma, R.M.W.J. & Mavromatis, K. (2012). An Analysis of Eurobonds. CEPR Discussion Paper No. 9244. Boero, G., Mavromatis, K. & Taylor, M.P. (2012). Asymmetries, productivity and capital account effects in the determination of the real exchange rate: The case of transition economies. Boranbay, S. & Guerriero, C. (2012). Endogenous (In)Formal Institutions. ACLE Working Paper, 2012-04. Bos, F. & Teulings, C.N. (2012). The world's oldest fiscal watchdog: CPB's analyses foster consensus on economic policy. CEPR Discussion Paper No. 8902. Dari-Mattiacci, G., Guerriero, C., & Zhenxing H. (2012). Property Versus Contract. ACLE Working Paper, 2012-01. Hertrich, M. & Veestraeten, D.J.M. (2012). Valuing stock options when prices are subject to a lower boundary: A correction. University of Amsterdam. Kirchner, M. & Wijnbergen, S.J.G. van (2012). Fiscal Deficits, Financial Fragility and the Effectiveness of Government policies. Tinbergen Insitute WP 12-044/2. Koudstaal, M. & Wijnbergen, S.J.G. van (2012). On Risk, Leverage and Banks: do Highly Leveraged banks take on Excessive Risk? Tinbergen Insitute WP 12-022/2/DSF-31. Kriwoluzky, A. & Stoltenberg, C.A. (2012). Monetary Policy and the Transaction Role of Money in the United States. University of Amsterdam. Lepetyuk, V. & Stoltenberg, C.A. (2012). Reconciling Consumption Inequality with Income Inequality. University of Amsterdam. Mavromatis, K. (2012). Markov Switching Monetary Policy in a two-country DSGE Model. The Warwick Economics Research Paper Series (TWERPS) No. 982, University of Warwick. Onghena, S., Wijnbergen, S.J.G. van & Zaheer, S. (2012). The Transmission of Monetary Policy Through Conventional and Islamic Banks, Tinbergen Insitute WP 12-048/2. Ormeno, A. (2012). Using survey data in the estimation of learning and rational expectations models. Central Bank of Peru Working Paper 2012-07. Veestraeten, D.J.M. (2012). The relationship between put and call option prices: A remark. University of Amsterdam. Veestraeten, D.J.M. (2012). On transition and first hitting time densities of the OrnsteinUhlenbeck process. University of Amsterdam. Veestraeten, D.J.M. (2012). Currency option pricing in a credible exchange rate target zone. University of Amsterdam. Vermeylen, K. (2012). Decreasing Returns to Capital, the Willingness to Pay and the Willingness to Accept Compensation, and the Limits of Cost-Benefit Analysis. University of Amsterdam. Vermeylen, K. & Arkel, R. van (2012). The Interest Rate and Capital Durability, and the Importance of Methodological Pluralism. University of Amsterdam. Wijnbergen, S.J.G. van & Willems, T. (2012). Optimal learning on climate change: Why climate skeptics should reduce emissions. Tinbergen Insitute WP 12-085/2. Wijnbergen, S.J.G. van & Willems, T. (2012). Learning dynamics and support for economic reforms: Why good news can be bad. Tinbergen Insitute WP 12-043/2. Willems, T. (2012). Political accountability and policy experimentation: Why to elect lefthanded politicians? University of Oxford. UvA Dissertation – internally prepared Vos, S.J. (2012, 7 November). Essays in Pension Economics and Intergenerational Risk Sharing, University of Amsterdam. [promotor prof. dr. R.M.W.J. Beetsma]. Conference organiser Stoltenberg, C.A. (2012). Tinbergen Macro Seminar Series. Recognition Beetsma, R.M.W.J. (2012). Netspar theme grant for the program Multi-pillar pension schemes and macroeconomic performance (2010-2013). Beetsma, R.M.W.J. (2012). MN Chair in Pension Economics – sponsoring of Chair and two AIO research projects. Ewijk, C. van (2012). Open Research Area in Europe of the Social Sciences (ORA)/ NWO grant on research proposal The Impact of Social Security Contributions on Earnings (0.25 mln euro, post-doc for 3 years). Sedlacek, P. (2012). Student prize CEF 2012. Media appearance Beetsma, R.M.W.J. (2012, 19 November). BNR Nieuwsradio Beetsma, R.M.W.J. (2012, 24 October). BNR Nieuwsradio. . ``` Beetsma, R.M.W.J. (2012, 24 September). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 18 September). Radio 1. Beetsma, R.M.W.J. (2012, 31 August). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 20 August). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 2 August). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 5 July). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 21 June). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 15 May). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 10 May). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 29 March). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 1 March). Omrop Fryslan. Beetsma, R.M.W.J. (2012, 1 March). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 31 January). Radio 1. Beetsma, R.M.W.J. (2012, 24 January). BNR Nieuwsradio. Beetsma, R.M.W.J. (2012, 18 January). BNR Nieuwsradio. Ewijk, C. van (2012, 17 September). Casper van Ewijk over de koninklijke weg in pensioen, Video interview Me Judice. Ewijk, C. van (2012, 25 July). Het Interview - Casper van Ewijk, door Anke Claassen, NPN (Nederlands Pensioen & Beleggingsnieuws). Ewijk, C. van (2012, April). Terug naar ziekenfonds en particuliere verzekering? Differentieer de zorgkosten, Inteview in Headline, Uitgave van HEAD, van en voor zorgfinancials. Hoogduin, L. (2012, 26 November). Video interview: wat nu?, Mejudice. Hoogduin, L. (2012, 13 October). Tros in bedrijf, Radio 1. Hoogduin, L. (2012, 10 October). Interview, BNR Radio. Hoogduin, L. (2012, 13 September). Interview, BNR Radio. Hoogduin, L. (2012, 3 September). Interview, BNR Radio. Hoogduin, L. (2012, 7 July). Interview, BNR Radio. Hoogduin, L. (2012, 31 May). Interview, BNR Radio. Hoogduin, L. (2012, 24 May). Villa VPRO, Klinkende munt, Radio 1. Hoogduin, L. (2012, 3 May). Interview, BNR Radio. Hoogduin, L. (2012, 15 March). Villa VPRO, Klinkende munt, Radio 1. Hoogduin, L. (2012, 12 January). Villa VPRO, Klinkende munt, Radio 1. Hoogduin, L. (2012, 1 January). Nieuwjaarsreceptie, Radio 1. Hoogduin, L. (2012). Interview, Nieuwsuur. Hoogduin, L. (2012). Interview, Nieuwsuur. Hoogduin, L. (2012). Discussion with Leen Meijaart, Room for Discussion. Hoogduin, L. (2012). Discussion with Ewald Engelen, Room for Discussion. Hoogduin, L. (2012). Interview, Prospect. Hoogduin, L. (2012). Interview, Nederlands Pensioennieuws. Hoogduin, L. (2012). Interview, NRC Handelsblad. Hoogduin, L. (2012). Interview, NVM Magazine. Hoogduin, L. (2012). Interview, De Volkskrant. Hoogduin, L. (2012). Interview, HP/de Tijd. ``` ``` Hoogduin, L. (2012). Interview, AM. ``` Editorship Beetsma, R.M.W.J. (2012). Chairman Editorial BoardNetspar. Ewijk, C. van (2012). EditorDe Economist. Guerriero, C. (2012). Associate Editor International Review of Law and Economics. Keynote/invited talk Beetsma, R.M.W.J. (2012, 25 January). Risk sharing in defined-contribution funded pension systems. Netspar Pension Workshop, Amsterdam. Beetsma, R.M.W.J. (2012, 17 March). Discussant of How do Laffer curves differ across countries? (by Mathias Trabandt and Harald Uhlig). Seventh Conference of the International Research Forum on Monetary Policy, organised by the ECB, Federal Reserve Board, Georgetown University and Center for Financial Studies of the University of Frankfurt, Frankfurt. Beetsma, R.M.W.J. (2012, 13 April). Co-movements of European interest spreads before and after the start of the debt crisis. International Conference on the European Sovereign Debt Crisis: Background and Perspectives, organised by the Copenhagen Business School, Danmarks Nationalbank and the Santa Cruz Institute of International Economics (SCIIE), Copenhagen. Beetsma, R.M.W.J. (2012, 7 May). Chairman of panel Country Experience with Fiscal Consolidation. Conference on Medium-Term Budgetary Frameworks and Fiscal Consolidation Programs, organised by IMF and Swedish Ministry of Finance, Stockholm. Beetsma, R.M.W.J. (2012, 8 May). From Budgetary Forecasts to Ex-Post Fiscal Data: Exploring the Evolution of Fiscal Forecast Errors in the EU, Conference on MediumTerm Budgetary Frameworks and Fiscal Consolidation Programs. Conference organised by IMF and Swedish Ministry of Finance, Stockholm. Beetsma, R.M.W.J. (2012, 22 May). The Political Economy of Redistribution in the U.S. in the Aftermath of World War II and the Delayed Impacts of the Great Depression Evidence and Theory. European Symposium in Macroeconomics, organised by CEPR, Tarragona. Beetsma, R.M.W.J. (2012, 4 June). Panel discussant of Corporate Taxation of Headquarter Services in Europe. ZIFO Congress Hoofdkantoren en Fiscaal Vestigingsklimaat, organised by the Free University, Amsterdam. Beetsma, R.M.W.J. (2012, 12 September). Short- and Long-Run Challenges for European Public Finances. MN Services, The Hague. Beetsma, R.M.W.J. (2012, 20 September). Sovereign Risk, the Future of the Euro & the Impact for Investors. SPS Conference Fixed Income Investment Strategies for Pension funds, Amsterdam. Beetsma, R.M.W.J. (2012, 26 September). Short- and Long-Run Challenges for European Public Finances. DNB Expertmeeting Handhaving begrotingsregels in het eurogebied, Amsterdam. Beetsma, R.M.W.J. (2012, 5 October). Pensioenakkoord: wat wilden we en wat is ervan terechtgekomen? Netspar/APG Workshop Stand van zaken pensioenakkoord en hoofdlijnennotitie, Amsterdam. Beetsma, R.M.W.J. (2012, 10 October). Discussant of Bezuinigen, Hervormen en Investeren (by Taco van Hoek). CDA symposium De Woningmarkt in Beweging, Utrecht. Beetsma, R.M.W.J. (2012, 15 November). Macroeconomic effects of funded pensions and consequences for supervision. World Pension Summit, Amsterdam. Beetsma, R.M.W.J. (2012, 14 December). Discussant of The Design of Fiscal Adjustments (by Alberto Alesina and Silvia Ardagna) and Fiscal Consolidation in a Currency Union: Spending Cuts Vs. Tax Hikes (by Christopher J. Erceg and Jesper Lindé). ECB-IMF Conference Reforming EU Fiscal Governance, Frankfurt. Chen, D.H.J. (2012, 9 November). Optimal Intergenerational Risk-Sharing via Pension Fund and Government Debt and the Welfare Loss of the Dutch Pension System Redesign. Netspar Pension Day. Chen, D.H.J. (2012, 18 December). Optimal Intergenerational Risk-Sharing via Pension Fund and Government Debt and the Welfare Loss of the Dutch Pension System Redesign. CPB. Ewijk, C. van (2012, 20 January). Krimpende Economie, Groeiende Zorg. Zorginnovatie reis, München. Ewijk, C. van (2012, 21 March). Pensioenen en de economie. 19e Jaarcongres Pensioenactualiteiten, Amsterdam. Ewijk, C. van (2012, 22 June). Generatie-effecten pensioenakkoord. Netspar. Ewijk, C. van (2012, 19 September). Prinsjesdaglezing 2012. Wassenaar. Ewijk, C. van (2012, 15 November). Intergenerational risk sharing in Dutch pensions. World Pension Summit, Amsterdam. Ewijk, C. van (2012, 22 November). Vraagsturing in zorg: het gaat om vraag èn aanbod. Workshop voor bestuurders in de zorg op Kasteel Vanenburg, Putten. Giuliodori, M. (2012, 26-28 March). The Changing Macroeconomic Response to Stock Market Volatility Shocks. Royal Economic Society Conference, Cambridge, UK. Giuliodori, M. (2012, 23-24 August). Spread the News: the Impact of News on the European Sovereign Bond Markets during the Crisis. European Central Bank, Frankfurt, Germany. Giuliodori, M. (2012, October). Spread the News: the Impact of News on the European Sovereign Bond Markets during the Crisis. Trinity College Dublin, Ireland. Guerriero, C. (2012) Endogenous (In)Formal Institutions. "Conference in honour of Oliver Williamson," Paris, University Paris-Dauphine, 2012. Hoogduin, L. (2012, 30 January). The Euro Crisis. University of Amsterdam. Hoogduin, L. (2012, 27 February). The Euro and Economic Developments. Invited Talk at IGC, Amsterdam. Hoogduin, L. (2012, 22 March). The Eurocrisis. Invited Talk at the Law Faculty, University of Leiden. Hoogduin, L. (2012, 16 April). Hayek. Invited talk at Studium Generale, University of Groningen. Hoogduin, L. (2012, 2 May). Investments by Pension Funds in Sustainable Energy. Invited Talk and Panel Discussion, Sustainable Finance Lab, University of Utrecht. Hoogduin, L. (2012, 18 June). What makes the Euro Crisis Different? Invited Talk and Panel Discussion organised by SUERF, Vienna. Hoogduin, L. (2012, 22 August). Keynote Speech at first PhD-day. University of Groningen. Hoogduin, L. (2012, 28 August). The Future of the Dutch Pension System. Invited Talk and Panel Discussion at a Meeting Organised by Political Youth Organisation, Rotterdam. Hoogduin, L. (2012, 16 November). The New Cabinet Agreement (Regeerakkoord) in the Netherlands. Invited Talk at Dreesseminar, The Hague. Hoogduin, L. (2012, 21-22 November). Panellist and Discussant at a Conference on Risk and Uncertainty in a Changing Society, University of Antwerpen. Hoogduin, L. (2012, 23 November). The Role of the ECB in the Crisis. Invited Talk, Brussels. Hoogduin, L. (2012, 29 November). The Future of Europe and the Euro. Introduction and Debate with Thierry Baudet at Hillegondedebat, Rotterdam. Klaassen, F.J.G.M. (2012, August). Identifying the weights in exchange market pressure. Invited paper, Econometric Society European Meeting, Malaga, Spain. Klaassen, F.J.G.M. (2012, 30 March). MInt Research Group overview and presentation on exchange market pressure. Economics Seminar. Tinbergen Institute. Klaassen, F.J.G.M. (2012, 10 December). Identifying the weights in exchange market pressure. Economics Seminar, Einaudi Institute for Economics and Finance, Rome. Lorié, J.A. (2012, 17 September). Global Economic Outlook: Some Light in the Tunnel. ICISA Annual Meeting, The Hague. Sedlacek, P. (2012, 16 January). Firm age, business cycles and aggregate labour market dynamics. Economics School of Louvain, Universite Catolique de Louvain, Louvain la Neuve, Belgium. Sedlacek, P. (2012, 17 January). Firm age, business cycles and aggregate labour market dynamics. Department of Economics, Carlos III, Madrid, Spain. Sedlacek, P. (2012, 19 January). Firm age, business cycles and aggregate labour market dynamics. Department of Economics, University of Bonn, Bonn, Germany. Sedlacek, P. (2012, 23 January). Firm age, business cycles and aggregate labour market dynamics. School of Economics, University of Edinburgh, Edinburgh, UK. Sedlacek, P. (2012, 25 January). Firm age, business cycles and aggregate labour market dynamics. Directorate General Research, Monetary Policy Research, European Central Bank, Frankfurt, Germany. Sedlacek, P. (2012, 30 January). Firm age, business cycles and aggregate labour market dynamics. Department of Economics and Economic History, Universitat Autonoma de Barcelona, Barcelona, Spain. Sedlacek, P. (2012, 31 January). Firm age, business cycles and aggregate labour market dynamics. Department of Economics and Business, Universitat Pompeu Fabra, Barcelona, Spain. Sedlacek, P. (2012, 22 February). Firm age, business cycles and aggregate labour market dynamics. Research Department, Hungarian National Bank, Budapest, Hungary. Sedlacek, P. (2012, 24 May). Firm age, business cycles and aggregate labour market dynamics. Research Department, Central Bank of Slovenia, Ljubljana, Slovenia. Sedlacek, P. (2012, 27 June). Firm age, business cycles and aggregate labour market dynamics. Conference on Computating in Economics and Finance, Prague, Czech Republic. Vermeylen, K. (2012, March). How Unfounded Microfoundations Pollute our Thinking and Possibly also the World. Royal Economic Society Annual Conference, Cambridge, UK. Vermeylen, K. (2012, June). Decreasing Returns to Capital, the Willingness to Pay and the Willingness to Accept Compensation, and the Limits of Cost-Benefit Analysis. 19th Annual Conference of the European Association of Environmental and Resource Economists, Prague, Czech Republic. Vermeylen, K. (2012, June). Discussion of The Control of Nonpoint Pollution When Damages are Heterogeneous (by Albiac, J. & Esteban, E.). 19th Annual Conference of the European Association of Environmental and Resource Economists, Prague, Czech Republic. Vermeylen, K. (2012, July). How Unfounded Microfoundations Pollute our Thinking and Possibly also the World. International Network for Economic Research Conference on Non-standard Monetary Approaches in Macroeconomics, Münster, Germany. Other lectures Beetsma, R.M.W.J. (2012, 19 December). Lecture for SPO, The Hague. Guerriero, C. (2012). Co-organizer and chair of the session "Endogenous Legal and Regulatory Institutions: Theory and Evidence." AEA meeting, Chicago. Guerriero, C. (2012). Invited seminars: Maastricht University; Universite de Paris II; TILEC at Tilburg University. Stoltenberg, C.A. (2012). Macroeconomics II, Tinbergen Research Institute Amsterdam, 7 lectures. Membership academies Beetsma, R.M.W.J. (2012, 19 September). Member of Ph.D. committee of Igor Fedotenkov, Tilburg University, Tilburg. Beetsma, R.M.W.J. (2012). Research Fellow CEPR. Beetsma, R.M.W.J. (2012). Research Fellow CESifo. Beetsma, R.M.W.J. (2012). Fellow Tinbergen Institute. Beetsma, R.M.W.J. (2012). International Research Fellow of Kiel Institute of World Economics. Beetsma, R.M.W.J. (2012). Senior Research Fellow of Netspar. Ewijk, C. van (2012, 27 September). Ph.D. committee Igor Fedentov, University of Tilburg. Ewijk, C. van (2012). Member Visitatie commissie Economische Wetenschappen, Vlaamse Universiteiten. Ewijk, C. van (2012). Review committee, D-MTEC, ETH, Zurich. Ewijk, C. van (2012). Member board of advisors, NZA (Dutch Healthcare Authority). Ewijk, C. van (2012). Member Social Economic Council (plaatsvervangend kroonlid SER). Ewijk, C. van (2012). Member steering committee, ENEPRI (European Network of Economic Policy Research Institutes). Ewijk, C. van (2012). Member of Committee on discouting rules for pensions (UFR), Ministery of Social Affairs. Giuliodori, M. (2012). Fellow Tinbergen Institute. Klaassen, F.J.G.M. (2012). Fellow Tinbergen Institute. Romp, W.E. (2012). Fellow Tinbergen Institute. Romp, W.E. (2012). Research Fellow Netspar. Relevant position Beetsma, R.M.W.J. (2012). Referee for: Economics Letters, Oxford Economic Papers. Beetsma, R.M.W.J. (2012). Member of Supervisory Board of BNG Vermogensbeheer. Giuliodori, M. (2012). Referee for: Journal of the European Economic Association, International Journal of Central Banking, Journal of International Money and Finance, Fiscal Studies, Contemporary Economic Policy. Guerriero, C. (2012). Referee for: Economic Journal, Economics of Governance, Journal of Comparative Economics, International Review of Law and Economics. Klaassen, F.J.G.M. (2012). Referee for: Journal of Macroeconomics, Journal of International Economics. Mavromatis, K. (2012). Referee for: Journal of Macroeconomics, International Journal of Finance and Economics. Romp, W.E. (2012). Referee for: The Journal of Pension Economics and Finance, Economic Modelling. Sedlacek, P. (2012). Referee for: American Economic Journal: Macroeconomics, Economic Journal. Stoltenberg, C.A. (2012). Referee for: Economic Journal, European Economic Review, Econometrica. Vermeylen, K. (2012). Referee for Jones, Macroeconomics (2nd edition). 10. HUMAN CAPITAL Subprogrammes: ACE, TIER & AIID Programme director: Prof.dr. E. Plug METIS code: uva/feb/ase/hum JEL-classification: I, J, L Starting date: 2001 Website: www.aseri.uva.nl/hum VSNU-scores 2001-2007: Quality: 4.5, Productivity: 4, Relevance: 5, Viability: 4,5 10.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Buser, T. \| msc \| phd \| 0,20 \| 0,60 \| 0,60 \| 0,53 0,27 \| 1 \| \| Buser, T. \| dr. \| oz \| - \| - \| - \| \| 1 \| \| Chevalier, A. \| dr. \| guest \| 0,00 \| 0,00 \| - \| - - - \| 1 \| \| Dominguez Martinez, S \| dr. \| ud \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Drange, N.E. \| msc \| guest \| - \| 0,00 \| 0,00 \| \| 1 \| \| Geijtenbeek, L. \| msc \| phd \| - \| - \| - \| 0,22 \| 1 \| \| Hartog, J. \| prof. dr. \| guest \| 0,50 \| 0,50 \| 0,25 \| 0,00 - - \| 1 \| \| Hoogendoorn, S. \| msc \| phd \| - \| - \| 0,60 \| \| 3 \| \| Hsieh, C. \| dr. \| ud \| - \| 0,48 \| 0,50 \| \| 1 \| \| Kastoryano, S.P. \| msc \| phd \| 0,10 \| 0,30 \| 0,30 \| 0,53 \| 1 \| \| Kastoryano, S.P. \| dr. \| guest \| - \| - \| - \| 0,00 \| 1 \| \| Ketel, N. \| msc \| phd \| - \| - \| 0,10 \| 0,80 \| 1 \| \| Mazza, J. \| msc \| phd \| 0,60 \| 0,60 \| 0,10 \| - \| 2 \| \| Mazza, J. \| msc \| guest \| - \| - \| 0,00 \| 0,00 0,56 0,60 \| 1 \| \| Oosterbeek, H. \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Peter, N. \| msc \| phd \| - \| - \| 0,60 \| \| 1 \| \| Plug, E.J.S. \| dr. \| hgl \| - \| 0,27 \| - \| - \| 2 \| \| Plug, E.J.S. \| dr. \| hgl \| 0,50 \| 0,67 \| 0,80 \| 0,65 0,00 \| 1 \| \| Praag, B.M.S. van \| prof. dr. \| guest \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Praag, C.M. van \| prof. dr. \| hgl \| 0,25 \| 0,25 \| 0,25 \| - - \| 1 \| \| Rosendahl Huber \| msc \| phd \| - \| 0,20 \| 0,60 \| \| 3 \| \| Rosero Moncayo, J.A. \| msc \| phd \| 0,60 \| 0,60 \| 0,60 \| 0,53 \| 1 \| \| Rosero Moncayo, J.A. \| dr. \| guest \| - \| - \| - \| 0,00 - - - - - \| 1 \| \| Siemens, F.A von \| dr. \| ud \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Sloof, R. \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| \| 1 \| \| Sol, J. \| dr. \| ud \| - \| - \| 0,38 \| \| 1 \| \| Sol, J. \| dr. \| ud \| - \| - \| 0,12 \| \| 3 \| \| Stel, A.J. van \| dr. \| oz \| 0,42 \| 0,42 \| - \| \| 3 \| \| Welie, E.A.A.M. van \| dr. \| guest \| 0,00 \| 0,00 \| 0,00 \| 0,00 \| 1 \| \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Subprogramme TIER \| \| \| \| \| \| \| \| \| Balvers, M.P.J.M. \| MSc \| guest \| 0,00 \| 0,00 \| - \| - - \| 1 \| \| Booij, A.S. \| dr \| guest \| 0,00 \| - \| - \| \| 1 \| \| Booij, A.S. \| dr \| oz \| - \| 1,00 \| 0,80 \| 0,80 \| 2 \| \| Coonen, M.H.E. \| \| guest \| - \| 0,00 \| - \| - - - - \| 1 \| \| Ewijk, R.J.G. \| drs \| phd \| 0,00 \| - \| - \| \| 1 \| \| Ewijk, R.J.G. \| dr \| postdoc \| 0,50 \| 0,17 \| - \| \| 3 \| \| Groot, W. \| prof dr \| guest \| 0,00 \| 0,00 \| 0,00 \| \| 3 \| \| Haan, M. de \| msc \| phd \| - \| 0,80 \| 0,80 \| 0,53 \| 2 \| \| Haan, M. de \| dr \| oz \| 0,80 \| - \| - \| - - \| 3 \| \| Heerden, A. van \| MSc \| oz \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Hidalgo, D. \| drs \| phd \| 0,20 \| 0,60 \| 0,38 \| 0,80 \| 2 \| \| Huang, J. \| msc \| phd \| 0,40 \| - \| - \| - - \| 2 \| \| Huang, J. \| msc \| oz \| 0,33 \| 0,67 \| - \| \| 2 \| \| Huang, J. \| msc \| guest \| - \| 0,00 \| 0,00 \| 0,00 0,80 \| 2 \| \| Linde, J. \| dr \| oz \| - \| - \| 0,17 \| \| 2 \| \| Klaveren, C.P.B.J. van \| drs \| guest \| 0,00 \| - \| - \| - \| 1 \| \| Maassen van den Brink, H. \| prof dr \| hgl \| 0,53 \| 0,53 \| 0,53 \| 0,53 \| 2 \| \| Ruijs, N. \| msc \| phd \| - \| - \| 0,60 \| 0,40 - - - - \| 2 \| \| Schoot, D. van der \| msc \| guest \| - \| - \| 0,00 \| \| 1 \| \| Webbink, D. \| dr \| guest \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Witte, K. de \| dr \| guest \| - \| 0,00 \| 0,00 \| \| 1 \| \| Wolf, I.F. de \| dr \| guest \| 0,00 \| 0,00 \| 0,00 \| \| 1 \| \| Subprogramme AIID \| \| \| \| \| \| 0,40 \| \| \| Gaag, J. van der \| prof dr \| hgl \| 0,80 \| 0,80 \| 0,37 \| \| 3 \| \| Lammers, J. \| dr \| oz \| 1,00 \| 1,00 \| - \| - \| 3 \| \| Pradhan, M.P. \| prof dr \| hgl \| 0,15 \| 0,15 \| 0,15 \| 0,15 \| 1 \| \| Total 1st flow of funds \| \| \| 4,30 \| 5,55 \| 7,13 \| 4,84 \| \| \| Total 2nd flow of funds \| \| \| 2,06 \| 3,34 \| 2,78 \| 3,86 0,40 \| \| \| Total 3rd flow of funds \| \| \| 3,52 \| 3,72 \| 1,69 \| \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 3,40 \| 4,05 \| 4,33 \| 1,63 \| \| \| Total all flows of funds \| \| \| 9,88 \| 12,61 \| 11,60 \| 9,10 4,54 \| \| \| Ph.D. students \| \| \| 2,10 \| 3,70 \| 5,28 \| \| \| 10.2 PROGRAMME DESIGN Objective The program is an empirically driven research program which relies on microeconometric techniques to study important microeconomic issues in the areas of labour economics, economics of education, family economics and development economics. Particular emphasis is paid to the identification of causal mechanisms, the analysis of existing policies and policy changes on a variety of microeconomic outcomes, and the design and implementation of experiments to carefully evaluate policy interventions and their microeconomic consequences. Motivation Microeconomic models play an important role in understanding individual behavior in many economic areas; that is, predictions taken from microeconomic theories are often used to explain and understand individual economic circumstances, how differences between individuals can possibly account for differences in economic outcomes, and to what extent policies can influence individual economic circumstances. But predictions are not easily verified and possibly false, with huge consequences for (the development of) microeconomic theory, policy and policy design. It is therefore crucial to test predictions of individual economic behavior with careful empirical work, using the most rigorous methods in applied microeconometrics. Themes Economics of Education The economics of education program is the most active and prominent research area. In it, we study a variety of aspects of the intersection between economics and education: human capital formation, human capital returns, school choice, education and markets, inputs and education production, evaluations of education reforms. Recent educational topics analyzed in the human capital group include the long-term consequences of class size (Hessel Oosterbeek), the role of school size and school competition (Hessel Oosterbeek, Monique de Haan), peers and the education production function (Hessel Oosterbeek, Adam Booij), sunk costs and study effort (Nadine Ketel, Jona Linde, Hessel Oosterbeek), returns to medical school (Nadine Ketel, Hessel Oosterbeek), matching primary school students to secondary schools (Hessel Oosterbeek, Nienke Ruijsch), the influence of previous test taking on current test scores (Jona Linde), information, overconfidence and student achievement (Adam Booij), immigrants in primary and secondary education (Liesbeth van Wely), teacher quality and student achievement (Erik Plug), the effectiveness of excellent programs in secondary education (Adam Booij, Ferry Haan and Erik Plug), the consequences of Montessorie education (Nienke Ruijsch), competitiveness and school choice (Thomas Buser, Hessel Oosterbeek), drop outs in lower secondary eduation (Henriette Maassen van den Brink), student compensation, school resources and student achievement (Monique de Haan, Hessel Oosterbeek, Noemi Peter). Labour economics The human capital group is originally a labour orientated economics program which investigates various aspects of labour economics, including the determinants of labour supply and demand, personnel economics, distribution of income, labour market policies, the intersection between labour markets and demographics. Over the years, however, the labour economics program has expanded and today it is less clear what is exactly covered by labour economics and what is not. There is substantial overlap with the other themes in the human capital group. The labour economic topics that are currently addressed in the human capital group include the genetic and environmental origins of economic inequality (Erik Plug), tax evasion (Stephen Kastaryano), labour market returns to uncertainty and risk (Joop Hartog), immigrants and labour market outcomes (Joop Hartog), labour market discrimination against sexual minorities (Erik Plug), the labour market of medical specialists (Nadine Ketel, Hessel Oosterbeek), fertility and labour supply (Erik Plug). Family economics The family economics program covers empirical research on the economic behaviour of families, including labour supply and other related sources of time use, family formation and dissolution, fertility and child investment decisions, and intergenerational mobility of economic outcomes. The recent availability of large administrative data sources combined with family driven identification strategies (relying on twins, siblings and adoptees) has spurred family research considerably. Current examples include the nature and nurture of economic outcomes (Thomas Buser, Erik Plug), the origins of gender differences in education (Thomas Buser, Ferry Haan, Hessel Oosterbeek), gender roles in twins (Noemi Peter), time allocation within families (Henriette Maassen van den Brink), the economics of sexual orientation (Lydia Geijtenbeek, Erik Plug), fertility, labour supply and marital stability (Erik Plug), parental investments and children (Thomas Buser, Monique de Haan, Hessel Oosterbeek, Erik Plug, Jose Rosero) and the heritability of cancer (Erik Plug). Development economics The development economics program focuses on microeconomic issues in low income countries. In particular, the program tries to uncover the micro-economic causes of poverty and to provide the means and tools to eradicate it. Recent issues addressed include the evaluation of a variety of school interventions on student outcomes including the allocation of free school uniforms, the introduction of child care centers (Diana Hidalgo, Hessel Oosterbeek, Jose Rosero), birth order effects on child schooling and child labour (Monique de Haan, Erik Plug and Jose Rosero), the consequences of a cash transfer program change on a variety of child and adult outcomes (Thomas Buser, Hessel Oosterbeek, Erik Plug and Jose Rosero), the impact of public health spending (Menno Pradhan), utility and price dependence in equivalence scales (Menno Pradhan), the evaluation of a preschool intervention in Indonesia (Menno Pradhan), targeting micro-credit to poor family enterprise (Diana Hidalgo and Hessel Oosterbeek). Organization As already mentioned, we are an applied microeconometrics group, covering various themes of research, with scope for individual research projects, internal and external joint work and cooperation and more formal cooperations. There are currently two more formally defined research groups. The education and labour economists in the human capital group were integrated into TIER (Top Institute for Evidence Based Education Research) in 2008. Henriette Maassen van den Brink, director of TIER Amsterdam, saw the successful blend of scientific quality with policy relevance recognized through a large grant from NWO. TIER is now funded by the Ministry of Education (and matching by participating universities), but the grant is fully administered by NWO. The Institute is joint with RU Groningen and RU Maastricht. Research focuses on the effectiveness of policy interventions in education. At the end of 2012 the grant will expire. TIER has ambitious goals: it wants to contribute to the improvement of the quality of education in the Netherlands by promoting the evidence based approach as a guiding principle in education policy and practice. It intends to accomplish this by developing (cost) effective education interventions that are grounded in scientific research and scientific insights. The research is funded through the NWO and must comply with the NWO formulated rules of evaluation. The aim of the institute is to conduct excellent scientific research, to operationalise the results of this research and to put the results at the disposal of education policy and practice. The institute wants to develop knowledge of evidence based education that can be applied by: 1) the Ministry of Education, Culture and Science, in policy preparation and evaluation; 2) the educational practice - such as teachers and educational institutions - in the allocation of means and when making educational choices; 3) parents and students, when choosing a school or training. TIER aims to be an element that binds research, practice and policy in the field of education. AIID (Amsterdam Institute for International Development) is a joint initiative of the University of Amsterdam and the VU University Amsterdam. AIID is a multidisciplinary research network with a strong focus on generating evidence to improve the design of policies to reduce poverty. Menno Pradhan and Jacques van der Gaag are AIID researchers who with their research on human capital and health and with impact evaluation of sector-wide programmes. The two institutes, TIER and AIID, share the same ambition to perform research at the highest academic standards on issues with high societal relevance: education, labour, economic development of poor nations. 10.3 PROGRAMME EVALUATION In 2012 the human capital group has turned into a small-scale research programme. All human capital members of ACE have left and moved to the IO group, which offers a research profile better suited to their methods and interests. Monique de Haan, a talented and successful postdoc at TIER, faced an expiring contract and left us to take up the position of associate professor at University of Oslo. Four PhD students faced the end of their PhD terms. Three of them left the group to take up positions elsewhere; Jacopo Mazza has a tenured track position at University of Manchester, Stephen Kastoryano has a tenured track position at University of Mannheim, and Jose Rosero has left academia and is now working as the director of Statistics Ecuador. Thomas Buser has been offered a postdoc at TIER and stays member of the human capital group. Lydia Geijtenbeek has also joined as a first year PhD student. Despite the large reduction in size, the group keeps on delivering high quality research; that is, 2012 has been a good year in terms of scientific output. The human capital group has published 8 articles in international refereed journals and has 8 articles accepted for publication. Of the 8 published articles, 3 articles were published in A level journals. Of the 8 forthcoming articles, 4 of them will end up in A level journals. Highlights include the exceptional performance of Thomas Buser and high quality publications (either published this year or forthcoming) in world leading economics journals. Thomas Buser has defended his thesis successfully with the distinction cum laude and got three paper published in highly esteemed journals. In addition, Hessel Oosterbeek, together with Peter Fredriksson and Bjorn Ockert, has a paper forthcoming in the Quarterly Journal of Economics, which is an AA-level journal on the Tinbergen list. Erik Plug, together with Dinand Webbink and Nick Martin, has a fortcoming publication the Journal of Labor Economics, which is one of the most esteemed field journals with a top-10 article influence score among all economics journals. The human capital group provides a stimulating research environment. This environment is partially shaped through national and international connections, external seminar series, internal work-in-progress meetings, and international visitors. Human capital members have close research contacts with researchers at ASE, Free University Amsterdam and Tinbergen Institute, work together with researchers from Europe and US, and are regularly invited to give seminars and (keynote) speeches throughout the world. Members of the human capital group organize a successful weekly seminar series at Tinbergen Institute. The seminar series is internationally renowned, and, in 2012, included presentations of Luigi Pistaferri (Stanford), Fabian Lange (Yale), Dan Black (Chicago) and Henrik Kleven (Londen LSE). Members of the human capital group (including senior researchers, PhD students and visitors) also come together weekly to discuss their work in various stages. The human capital group has been attractive to visiting professors, post-doc researchers and PhD students. In 2012 the human capital group has welcomed Rune Borgan Leigan. The human capital group attracts and delivers many PhD students. This year Lydia Geijtenbeek has joined us. This year Jacopo Mazza, Stephen Kastoryano and Jose Rosero left us and are placed successfully elsewhere. This year Thomas Buser also graduated but stays on working as a postdoc at the human capital group. PhD students are doing well in terms of performance and placements. Noemi Peter, a PhD student of Hessel Oosterbeek, has already a paper published in Empirical Economics, which is a B level journal. Jacopo Mazza and Stephen Kastoryano are currently employed in tenured track position at the University of Manchaster and Mannheim, respectively. There are currently 7 PhD students working at the human capital group. Apart from scientific relevance, the work of human capital members addresses practical policy issues with societal relevance. In addition, most research is empirically orientated and can be formulated such that it is relatively easy to comprehend for policy makers. Members of the human capital group are in close contact with the Ministry of Education, Culture and Science and regularly come together to communicate their scientific work with insights and recommendations. Members are also frequently invited to consult on a variety of governmental policy issues. Henriëtte Maasen van den Brink is member of the higher education committee of the KNAW which focuses on trends and developments in higher education that are relevant for science and society. Henriette Maassen van den Brink also chairs the division of social sciences (MaGW) at the Dutch science foundation (NWO). Hessel Oosterbeek has been a member of a committee to advise the education minister Marja van Bijsterveldt on the effects of performance pay for teachers. In sum, the human capital group experienced a good year in terms of academic output. In addition, the large change in group composition has improved the internal coherency and visibility of the research programme; that is, the human capital research programme covers mainstream topics in applied microeconomics (including the economics of education, family and demographic economics, health economics, labor economics and development economics) with a strong focus on microeconometrics. But at the same time there are serious concerns about group size and structure. In particular, the large reduction in group size has led to an unbalanced research group with only PhD students, postdocs and full professors; a viable and serious research programme requires at least one or two tenured assistant/associate professor positions. To maintain the high level of research in future years, our aim is to resolve the unbalancedness in staff. One way is to find additional funding. Resources to finance extra staff should come from internal and external sources. Internal funds come largely from teaching core courses, which are currently not allocated to the human capital group. External funds are uncertain. The human capital group therefore faces the challenge to raise extra funds through teaching core courses (such as for example statistics and/or econometrics) in bachelor curriculum or through targeted research grant applications. Another way is collaborate (more) with closely related research programmes. The human capital group will therefore intensify its collaboration with the labour economics group are Free University. This evaluation can be summarized in the following SWOT analysis: Strengths: high quality research addressing issues of societal relevance; stimulating research environment; good reputation; healthy inflow and outflow of PhD students; substantial external funding; internal coherent and visible research theme. Weaknesses: unbalanced research staff; largely dependent on external funding. Opportunities: to raise extra funds either through teaching core courses in bachelor curriculum or through research grant applications; seek closer collaboration with labour economics group at Free University Amsterdam. Threats: human capital group has turned into small-scale and unbalanced research programme. 10.4 RESOURCES AND FUNDING TIER-research is funded through NWO and must comply with NWO formulated rules of evaluation. Over a period of 5 years (2008-2013) TIER will receive €5.3 million. All researchers at TIER are (in part) financed by TIER. Erik Plug has received a 3-year grant for research on gifted students in secondary education by PROO-NWO. In this project one PhD student and one postdoc are partly financed. Two PhD students are/have been cofinanced with Free University Amsterdam (VU). Several visiting researchers participate in the program, without financial compensation. AIID also receives substantial external funding. 10.5 OUTPUT Haan, M. de (2011). The effect of parents' schooling on child's schooling; A nonparametric bounds analysis. Journal of Labor Economics, 29, 859-892. Holmlund, H., Lindahl, M. & Plug, E. (2011). The causal effect of parents' schooling on children's schooling: A comparison of estimation methods. Journal of Economic Literature, 49, 615-651. Leuven, E., Oosterbeek, H. & Klaauw, B. van der (2010). The effect of financial rewards on students achievement: Evidence from a randomized experiment. Journal of the European Economic Association 8(6), 1243–1265. Leuven, E., Oosterbeek, H., Sonnemans, J. & Klaauw, B. van der (2011). Incentives versus sorting in tournaments: Evidence from a ﬁeld experiment. Journal of Labor Economics 29, 637-658. Forthcoming Budria,S., L. Diaz Serrano, A. Ferrer i Carbonell and J. Hartog, Risk Attitude and Wage Growth, Replicating Shaw (1996), Empirical Economics. [B] Fredriksson, P. Öckert. B. & Oosterbeek, H. Long-term effects of class size. Quarterly Journal of Economics. [A] Hartog, J. Ding, X. & Juan, J. Is earnings uncertainty relevant for educational choice? An empirical analysis for China. Education Economics. Hoogendoorn, S., Oosterbeek, H. & Praag, M. van. The impact of gender diversity on the performance of business teams: Evidence from a ﬁeld experiment. Management Science. [A] Klaveren, C. van, Maassen van den Brink, H. & Praag, B.M.S. van. Intra-Household Work Timing: The Effect on Joint Activities and the Demand for Child Care. European Sociological Review.Plug, E., Webbink, D. & Martin, N. Sexual orientation, prejudice and segregation. Journal of Labor Econonomics. [A] Ree, J. de, Alessie, R. & Pradhan, M. The price and utility dependence of equivalence scales: evidence from Indonesia. Journal of Public Economics. [A] Witte, K. de, Groot, W. & Maassen van den Brink, H. The efficiency of education in generating literacy: a stochastic frontier approach. Review of Economics & Finance. A B Publications in numbers \| Human Capital \| \| \| \| 2012 \| \|---\|---\|---\|---\|---\| \| 1) Academic publications \| a) in refereed journals \| A \| 3 \| 9 1 0 0 10 0 4 1 0 9 \| \| \| \| B \| 4 \| \| \| \| \| Other \| 2 \| \| \| \| b) in other journals \| \| 1 \| \| \| \| c) book chapters \| A \| 0 \| \| \| \| \| B \| 0 \| \| \| \| \| Other \| 0 \| \| \| \| d) in proceedings \| \| 0 \| \| \| Subtotal \| \| \| \| \| \| 2) Books \| \| \| 0 \| \| \| 3) Ph.D. theses \| \| \| 4 \| \| \| 4) Professional publications \| \| \| 1 \| \| \| 5) Popular publications \| \| \| 0 \| \| \| 6) Working papers \| \| \| 9 \| \| \| Total \| \| \| \| 24 \| Article in journal - refereed Buser, T. (2012). Digit ratios, the menstrual cycle and social preferences. Games and Economic Behavior 76(2). 457–470. Kruse, I., Pradhan, M. & Sparrow, R. (2012). Marginal benefit incidence of public health spending: Evidence from Indonesian sub-national data', Journal of Health Economics 31(1), 147-157. Linde, J. & Sonnemans, J. (2012). Social comparison and risky choices. Journal of Risk and Uncertainty 44, 45-72. Booij, A., Leuven, E. & Oosterbeek, H. (2012). The role of information in the take-up of student loans. Economics of Education Review 31. (2012). 33–44. Buser, T. (2012). The impact of the menstrual cycle and hormonal contraceptives on competitiveness. Journal of Economic Behavior & Organization 83(1). 1-10. Buser, T. and Peter, N. (2012). Multitasking. Experimental Economics, 15 (4) 641-655. Lammers, J., D. Willebrands and J. Hartog (2012). A successful businessman is not a gambler; Risk attitude and business performance among small enterprises in Nigeria, Journal of Economic Psychology, 22(2), 342-354. Other Hartog, J. (2012). Is de maat nou echt vol? TPE Digitaal, 5 (4), 1-16. Zorlu, A. and J. Hartog (2012). Employment assimilation of immigrants in the Netherlands: dip-and-catch- up by source country, International Journal of Population Research Volume 2012, Article ID 634276, 23 pages. Article in journal – non-refereed Zorlu, A. en J. Hartog (2012). Ethnische segregatie op buurtniveau, Rooilijn, 45 (4), 295-301. Article in journal – professional Linde, J. (2012). Promotie. Economisch Statistische Berichten 97(4634), 286. Report – working- and discussion papers Cabus, S.J., De Witte, K., Groot, W., & Maassen van den Brink, H. (2012). On School Dropout Prevention from an Economic Perspective. Coonen, M., Klaveren, van C., Groot, W., & Maassen van den Brink, H. (2012). Teacher Characteristics and their Effects on Student Test Scores: A Best-Evidence Review. Ebens, M., van Elk, R. , Webbink, D. & Booij, A.S. (2012). The effect of the supplementary grant on parental contribution An empirical analysis for the Netherlands. http://booij.economists.nl/ Haan, M. de, Plug, E. & Rosero, J. (2012). Birth order and human capital development: Evidence from Ecuador. IZA working paper series IZA DP 6706, Bonn Germany. Haelermans, C., Groot, W., & Maassen van den Brink, H. (2012). Productivity and efficiency of Education, a meta analysis. Heers, M., Klaveren, van C., Groot, W. & Maassen van den Brink, H. (2012). The Impact of Community Schools on Student Dropout in Pre-vocational Education. TIER working paper series TIER WP 12/08. Ketel, N., Leuven, E. Oosterbeek, H. & Klaauw, B. van der (2012).The returns to medical school in a regulated labor market: Evidence from admission lotteries. Rud, I., Klaveren, van C., Groot, W. & Maassen van den Brink, H. (2012).The externalities of crime: The effect of criminal involvement of parents on the educational attainment of their children. TIER working paper series TIER WP 12/10. Rud, I., Klaveren, van C., Groot, W. & Maassen van den Brink, H. (2012). The Effect of a Dutch Alternative Punishment Program on Future Educational Outcomes. UvA Dissertation – internally prepared Buser, T. (2012). Essays in behavioural economics (cum laude), September. Linde, J. (2012). Experimenting with new combinations of old ideas, March. Mazza, J. (2012). On the uncertain nature of human capital investments, March. Rosero, J. (2012). On the importance of families andpublic policies for child development outcomes, September. Recognition Plug, E: PROO - Excellence in education grant. Estimating the impact of an enrichment program on educational achievement of excellent students using two experiments. The Netherlands Organisation for Scientific Research (NWO). 220,000: 2011-13. The Netherlands Organisation for Scientific Research (NWO). (PI Erik Plug; participants Adam Booij and Ferry Haan). Media appearance Haan, F, `Het docententekort is weg, leve het overschot', Volkskrant, November 22. Haan, F, ` Leraar verraden door oppositie', Volkskrant. September 7. Haan, F, `Trek jongens voor in het onderwijs', Volkskrant. Juni 16. Haan, F, `De tragiek van de eindexamens, is vergelijkbaar met de tragiek op het spoor', Volkskrant, Juni 1. Haan, F. `Laat puber huiswerk maken op school', Volkskrant, April 18. Haan, F. `Maak van Wikiwijs echte wiki', Column OnderwijsInnovatie, Juni. Haan, F. `It's the teacher stupid', Column OnderwijsInnovatie, April. Haan, F. ` Langere Schooldag', Schooljournaal CNV-Onderwijs, April 14. Haan, F. Regular appearance on Radio 1, DiDD. Maassen van den Brink, H. 'Solidariteit vereist economische groei', Het Financieele Dagblad 9 januari 2012. Maassen van den Brink, H. 'Arts en regels', Het Financieele Dagblad 23 januari 2012. Maassen van den Brink, H. 'Met de mond vol tanden staan', Het Financieele Dagblad 6 februari 2012. Maassen van den Brink, H. 'Een onomkeerbare stap voor de ziekenhuiswereld', Het Financieele Dagblad 20 januari 2012. Maassen van den Brink, H. 'Bezuinigen nu ook bij zorg noodzakelijk', Het Financieele Dagblad 5 maart 2012. Maassen van den Brink, H. 'Het sprookje van de apotheker en de drie wensen', Het Financieele Dagblad 2 april 2012. Maassen van den Brink, H. 'Links af en de weg kwijt', Het Financieele Dagblad 16 april 2012. Maassen van den Brink, H.'Op lange termijn zijn we niet dood, maar hulpbehoevend', Het Financieele Dagblad 30 april 2012. Maassen van den Brink, H. 'Bezuinigen op zorg is niet moeilijk', Het Financieele Dagblad 14 mei 2012. Maassen van den Brink, H. De miljarden van Klink komen er niet, Opinie & Debat/ de Volkskrant, augustus 2012. Maassen van den Brink, H. Wij subsidiëren de buitenlandse student, Opinie & Debat/ de Volkskrant, mei 2012. Maassen van den Brink, H. Nederland wordt rijp voor antibelastingpartij, Opinie & Debat/de Volkskrant, 7 november 2012. Keynote/invited talk Booij, A. (2012). Invited talk, Oslo (May), Mannheim (October). Buser, T. (2012). Invited talk, Castellon (March), Trier (May), Maastricht (June), New York (June), Stockholm (August), Stanford University (September). Hartog, J. (2012). Invited talk, The Hague (January), Beijing (September), The Hague (October), Reus (December). Linde, J. (2012). Invited talks, New York (June). Oosterbeek, H. (2012). Keynote, Helsinki (August). Oosterbeek, H. (2012). Invited talk,Lausanne (April), CPB (April), Munich (August). Plug, E. (2012). Invited talk,Barcelona (December), Bern (June), Paris (June), Oslo (May), Essex (May), Mannheim (March), Wageningen (February). Pradhan, M. (2012). Invited talk, Chicago (January), Bangkok (August). Other lectures Lundborg, P & Peter, N & Webbink, D & Martin, N (August 2012). Family or career? The effect of sibling sex composition on education and timing of family formation. Summer Workshop of the Institute of Economics, Hungarian Academy of Sciences, Budapest, Hungary. Ophem, J.C. van , J. Hartog and P. Berkhout (2012). Reservation wages and starting wages, EALE Conference, Bonn. Pradhan,, M & D. Suryadarma & A. Beatty & M. Wong & A. Alishjabana & A. Gaduh & R. Artha (January 2012). Improving educational quality through enhancing community participation: Results from a randomized field experiment in Indonesia,' presented at the American Economic Association meetings in Chicago. Membership academies Booij, A. (2012). Junior Fellow Tinbergen Instituut. Buser, T. (2012). Invited talk,Castellon (March), Trier (May), Maastricht (June), New York (June), Stockholm (August), Stanford University (September). Haan, M. de. (2012). Fellowship: Tinbergen Instituut. Hartog, J. (2012). Fellowships Tinbergen Institute, IZA, AIAS, CESifo, CrEAM, Member KNAW Royal Dutch Academy of Sciences. Hartog, J. (2012). PhD committeeR.Gerards (UM). Kastoryano, S. (2012). Fellowship,Research Affiliate Institute for the Study of Labor (IZA). Maassen van den Brink, H. (2012). PhD committeeCarla Haerlermans (UM). Oosterbeek, H. (2012). FellowshipsTinbergen Instituut, Cesifo Munich. Oosterbeek, H. (2012). PhD committees: Thomas de Hoop (RU), Ron Diris (UM). Plug, E. (2012). FellowshipsTinbergen Institute; Institute for Labour Studies, IZA, Bonn, Germany; Uppsala Center for Labor Studies, UCLS, Uppsala, Sweden; Expert member Expert Network of Economics of Education EENEE; Board member European Association of Labour Economics. Plug, E. (2012). PhD committees J Mazza (UvA), J Rosero (UvA), I Solli (University of Stavanger, Norway). Relevant position Booij, A. (2012). Referee for Contemporary Economic Policy; Journal of the Royal Statistical Society; Economics of Education Review. Hartog, J. (2012). Visiting Professor at Institute on Economics of Education, Peking University, Beijing, China, Rondetafel gesprek Groenboek Gezinshereniging, Algemene Commissie Immigratie en Asiel, Eerste en Tweede Kamer (discussion on family reunion, Dutch Parliamentary commission). Hartog, J. (2012). Committee member of Nederlands-Vlaamse Accreditatie Commissie, Clustercommissie EW, Vlaamse Interuniversitaire Raad (visitatie Vlaamse faculteiten economie). Hartog, J. (2012). Member Editorial Board of Economics of Education Review, International Journal of Happiness and Development, ISRN Education. Linde, J. (2012). Referee for Journal of Risk and Uncertainty. Maassen van den Brink, H. (2012). Committee member of: Chair NWO MagW, OECD AHELO committee as national Expert for the Netherlands, OECD expert committee Economics (ETS), Paris, KNAW committee Higher Education, KNAW committee Impact and Valorisation, Chair ERIC (NWO) Evaluating Research in Context, Review Committee Higher Education, Board Rathenau Institute (KNAW Institute) , the Hague. Maassen van den Brink, H. (2012). Other activities: Amsterdam Economic Board, Amsterdam, Columnist Financieele dagblad, Member Board of Governors Leids Universitair Medisch Centrum, Scientific co-ordinator Institute for Evidence Based Education Research (TIER), Lead partner NICIS Institute, Urban Research and Practice, Board of Governors HAN Hogeschool Arnhem en Nijmegen, NVAO committee VLIR Economics and 3 subcommittees (Vlaanderen). Oosterbeek, H (2012). Member Editorial Boards of Economics of Education Review; Effective Education. Plug, E (2012). Organizer of Tinbergen Labour Economics Seminar, Plug, E (2012): Referee for American Economic Review, Economic Journal, Health Economics, Labour Economics, Industrial Relations, Journal of Human Resources, Journal of Policy Analysis and Management, Journal of Political Economy, Journal of Public Economics, Review of Economic Studies, Review of Economics and Statistics, Review of Economics of the Household, World Development. Peter, N. (2012). Organizer of KAFEE seminar series at UvA. Peter, N. (2012). Referee for Labour Economics. 11. EXPERIMENTAL & POLITICAL ECONOMICS (CREED) Programme Director Prof.dr. A.J.H.C. Schram METIS-code: uva/feb/ase/epe JEL-classification: D7, D8 Starting date: 1991 Websites: www.aseri.uva.nl/creed www.creedexperiment.nl/creed VSNU-scores 2001-2007: Quality: 5, Productivity: 4.5, Relevance: 5, Viability: 4.5 11.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Abbink, K. \| dr. \| uhd \| 0,33 \| - \| - \| - \| 1 \| \| Bault, N.G.J. \| dr. \| postdoc \| - \| 0,42 \| 1,00 \| 0,79 0,00 \| 1 \| \| Bault, N.G.J. \| dr. \| guest \| - \| - \| - \| \| 1 \| \| Boone, J. \| prof. dr. \| oz \| 0,28 \| - \| - \| - \| 2 \| \| Dogan, G. \| dr. \| ud \| - \| 0,21 \| 0,50 \| 0,29 \| 1 \| \| Elliot Ash, T. \| \| guest \| 0,00 \| - \| - \| - - 0,00 0,27 - \| 1 \| \| Fosgaard, T. \| msc \| guest \| 0,00 \| - \| - \| \| 1 \| \| Gago Guerriero de Brito Robalo, P.M. \| msc \| guest \| - \| - \| 0,00 \| \| 1 \| \| Gago Guerriero de Brito Robalo, P.M. \| msc \| phd \| - \| - \| - \| \| 1 \| \| Garcia Gallego, J.A \| dr. \| guest \| 0,00 \| 0,00 \| - \| \| 1 \| \| Gneezy, U. \| prof. dr. \| guest \| - \| - \| - \| 0,00 \| 1 \| \| Groot Ruiz, A.W. \| msc \| phd \| 0,60 \| 0,60 \| 0,10 \| - - \| 2 \| \| Haan, Th. de \| msc \| phd \| 0,60 \| 0,60 \| 0,40 \| \| 1 \| \| Haan, Th. de \| msc \| guest \| - \| - \| 0,00 \| 0,00 \| 1 \| \| Hoyer, M. \| msc \| phd \| - \| - \| - \| 0,27 - 0,27 - 0,33 0,47 - - 0,80 - 0,27 - \| 1 \| \| Hu, A. \| msc \| phd \| 0,60 \| 0,35 \| - \| \| 2 \| \| Kamm, A. \| msc \| phd \| - \| - \| - \| \| 1 \| \| Kantaroglu,G. \| \| guest \| 0,00 \| - \| - \| \| 1 \| \| Kopányi-Peuker, A. \| msc \| phd \| - \| - \| 0,00 \| \| 1 \| \| Kopányi-Peuker, A. \| msc \| phd \| - \| - \| - \| \| 2 \| \| Krawczyk, M. \| dr. \| phd \| 0,10 \| - \| - \| \| 3 \| \| Le Lec, F. \| dr. \| oz \| - \| - \| - \| \| 3 \| \| Leeuwen, B. van \| msc \| phd \| - \| - \| 0,20 \| \| 1 \| \| Linde, J. \| drs. \| phd \| 0,60 \| 0,60 \| 0,48 \| \| 1 \| \| Loerakker, B. \| msc \| phd \| - \| - \| - \| \| 1 \| \| Michelucci, F. \| dr. \| postdoc \| 0,17 \| - \| - \| \| 2 \| \| Offerman, T.J.S. \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| 0,50 \| 1 \| \| Onderstal, A.M. \| dr. \| ud \| 0,28 \| - \| - \| - \| 2 \| \| Onderstal, A.M. \| dr. \| ud \| 0,07 \| 0,20 \| 0,20 \| 0,20 \| 1 \| \| Pelloux, B. \| msc \| phd \| 0,40 \| 0,20 \| 0,40 \| - - \| 1 \| \| Pelloux, B. \| msc \| guest \| - \| 0,00 \| - \| \| 1 \| \| Schram, A.J.H.C. \| prof. dr. \| hgl \| 0,17 \| 0,50 \| 0,50 \| 0,50 \| 1 \| \| Schimizu, K. \| dr. \| guest \| 0,00 \| 0,00 \| - \| - \| 1 \| \| Sonnemans, J. \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| 0,50 \| 1 \| \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| \|---\|---\|---\|---\|---\|---\|---\| \| Tsutsui, Y. \| \| guest \| - \| 0,00 \| 0,00 \| - - \| \| Tyszler, M. \| msc \| phd \| 0,60 \| 0,60 \| 0,40 \| \| \| Ule, A. \| dr. \| oz \| 0,60 \| 0,75 \| 0,75 \| 0,28 0,22 0,25 0,25 \| \| Ule, A. \| dr. \| oz \| - \| - \| - \| \| \| Veelen, C.M. van \| dr. \| ud \| 0,50 \| 0,50 \| 0,29 \| \| \| Veelen, C.M. van \| dr. \| uhd \| - \| - \| - \| \| \| Veen, A. van der \| drs. \| phd \| 0,60 \| 0,60 \| - \| - \| \| Veen, A. van der \| drs. \| guest \| - \| - \| 0,00 \| 0,00 \| \| Veldhuizen, R.R. van \| msc \| phd \| 0,20 \| 0,60 \| 0,60 \| 0,53 0,00 - \| \| Veldhuizen, R.R. van \| dr. \| guest \| - \| - \| - \| \| \| Wakker, P.P. \| prof. dr. \| guest \| 0,00 \| 0,00 \| - \| \| \| Weber, M. \| msc \| phd \| - \| - \| 0,15 \| 0,33 0,47 0,21 0,80 \| \| Weber, M. \| msc \| phd \| - \| - \| - \| \| \| Winden, F.A.A.M. van \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,32 \| \| \| Yang, Y. \| msc \| phd \| - \| 0,20 \| 0,60 \| \| \| Total 1st flow of funds \| \| \| 4,97 \| 6,13 \| 7,04 \| 7,58 1,22 0,00 \| \| Total 2nd flow of funds \| \| \| 3,13 \| 2,30 \| 0,85 \| \| \| Total 3rd flow of funds \| \| \| 0,10 \| 0,00 \| 0,00 \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 2,57 \| 3,33 \| 3,81 \| 3,71 \| \| Total 1st-3rd flow of funds \| \| \| 8,20 \| 8,43 \| 7,89 \| 8,80 4,81 \| \| Ph.D. students \| \| \| 4,30 \| 4,35 \| 3,33 \| \| 11.2 PROGRAMME DESIGN Objective Improving the understanding of the behavioural determinants and consequences of economic decision making by (a) focusing on political economic issues, (b) allowing for bounded rationality, and (c) using laboratory experimentation as research method. Motivation Political decision making plays an important role in economies. Governments, for example, are essential for the functioning of markets, may be called upon to correct for market failures, but also have their own dynamics. Positive welfare effects of policies cannot be taken for granted. It is, therefore, important to study political decision making and the way in which policies can be applied beneficially. These observations provide the motivation for the first project: "Economics of political decision making", a long standing project at the FEB dating back to 1983. It is related to public choice and the more recent upsurge in political economics. Economic models, also when concerned with political decision making, typically make strong assumptions about the rationality, sophistication, and selfishness of individual behaviour. Experimental and other empirical evidence suggests, however, that the predictive power of the standard 'homo economicus' model is often disappointing and depends on the institutional character of the decision making environment. There is a need for greater knowledge and a more satisfactory treatment of the bounds on rationality generated by the nature of cognition and emotion, and the influence of institutions. This motivates the second project: "Bounded rationality and institutions", which fits into the emerging field of behavioural economics. For the advancement of theory, empirical feedback is crucial. This may hold in particular for new research areas, when sorting out the most promising ways to go. Empirical analysis is seen as an important ingredient of this programme. For many of the issues studied in the aforementioned two projects, however, adequate field data are hard to come by or even nonexistent. Laboratory experimentation is a helpful complementary research method, especially in these cases, for exploration or the testing of models focusing on fundamental behavioural aspects or mechanisms. This motivates the third project: "Experimental economics", which is stimulated by, and provides feedback for, the other two projects. Institutional embedding The research of this programme is carried out within the Center for Research in Experimental Economics and political Decision-making (CREED), a research institute of the FEB. CREED was established in 1991 by a PIONIER-grant from the Netherlands Organisation for the Advancement of Scientific Research (NWO) for the development of experimental economics in the Netherlands. An important facility is the CREED-laboratory for experimental economics, one of the few dedicated computer laboratories in Europe. Its focus on political decision making and experimental economics distinguishes CREED internationally. Projects I Economics of political decision making This project is concerned with the demand for and the endogenous supply of government policies, the ways in which coordination takes place through the political decision-making process, and the effects thereof on the economy. Major research topics are: - Political participation and influence (voting, activity and influence of interest groups); - Interaction between the public sector and the private sector (e.g. the development of social capital and its importance for the provision of public goods); - Political economy of public and private institutions (e.g. issues of fiscal federalism). II Bounded rationality and institutions In this project fundamental aspects of individual decision making, with economic relevance, are investigated. More particularly, attention is focused on the impact of cognitive limitations and emotions. In addition, responses to the complexity and institutional characteristics of the decision environment are studied. Among the topics investigated are: - Group formation in complex environments (e.g. development of political preferences through social interaction, development of interest groups); - Economic significance and modelling of emotions (e.g. anger, anxiety, happiness); - Performance of various auction formats; - Irrationalities in risk attitudes, and efficiency gains by avoiding or reckoning with these. III Experimental economics The main purpose of laboratory experiments in economic research is to create a (political) economic process in a laboratory environment which allows for sufficient control and accurate measurement. Experiments are used for three purposes: (a) the testing of behavioural assumptions and predictions of existing (competing) theories; (b) the searching for facts that are instrumental in the construction of descriptive and explanatory theories; and (c) the evaluation of (new) institutions to assist policy makers. Research in this project is particularly stimulated by, and provides feedback for, the aforementioned two projects. Major lines of research are: - Voting and electoral competition (behaviour of voters and political candidates/parties); - Lobbying and political pressure (ways and means, and determinants of effectiveness); - Emotions and economic behaviour (impact, and modelling); - Markets and institutions (functioning of markets and, the design of, institutions); - Evolution of cooperation (development of cooperative behaviour over time); - Biases in risk attitudes. 11.3 PROGRAMME EVALUATION 2012 was a solid year for CREED, marked by continued high-level publications and, notably, a good many successful PhD defenses. Two permanent personnel changes characterize 2012. Nadège Bault finished her postdoctoral position and Roel van Veldhuizen completed his PhD position. Nadège has found a position at the University of Lyon and Roel at the Wissenschaftszentrum Berlin. We are pleased to report that Roel successfully defended his thesis in January, 2013. In addition, Marcelo Tyszler, Ailko van der Veen, Jona Linde, Joris Gillet, Thomas de Haan, Adrian de Groot Ruiz and Ben Pelloux all successfully defended their theses in 2012. This is the first time in the 21year history of CREED that seven PhD theses were completed in a single year. We also welcomed three new students who finished their MPhil at the Tinbergen Institute and have started their PhD training at CREED. These are Max Hoyer, Aaron Kamm and Ben Loerakker. Max and ben will be supervised by Frans van Winden and collaborate with the Cognitive Science Center Amsterdam. Aaron will be supervised by Arthur Schram. We look forward to working with all three of them in the coming three years. Finally, Gönül Dogan took time off for the happy occasion of her maternity leave and Matthijs van Veelen was (again) invited for an extended stay at Harvard University. The high level of research at CREED continued in 2011. A series of top-level publications include articles in the Proceedings of the National Academy of Sciences, the European Economic Review, Games and Economic Behavior, the Journal of Risk and Uncertainty, and the Journal of Theoretical Biology. The diversity and multi-disciplinarity of research at CREED also shows from publications in the Journal of Theoretical Biology, Management Science, Frontiers in Neuroscience the Review of Law and Economics, the Journal of Law, Economics, and Organization. Aside from 17 publications in top-tier peer-reviewed journals and 7 papers accepted for publication in 2013, external recognition of the research undertaken at CREED was received in various ways. These include 14 invitiations to present seminars or keynote lectures, various associate editorships and (declined) invitations to become editor, two NWO-research talent grants (for the PhD positions of Anita Kópanyi-Peuker and Matthias Weber), funding from the research priority area Brain and Cognition (to support PhD candidate Ben Loerakker) and a continued membership of the Junior Academy of the Royal Netherlands Academy of Arts and Sciences Matthijs van Veelen. In addition, two members of CREED (Schram and van Veelen) were amongst the three UvA economists on the ESB top 40 list of economists in the Netherlands. Research contacts were continued, i.a., by a successful seminar series that included presentations by renowned scholars such as Ariel Rubinstein, Jean-Robert Tyran, Martin Sefton, Sanjeev Goyal, Ayelet Gneezy, Roland Benabou, Joachim Weimann, Marie-Claire Villeval, Andreas Ortmann and Michael Kosfeld. CREED also co-organized the Amsterdam workshop on Behavioral and Experimental Economics (ABEE 2012), which falls within the framework of the faculty's Research Priority Area Behavioral Economics. Research contacts also include our participation in the cognitive science center (CSCA) and our yearly PhD exchanges with the Universities of Nottingham and East Anglia and with New York University. These exchanges provide excellent opportunities for CREED PhD students to present their work (at all stages of the project) to an audience consisting of PhD students and world-renowned professors of the participating institutes. 11.4 RESOURCES AND FUNDING The program again received modest funding from the research institute RESAM, which was largely spent to cover (part of the) traveling costs to attend conferences. Additional means were obtained from external funding and the Tinbergen Institute (for PhD-students). Substantial additional means came from the UvA-Research Priority Area Behavioral Economics. This provides a solid foundation for paying participants in experiments at the CREED laboratory. As for NWO funding, the VENI grant for Aljaž Ule came to an end. CREED continued to receive funding from contracted research for governmental institutions and business. In 2012 a major project was completed for the Dutch CPB, in which Aljaž Ule and Arthur Schram studied the effects on infrastructural investments of uncertainty caused by electoral competition. 11.5 OUTPUT Key publications Andersen, S., S. Ertaç, U. Gneezy, M. Hoffman and J.A. List (2011) Stakes matter in the ultimatum game. American Economic Review, 101, 3427-3439. [A] Brandts, J., Riedl, A. & Winden, F.A.A.M. van (2009). Competitive Rivalry, Social Disposition, and Subjective Well-being: An Experiment. Journal of Public Economics, 93, 1158-1167. [A] Gneezy, A., Gneezy, U., Riener, G., & Nelson, L. (2012). Pay-what-You-want, identity, and self- signaling in markets. Proceedings of the National Academy of Sciences 109 (19), 7236- 7240. [A] Grosser, J., & A. Schram (2010). Public Opinion Polls, Voter Turnout and Welfare: An Experimental Study. the American Journal of Political Science 54, 2010; 700-717. [A] Offerman, T.J.S., Sonnemans, J.H., Kuilen, G. van de, & Wakker, P.P. (2009). A TruthSerum for Non-Bayesians: Correcting Proper Scoring Rules for Risk Attitudes. Review of Economic Studies 76, 1461-1489. [A] Ule, A., Schram, A.J.H.C., Riedl, A. & Cason, T. (2009). Indirect Punishment and Generosity Towards Strangers. Science, 326, 1701-1703. [A] Veelen, M. van, García, J., Rand, D. & Nowak, M. (2012). Direct reciprocity in structured populations Proceedings of the National Academy of Sciences 109, 9929-9934. [A] Veelen, M. van, & Weide, R. van der (2008). A note on different approaches to index number theory, American Economic Review 98, 1722-1730. [A] Forthcoming Andersen, S., Ertac, S. Gneezy, U., List, J. & Maximiano, S. (2013). Gender, Competitiveness and Socialization at a Young Age: Evidence from a A Matrilineal and a Patriarchal Society. Forthcoming in the Review of Economics and Statistics. Bertrand, R., Schram, A.J.H.C. & Vaassen, E. (2012). Understanding Contract Audits: An Experimental Approach Auditing. Forthcoming in A Journal of Practice and Theory (February 2013). Doğan, G., Assen, M. van, & Potters, J. (2013). The Effect of Link Costs on Simple BuyerSeller Networks. Games and Economic Behavior 77. Fershtman, C, Gneezy, U. & List, J. (2013). Equity Aversion: Social Norms and the Desire to be Ahead. Forthcoming in AEJ Micro. Goeree, J. K., Offerman, T.J.S. & Sloof, R. (2012). Demand Reduction and Preemptive Bidding in License Auctions. Forthcoming in Experimental Economics. Maximiano, S., Sloof, R. & Sonnemans, J.H. (2012). Gift exchange and the separation of ownership and control. Forthcoming in Games and Economic Behavior. Nosenzo, D., Offerman, T.J.S., Sefton, M. & Veen, A. van der (2012). Encouraging Compliance: Bonuses versus Fines in Inspection Games. Forthcoming in Journal of Law, Economics and Organization. Publications in numbers \| Experimental & Political Economics \| \| \| \| 2012 \| \|---\|---\|---\|---\|---\| \| 1) Academic publications \| a) in refereed journals \| A \| 6 \| 13 0 0 2 15 0 7 0 1 21 \| \| \| \| B \| 4 \| \| \| \| \| Other \| 3 \| \| \| \| b) in other journals \| \| 0 \| \| \| \| c) book chapters \| A \| 0 \| \| \| \| \| B \| 0 \| \| \| \| \| Other \| 0 \| \| \| \| d) proceedings \| \| 2 \| \| \| Subtotal \| \| \| \| \| \| 2) Books \| \| A \| 0 \| \| \| \| \| B \| 0 \| \| \| \| \| Other \| 0 \| \| \| 3) Ph.D. theses \| \| \| 7 \| \| \| 4) Professional publications \| \| \| 0 \| \| \| 5) Popular publications \| \| \| 1 \| \| \| 6) Working papers \| \| \| 21 \| \| \| Total \| \| \| \| 44 \| Article in journal – refereed Bao, T., Hommes C.H., Sonnemans, J.H. & Tuinstra, J. (2012). Individual Expectations, Limited Rationality and Aggregate Outcomes. Journal of Economic Dynamics and Control 36, 1101-1120. Erat, S. & Gneezy, U. (2012). White Lies. Management Science, 58 (4) 723-733. Linde, J. & Sonnemans, J.H. (2012). Social Comparison and Risky Choices. Journal of Risk and Uncertainty 44, 45-72. Riedl, A. & Winden, F. van (2012). Input versus Output Taxation in an Experimental International Economy. European Economic Review 56, 216-232. Sonnemans, J.H. & Dijk, F. van (2012). Errors in judicial decisions: experimental evidence. Journal of Law, Economics, and Organization 28, 687-716. Veelen, M. van (2012). Robustness against indirect invasions. Games and Economic Behavior 74, 382-393. B Heemeijer, P., Hommes, C.H., Sonnemans, J.H. & Tuinstra, J. (2012). An experimental study on expectations and learning in overlapping generations models. Studies in Nonlinear Dynamics and Econometrics 16. Vyrastekova, J., Onderstal, S. & Koning, P. (2012). Self-selection and the Power of Incentive Schemes: An Experimental Study. Applied Economics 44, 4211-4219. Veelen, M. van & Nowak, M. (2012). Multi-player games on the cycle. Journal of Theoretical Biology 292, 116-128. Veelen, M. van, García, J., Egas, M. & Sabelis, M.W. (2012). Group selection and inclusive fitness are not equivalent; the Price equation vs. models and statistics. Journal of Theoretical Biology 299, 64–80. Other Fahrenfort, J., Winden, F. van, Pelloux, B., Stallen. M &bRidderinkhof, R. (2012). Neural Correlates of Dynamically Evolving Interpersonal Ties Predict Prosocial Behavior Frontiers in Neuroscience 6, 1-14 1101-1120. Winden, F. van (2012). Affective Social Ties - Missing Link in Governance Theory. Rationality, Morals and Markets 3, 108-122. Winden, F. van & Ash, E. (2012). On The Behavioral Economics of Crime. Review of Law & Economics 8, 181-213. Article in magazine or newspaper – popular scientific Winden, F. van (2012). Interview Rostra Economica, Neuroeconomie: Op reis door het brein door Boot, M. & Ruwaard, S. nr. 290, juni, 32-37. , Conference paper (proceedings) – non-refereed Gneezy, A., Gneezy, U., Riener, G., & Nelson, L. (2012). Pay-what-You-want, identity, and self- signaling in markets. Proceedings of the National Academy of Sciences 109 (19), 7236- 7240. Veelen, M. van, García, J., Rand, D. & Nowak, M. (2012). Direct reciprocity in structured populations Proceedings of the National Academy of Sciences 109, 9929-9934. Report – working- and discussion papers Bault, N., Pelloux, B., Fahrenfort, J., Ridderinkhof, K. & Winden, F. van (2012). Neural underpinnings of dynamic social ties formation in a public good game. De Groot Ruiz, A., Offerman, T.J.S. & Onderstal, S. (2012). An Experimental Study of Credible Deviations and ACDC., Discussion paper, University of Amsterdam. July 12. De Groot Ruiz, A., Offerman, T.J.S. & Onderstal, S. (2012). Power and the Privilege of Clarity: An Analysis of Bargaining Power and Information Transmission. Discussion Paper, University of Amsterdam. July 26. De Groot Ruiz, A., Offerman, T.J.S. & Onderstal, S. (2012). Equilibrium Selection in Cheap Talk Games: ACDC Rocks When Other Criteria Remain Silent, Discussion Paper, University of Amsterdam. November 18. Dijk, F. van, Sonnemans, J.H. & Bauw, E. (2012). Judicial error by groups and individuals. Dreu, C. de, Scholte, H., Winden, F. van & Ridderinkhof, K. (2012). Oxytocin modulates competitive approach and associated neural circuitry in predator-prey conflicts among humans. Goossens, D., Onderstal, S., Spieksma, F. & Pijnacker, J. (2012). Combinatorial Auction Design for Real-Estate Markets. SSRN working paper 1209. Haan, Th. De, Offerman, T.J.S. & Sloof, R. (2012). Money talks? An Experimental investigation of cheap talk and burned money. Discussion Paper, University of Amsterdam. November 19. Haan, Th. de, Offerman, T.J.S. & Sloof, R. (2012). Discrimination in the Labor Market: the Curse of Competition between Workers. Discussion Paper, University of Amsterdam. November 20. Hu, A., Offerman, T.J.S. & Zou, L. (2012). How Risk Sharing May Enhance Efficiency in English Auctions. Discussion Paper, University of Amsterdam. April. Kopany-Peuker, A., Offerman, T. & Sloof, R. (2012). Fostering cooperation through the enhancemanent of own vulnerarbility, Tinbergen Institute Discussion Paper, TI 2012132/I Linde, J. & Sonnemans, J.H. (2012). Social Preferences in Private Decisions. Nosenzo, D., Offerman, T.J.S., Sefton, M. & Veen, A. van der (2012). Discretionary Sanctions and Rewards in the Repeated Inspection Game., Discussion Paper, University of Amsterdam. August 1. Nosenzo, D., Offerman, T.J.S., Sefton, M. & Veen, A. van der (2012). Encouraging Compliance: Bonuses versus Fines in Inspection Games, Discussion Paper, University of Amsterdam. September 13. Pelloux, B., Bault, N., Fahrenfort, J. Ridderinkhof, K. & Winden, F. van (2012). On the dynamic development of social ties: Theory and application. Robalo, P. & Sayag, R. (2012). Information at a Cost: A Lab Experiment. Tinbergen Institute Discussion Paper, TI 2012-143/VII. Schram, A. & Charness (2012). Social and Moral Norms in the Laboratory, February 2. Schram, A., Ule A. (2012). Investment with unstable regulation. September 21. Veelen, M. van & García, J. (2012). In and out of equilibrium II: evolution in repeated games with discounting and complexity costs, TI discussion paper series,. # 12-089/I. Veldhuizen, R. van (2012). The Influence of Wages on Public Officials' Corruptibility: A Laboratory Investigation. Tinbergen Instituut Discussion Paper, TI 2012-038/1. Yang, Y. Onderstal, S & Schram, A (2012). Inequiality Aversion Revisited, University of Amsterdam & Tinbergen Institute, CREED working paper, October 4. UvA Dissertation – internally prepared Gillet, J. (12 April 2012). Groups in Economics. Groot Ruiz, A. de (14 September 2012). Essays on Bargaining and Strategic Communciation. Haan, Th. De (5 Juli, 2012). Strategic Communication: Theory and Experiment. Linde, J. (2 March 2012). Experimenting with new combinations of old ideas. Pelloux, B. (11 December 2012). PhD (UvA and Lyon [co-tutelle]): On the Role of Emotions and Social Ties in Public Good Games: Behavioral and Neuroeconomic Studies. Tyszler, M. (3 February 2012). Political Economics in the Laboratory. Veen, A. van der (28 Februari 2012). Inducing Good Behavior. Conference organiser Winden, F. van (2012). Organizer of Expert Meeting – Aversive motional Processes and Decision-making (CSCA, research priority program Brain & Cognition), 25 May. Recognition Schram, A. (2012). NW)-Research Talent grant for PhD position M. Weber (A Behavioral Approach to Tax Incidence). Media appearance Veelen, M. van (2012). De economie van de toekomst. Dwarse denkers met visie voorbij de crisis. KennisCafé (De Balie), 16 januari. Veelen, M. van (2012). Radio 1, naar aanleiding van installatie als lid van De Jonge Akademie, 16 maart. Veelen, M. van (2012). Amsterdam FM. Swammerdam over de wetenschap in Amsterdam. Uitzending over altruisme, 18 november. Editorship Offerman, T. (2012). Games and Economic Behavior, Associate editor. Offerman, T. (2012). Experimental Economics, member editorial board. Schram, A. (2012). Experimental Economics, Advisory editor. Sonnemans, J. (2012). European Economic Review, Associate editor. Sonnemans, J. (2012). Journal of Economic Psychology, member editorial board. Sonnemans, J. (2012). Quantitative Finance, member editorial board. Winden, F. van (2012). Public Choice, member editorial board. Book review Veelen, M. van (2012). Review of "A cooperative species: Human reciprocity and its evolution" by Samuel Bowles and Herbert Gintis. Journal of Economic Literature 50, 797-803. Keynote/invited talk Offerman, T.J.S. (February 1, 2012). Discrimination in the Labor Market: the Curse of Competition between Workers. Invited Seminar, UCSD, San Diego. Offerman, T.J.S. (February 3, 2012). Fostering Cooperation Through the Enhancement of Own Vulnerability. Invited lecture, UCSB, Santa Barbara. Offerman, T.J.S. (October 17, 2012). Fostering Cooperation Through the Enhancement of Own Vulnerability. Invited Seminar. Friedrich Schiller University, Jena. Offerman, T.J.S. (October 26, 2012). Fostering Cooperation Through the Enhancement of Own Vulnerability. Invited Seminar. University of Paris 1, Paris. Onderstal, S. (January 25, 2012). Bidding to Give in the Field: Door-to-Door Fundraisers Had it Right from the Start. Seminar Bicocca Milan. Onderstal, S. (February 24, 2012). Bidding to Give in the Field: Door-to-Door Fundraisers Had from the Start. Seminar Tilburg University. Onderstal, S. (May 9, 2012). Seminar Erasmus University Rotterdam. Schram, A. (5 Nov. 2012). Stars need Benefits. Seminar, Georgia State University, Atlanta, U.S.A. Schram, A. (7 Nov. 2012). Altruism, Group Identity and Political Participation. Seminar Institute for Advanced Studies, Princeton University, Princeton, U.S.A. Sonnemans, J.(12 September 2012). Nonrenewable Resources, Strategic Behavior and the Hotelling Rule: An Experiment. Seminar Universidag Nacional de Colombia (Medellin). Sonnemans, J. (19 December 2012). Evoluation ans Strategies in the Minority Game: A Multi-Round Strategy Experiment, Universität Konstanz. Winden, F. van (20 April, 2012). Affective social ties, missing link in governance theory THEEM conference, Konstanz, keynote lecture, Winden, F. van (9 May, 2012). Neural correlates of dynamic social tie formation and cooperation, Neuroeconomics Talks. University of Maastricht, invited lecture. Winden, F. van (5 October, 2012). Towards a new model of choice under uncertainty, Ambiguity in the Economy and in Economics Conference, University of Nijmegen, keynote lecture. Other lectures Kopány-Peuker, A. (20 April 2012). Endogenizing punishments in social dilemmas – Fostering cooperation through the enhancement of own vulnerability. ACLE Competition & Regulation Meeting, Amsterdam. Kopány-Peuker, A. (4 June 2012). Endogenizing punishments in social dilemmas – Fostering cooperation through the enhancement of own vulnerability. M-BEES 2012, Maastricht. Kopány-Peuker, A. (14 September 2012). Endogenizing punishments in social dilemmas – Fostering cooperation through the enhancement of own vulnerability. ESA European Conference, Cologne, Germany, Maastricht. Onderstal, S. (October 19, 2012). Keeping Out Trojan Horses: Auctions and Bankruptcy in the Laboratory. Nederlandse Economendag, Amsterdam. Onderstal, S.(June 24, 2012). Power and the Privilege of Clarity: An Analysis of Bargaining Transmission. ESA conference New York City. Robalo, P. (June 2012). Other-regarding Preferences, Group Identity and Political Participation: an Experiment. Economic Science Association International Conference, New York University, New York, USA. Robalo, P. (June, 2012). Information at a Cost: a Lab Experiment. University of East Anglia, Norwich, England. Robalo, P. (July 2012). Other-regarding Preferences, Group Identity and Political Participation: an Experiment. 6 th Annual Meeting Portuguese Economic Journal, University of Porto, Porto, Portugal. Schram, A. (March 2012). Social and Moral Norms in the Laboratory. IMEBE 2012, Castillon, France. Schram, A. (August 2012). Social Norms in Sociology and Economics. International Sociological Association 2012, Buenos Aires. Ule, A. (June 2012). Commitment Aversion. ESA international meeting New York. Ule, A. (October 2012). Investment with unstable regulation. CPB seminar. Ule, A. (October 2012). Focal Points Revisited: Team Reasoning, the Principle of Insufficient Reason and Cognitive Hierarchy Theory. Toulouse School of Economics seminar. Membership academies Onderstal, S. (2006-). Fellow Tinbergen Instituut. Onderstal, S. (2006-). Fellow ACLE. Onderstal, S. (2006-). Fellow ENCORE. Offerman, T.J.S. (2012). Fellow Tinbergen Institute. Offerman, T.J.S. (2012). Fellow CESS, NYU. Offerman, T.J.S. (2012). Fellow CeDEX, University of Nottingham. Offerman, T.J.S. (February 2, 2012). Member PhD committee E.Maasland, Tilburg University. Schram, A. (2012). Fellow Tinbergen Institute. Veelen, M. van (2012). Member De Jonge Akademie. Winden, F. van (2012). Fellow Tinbergen Institute, CEPR, CESifo. Winden, F. van (2012). Membership NWO Program Committee Social Infrastructure Agenda – Governance. Winden. F. van (2012). Member of: Koninklijke Hollandsche Maatschappij der Wetenschappen. Winden, F. van (2012). Member Academic Advisory Council, Max Planck Institute for Research on Collective Goods, Bonn, meeting 9-10 January. Relevant position Doğan, G. (2012). Referee for: European Economic Review. Offerman, T.J.S. (2012). Referee for: American Economic Review, Experimental Economics, European Economic Review, Games and Economic Behavior, Journal of the European Economic Association, Journal of Law and Economic Organization, Management Science, Quarterly Journal of Economics, Review of Economic Studies. Onderstal, S. (2012). Referee for Experimental Economics, Games and Economic Behavior, Journal of Economic Behavior & Organization, Journal of Economic Theory, Journal of Economics, Journal of Industrial Economics, Journal of Mathematical Economics, Journal of Public Economic Theory, Journal of Public Economics, Journal of Public Procurement, Review of Economic Studies, Southern Economic Journal, and Czech Science Foundation. Schram, A. (2012). Referee for American Political Science Review, Decision Support Systems, Economic Journal (2x), European Economic Review, Experimental Economics (2x), Games and Economic Behavior, International Journal of Environmental Research and Public Health, Journal of Economic Behavior and Organization (2x), Journal of the European Economic Association, Journal of Public Economics (2x), Public Choice, Review of Economic Studies (2x). Veelen, M. van (2012). Referee for: Biology Letters, BMC Biology, Journal of Theoretical Biology, Proceedings of the National Academy of Sciences, Theoretical Population Biology, Journal of Economic Theory, Journal of Conflict Resolution. Robalo, P. (2012). Referee for: Journal of Econmic Behavior and Organization. Ule, A. (2010-2013). Member of the board of the Slovenian Quality Assurance Agency for Higher Education. Referee for: European Journal of Operational Research, Games and Economic Behavior, Journal of Conflict Resolution, Management Science, Proceedings of the Royal Society B. Winden, F. van (2012). Referee for: Experimental Economics (2x), Public Choice, Journal of Economic Surveys; Max Planck Institute for Research on Collective Goods, Bonn. 12. INDUSTRIAL ORGANIZATION, COMPETITION POLICIES & REGULATION Programme director: Prof.dr. A.R. Soetevent & Prof.dr. J. Hinloopen METIS-code: uva/feb/ase/mo JEL-classification: L Starting date: 2005 Website: www.aseri.uva.nl/mo VSNU-scores 2001-2007: Quality: 5, Productivity: 4.5, Relevance: 5, Viability: 4,5 12.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Cayseele, P. van \| prof. dr. \| hgl \| 0,20 \| 0,10 \| 0,03 \| - 0,27 0,50 - - \| 1 \| \| Czibor, E. \| msc \| phd \| - \| - \| - \| \| 1 \| \| Dominguez Martinez, S \| dr. \| ud \| - \| - \| - \| \| 1 \| \| Doarest, A. \| msc \| phd \| 0,60 \| 0,15 \| 0,00 \| \| 1 \| \| Leffelaar-Felsö, F.A. \| msc \| phd \| 0,54 \| 0,35 \| 0,00 \| \| 1 \| \| Hinloopen, J. \| prof. dr. \| hgl \| 0,50 \| 0,50 \| 0,50 \| 0,50 0,80 0,50 0,30 0,25 0,80 0,19 0,80 0,33 0,50 0,53 0,50 0,50 0,23 0,10 0,80 \| 1 \| \| Hoogendoorn, S. \| msc \| phd \| - \| - \| - \| \| 3 \| \| Hsieh, C. \| dr. \| ud \| - \| - \| - \| \| 1 \| \| Onderstal, S. \| dr. \| ud \| 0,49 \| 0,30 \| 0,30 \| \| 1 \| \| Praag, C.M. van \| prof. dr. \| hgl \| - \| - \| - \| \| 1 \| \| Rosendahl Huber, L. \| msc \| phd \| - \| - \| - \| \| 3 \| \| Schinkel, M.P. \| prof. dr. \| hgl \| - \| - \| - \| \| 1 \| \| Seldeslachts, J. \| dr. \| ud \| 0,50 \| 0,50 \| 0,60 \| \| 2 \| \| Siemens, F. von \| dr. \| ud \| - \| - \| - \| \| 1 \| \| Sloof, R. \| prof. dr. \| hgl \| - \| - \| - \| \| 1 \| \| Smrkolj, G. \| msc \| phd \| - \| 0,60 \| 0,60 \| \| 1 \| \| Soetevent, A.R. \| prof. dr. \| hgl \| 0,90 \| 0,77 \| 0,50 \| \| 1 \| \| Sol, J. \| dr. \| ud \| - \| - \| - \| \| 1 \| \| Toth, L. \| msc \| phd \| - \| - \| - \| \| 1 \| \| Ven, J. van de \| dr. \| ud \| - \| - \| - \| \| 1 \| \| Zhou, L. \| msc \| phd \| - \| - \| 0,20 \| \| 1 \| \| Total 1st flow of funds \| \| \| 3,23 \| 2,00 \| 1,73 \| 6,00 0,80 1,60 \| \| \| Total 2nd flow of funds \| \| \| 0,50 \| 1,27 \| 1,00 \| \| \| \| Total 3rd flow of funds \| \| \| 0,00 \| 0,00 \| 0,00 \| \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| \| \| 2,09 \| 0,90 \| 0,93 \| 4,17 \| \| \| Total all flows of funds \| \| \| 3,73 \| 3,27 \| 2,73 \| 8,40 3,43 \| \| \| Ph.D. students \| \| \| 1,14 \| 1,10 \| 0,80 \| \| \| 12.2 PROGRAMME DESIGN Objective Improving the understanding of the working of imperfectly competitive markets and the possible role for government intervention on these markets by focusing on issues within the sphere of Industrial Organization and using applied oligopoly theory, field experiments and laboratory experimentation as research methods. Motivation Industrial Organization (IO) studies imperfectly competitive markets, in particular how firms compete with each other on these markets and what the effects are of policy interventions aimed at affecting market performance. The natural focus of IO is on oligopolies where firms have some market power. Topics of interest thus include pricing strategies, strategic interaction, collusion and tacit collusion, spatial competition, research and development, interfirm relationships, competition policies, market design, auctions, and regulation. IO is a field that uses all three types of research strategies: theoretical, empirical, and experimental. The research program does not preclude any of these research methods. Projects The activities within the research program can be subdivided into four strands of research, which are interrelated: Research and development. Research cooperations are key for businesses to successfully innovate and prosper, and firms increasingly rely on extensive networks to achieve their goals. It is, however, still poorly understood how these R&D cooperatives are formed, how they evolve, what their impact is on R&D activities, and what should constitute an optimal R&D policy. These questions drive several research lines. For instance, group members are developing a theoretical framework of research network formation. This framework is tested against a database that includes all large research collaborations in the U.S. Other group members work on dynamic models of R&D, the novelty being here the application of bifurcation methods. This allows for a global analysis, including (transitory) parameter configurations that preclude single-stage equilibria. Yet other group members assess the welfare implications of sustaining R&D cooperatives. Again, the fundamental trade-off between static and dynamic efficiency is addressed, giving additional insights as to what should constitute an optimal R&D-stimulating policy. Behavioral industrial organization Empirical and experimental evidence has mounted that people do not always comply with the assumptions of traditional economic models of 'optimal' behavior. These "anomalies" gave rise to the ever growing subfield of behavioural economics. A next important avenue of research in behavioral economics is whether firms in specific market contexts can and do exploit the bounded rationality of consumers. For example, can firms sell more or soften competition by increasing the number of product that serves no purpose except for confusing buyers. In current research, group members empirically investigate the use of gift certificates (VVV Cadeaubon) by Dutch consumers: Do people spend gift certificates they receive differently than they spend monetary gifts, and does it matter whether they received the certificate from friends or from their employer? In another project, a series of experiments is conducted to study the relationship between competition, the size of a loss and firm profits in insurance markets. Auctions In the past few decades, the study of auctions has become one of the most active research areas in economic sciences. We aim at answering questions such as: How to prevent cartel formation in auctions? What is the effect of limited liability on bidding behavior? How to design auctions of multiple objects? What are optimal mechanisms in quasi-markets such as welfare-to-work markets and health care markets? What is the effect of license auctions on the performance of markets? For example, group members studied experimentally the effectiveness of antitrust policies against bidding rings in auctions. Others have examined the impact of fundraising mechanisms on charitable giving in a door-to-door fundraising field experiment. Regulation and Competition Policies Since 2005, group members have collected detailed price information on the Dutch market for retail gasoline. With these data, the competitive effects of the governmental program of auctioning licenses to operate gasoline sites at highways have been quantified. Currently, the data are used to develop an automated procedure to identify regional clusters of low price variation, an indicator of possible collusive practices. Other current empirical projects on competition policy deal with potential deterrence effects of merger policy tools, based on data from the U.S. Department of Justice and the U.S. Federal Trade Commission. Furthermore, group members investigate whether firms that collaborate in research joint ventures, use these collaborations to collude in product markets. Also the impact of antitrust policy at larges was investigated. This was done by further refining the methodologies to estimate price cost margins and by applying the methodology to data from the Indonesian economy. In addition to the nation-wide impact of the introduction of antitrust policy, also the change in the behavior of targeted firms was investigated by a difference in difference method. 12.3 PROGRAMME EVALUATION Strengths: [x] The group has a very broad orientation, both in terms of the choice of research topics as in terms of methodologies used (theoretical/(lab/field)experimental/empirical). [x] Group members are each other's complements, which regularly yields papers that are co-authored by several group members. [x] The group is well-embedded in ASE and in Tinbergen Institute; group members thus have co-authored papers with members from other ASE research groups. [x] The research performed by the group is very visible and of great practical importance. Group members have close links with governmental bodies such as ministries and antitrust agencies. [x] The group is young and has a high growth potential. Weaknesses: [x] The connections with US universities could be strengthened. [x] The group is not prominent in the arena of theoretical industrial organization, except for the field of auction theory. Opportunities: [x] Within Europe, the group has close contacts with research groups in industrial organization at other universities. The challenge is to establish a more formal network with these other departments in order to pool research projects and resources. [x] Jeroen Hinloopen will spent the first six month of 2013 at Purdue University. Threats: [x] Group members have been requested to carry out heavy administrative duties. This may endanger the internal coherency of the research theme because of the reduced availability of these members. [x] The group has a small-scale, with only a few PhD students and no postdocs; a viable research program needs a continuous inflow and outflow of PhD students. Scientific successes [x] Ailko van der Veen and Adrian de Groot-Ruiz successfully defended their Ph.D. theses in 2012. Both theses were supervised by Theo Offerman (promoter) and Sander Onderstal (co-promoter). [x] Grega Smrkolj will defend his Ph.D.-thesis in the Summer of 2013, which was written under the supervision of Jeroen Hinloopen (promoter) and Florian Wagener (co-promoter). Societal relevance Research by the group on the deterrence effects of merger policy tools and the effectiveness of leniency programs is directly relevant to competition agencies and governmental bodies such as the ACM. Besides, the group's empirical projects target specific markets the functioning of which is of major importance to social welfare, such as the banking sector, insurance markets, retail gasoline pricing and public procurement. For this reason, research by the group regularly features in national newspapers and international magazines. Group members also appear on television to contribute to the debate by commenting on the developments in specific markets and the effects of these on competition. Group members also participate it governmental expert committees and provide targeted advise for particular policy issues. For instance, Sander Onderstal advised the Ministry of Economic Affairs on the design of the auction for mobile telecommunications that took place at the end of 2012, and Jo Seldeslachts was member of the expert committee "Toekomst van toezicht" of the Dutch Wetenschappelijke Raad voor het Regeringsbeleid (WRR). 12.4 RESOURCES AND FUNDING Jo Seldeslachts obtained a human development grant from the European Union that amounts to about €180.000. 12.5 OUTPUT Key publications Banal-Estañol, A., Heidhues, P., Nitsche, R. & Seldeslachts, J. (2010). Screening and Merger Activity. Journal of Industrial Economics, LVIII (4), 1-24. Belot, M., Bhaskar, V. & Ven, J. v.d. (2012). Can Observers Predict Trustworthiness? Review of Economics and Statistics 94(1), 246-259. Hinloopen, J. & Soetevent, A.R. (2008). Laboratory evidence on the effectiveness of corporate leniency programs. RAND Journal of Economics, 39, No. 2 (Summer), 607– 616. Kuhn, P., Kooreman P., Soetevent, A.R. & Kapteyn, A. (2011). The Effects of Lottery Prizes on Winners and their Neighbors: Evidence from the Dutch Postcode Lottery. The American Economic Review, 101(5), 2226-2247. Schram, A.J.H.C. & Onderstal, S. (2009). Bidding to Give: An Experimental Comparison of Auctions for Charity. International Economic Review 50, 431-457. Forthcoming Clougherty, J. & Seldeslachts, J. The Deterrence Effects of US Merger Policy Instruments. Journal of Law,Economics and Organization. [A] Hinloopen, J. & Wagenvoort, R. On the exact finite sample distribution of the L1FCvM test statistic. Communications in Statistics. A B Hoogendoorn, S.M., H. Oosterbeek and C.M. van Praag. The impact of gender diversity on the performance of business teams: Evidence from a field experiment, Management Science. Van Praag, C.M., A. van Witteloostuijn and J. van der Sluis. The higher returns to formal education for entrepreneurs versus employees, Small Business Economics, (DOI 10.1007/s11187-012-9443-y). Van Praag, C.M. and A. van Stel. The more business owners the merrier? The role of tertiary education, Small Business Economics (DOI 10.1007/s11187-012-9436-x). Goeree, J., Offerman, T. and R. Sloof. Demand reduction and preemptive bidding in multiunit license auctions. Experimental Economics. [B] Maximiano, S., Sloof, R. and J. Sonnemans (2013). Gift exchange and the separation of ownership and control, Games and Economic Behavior 77, 41-60. [A] Publications in numbers \| Industrial Organization, Competition Policies & Regulation \| \| \| \| \|---\|---\|---\|---\| \| 1) Academic publications \| a) in refereed journals \| A \| 3 \| \| \| \| B \| 6 \| \| \| \| Other \| 3 \| \| \| b) in other journals \| \| 0 \| \| \| c) book chapters \| A \| 0 \| \| \| \| B \| 0 \| \| \| \| Other \| 0 \| \| \| d) proceedings \| \| 0 \| \| Subtotal \| \| \| \| \| 2) Books \| \| A \| 0 \| \| \| \| B \| 0 \| \| \| \| Other \| 0 \| \| 3) Ph.D. theses \| \| \| 1 \| \| 4) Professional publications \| \| \| 11 \| \| 5) Popular publications \| \| \| 12 \| \| 6) Working papers \| \| \| 12 \| Article in journal – refereed Belot, M., Bhaskar,V. & Ven, J. v.d. (2012). Beauty and the Sources of Discrimination. Journal of Human Resources 47(3), 851-872. Belot, M., Bhaskar, V. & Ven, J. v.d. (2012). Can Observers Predict Trustworthiness? Review of Economics and Statistics 94(1), 246-259. Parker, S. and Van Praag, C.M. (2012). The entrepreneur's mode of entry: Business takeover or new venture start? Journal of Business Venturing 27 (1), pp. 31-46. Baarsma, B., Kemp, R., Van der Noll, R. & Seldeslachts, J. (2012). Let's not Stick Together: Anticipation of Cartel and Merger Control in The Netherlands. De Economist 160 (4), 357-376. Bosma, N., Hessels, J., Schutjens, V., Van Praag, C.M., and Verheul, I (2012). Entrepreneurship and role models. Journal of Economic Psychology 33, 410-422. Hinloopen, J. & Van Marrewijk, C. (2012). Power laws and comparative advantage. Applied Economics, 44, Issue 12, 1483 – 1507. Siemens, F. von (2012). Social Preferences, Sorting, and Competition, Scandinavian Journal of Economics 114 (2012), 780-807. Ven, J. v.d. (2012). Framing Contracts. Journal of Institutional and Theoretical Economics 168, 89-93 (Comment). Vyrastekova, J., Onderstal, S. & Koning, P. (2012). Self-selection and the Power of Incentive Schemes: An Experimental Study. Applied Economics 44, 4211-4219. Other Duso, T., Pennings, E. & Seldeslachts, J. (2012). On the Stability of Research Joint Ventures: Implications for Collusion. Review of Business and Economic Literature 57 (1), 98110. Hinloopen, J., Wagenvoort, R. & Van Marrewijk, C. (2012). A K-sample homogeneity test: the Harmonic Weighted Mass index. International Econometric Review, 4, Issue 1 (April), 17 – 39. Haan, M.A., Heijnen, P. & Soetevent, A.R. (2012). De prijseffecten van benzineveilin-gen. Tijdschrift Politieke Economie, 6(1), 35-48. Article in journal – professional Schinkel, M.P. (2012). Hoe de Banken hun PLV's Kregen. Markt & Mededinging, 15(5), 2012, 190-196. Dijkstra, M. and M.P. Schinkel (October 12, 2012). Hollands Hoge Hypotheekrentes. Economisch Statistische Berichten, 594-597. Dijkstra, M. and M.P. Schinkel (October 12, 2012). Naschrift bij: Hollands Hoge Hypotheekrentes (met Mark Dijkstra), Economisch Statistische Berichten, 599. Schinkel, M.P. (2012). Euribor-rigging. Markt & Mededinging, 15(4), 157-160. Schinkel, M.P. (2012). De Geldwisselaars. Markt & Mededinging, 15(3), 125-128. Schinkel, M.P. (2012). Persberichten van Bezwaar. Markt & Mededinging, 15(2), 81-83. Schinkel, M.P. (2012). Handhavingshuisstijl. Markt & Mededinging, 15(1), 16-19. Van Praag, C.M. and F. Kwik (2012). De Stand van het Ondernemerschap in Nederland: Een Internationale Vergelijking, ACE Entrepreneurship Update 12, Amsterdam. Van Praag, C.M. and R. Thurik (2012). Canon Deel 4: Ondernemerschap. Economische Statistische Berichten 97 (4644), 576-579. Van Praag, C.M. and R. Thurik (2012). Canon Ondernemerschap, ACE Entrepreneurship Update 14, Amsterdam. Article in magazine or newspaper – popular scientific Praag, C.M. van (October 12, 2012). Ons onderwijs selecteert niet op talent maar op zwakte. NRC Opinie. Praag, C.M. van en A. Rinnooy Kan (2012). De Stille Arbeidsrevolutie. NRC Handelsblad Opinie. Praag, C.M. van and L. Stevens (March 12, 2012). Opinie: Meer innovatie begint op universiteit. Het Financieele Dagblad. Praag, C.M. van and D. van den Brink (May 2012). Bezuinigen en groeien (opinie artikel). Het Financieele Dagblad. Praag, C.M. van and D. van den Brink (December 27, 2012). Maak kredietgarantie MKB niet permanent (opinie artikel). Het Financieele Dagblad. Praag, C.M. van (March 16, 2012). Te weinig ondernemersambitie. Het Financieele Dagblad. Praag, C.M. van (May 31, 2012). Maxima ontvangt onderzoeksrapport op UvA. Volkskrant. Praag, C.M. van (January 2012). Das motiv des Loney-Rider. Handelsblatt. Praag, C.M. van (May 30, 2012). Maxima neemt ACE onderzoek in ontvangst. Foliaweb.nl. Praag, C.M. van (May 30, 2012). Maxima ontvangt onderzoeksrapport op UvA. Het Parool. Praag, C.M. van. (May 30, 2012). Princess Maxima attends seminar entrepreneurship education. Royalpress.nl. Praag, C.M. van. (May 31, 2012). Maxima ontvangt onderzoeksrapport op UvA. Metro editie Amsterdam. Report – professional Schinkel, M.P. (2012). "Toelichting op genoemde schatting van mogelijke extra winsten op de Nederlandse hypotheekportefeuille sinds mei 2009 in de Zembla-uitzending "Uw Hypotheek als Melkkoe" van 14 september 2012," online appendix to television interview at www.mpschinkel.nl. Report – working- and discussion papers Barros P., Clougherty J. & Seldeslachts J. (2012). Europeanization of EU member-state competition policy: The commission's leadership role KU Leuven Research Report - MSI_1218. Dijkstra, M. and M.P. Schinkel (2012). NMa's Hypotheektarief-calculatiemethode: Actualisatie en herinterpretatie. ACLE Working Paper Series 2012-07. Goossens, D., Onderstal, S., Spieksma, F. & Pijnacker, J. (2012). Combinatorial Auction Design for Real-Estate Markets. SSRN working paper 1209. Heijnen, P., Haan, M.A. & Soetevent, A.R. (2012). Screening for Collusion: A Spatial Statistics Approach. Tinbergen Institute working paper #12-058/1. Felsö, F. & Soetevent, A.R. (2012). How Consumers Use Gift Certificates. Tinbergen Institute working paper #12-002/1. Kopányi-Peuker, A., Offerman, T., and R. Sloof (2012). Fostering cooperation through the enhancement of own vulnerability. TI-discussion paper 12-132/1. Rosendahl-Huber , L., Sloof, R., and C.M. van Praag (2012). The effect of early entrepreneurship education. Evidence from a randomized field experiment. TIdiscussion paper 12-041/3. Van Praag, C.M. (with S. Hoogendoorn, S.C. Parker) (2012). Ability Dispersion and Team Performance: A Field Experiment. Tinbergen Institute Working Paper, 12-130/VII. Van Praag, C.M. (with S. Hoogendoorn) (2012). Ethnic Diversity and Team Performance: A Field Experiment, Tinbergen Institute Working Paper, 12-068/3. Van Praag, C.M. (with M. Lindquist, J. Sol) (2012). Why do Entrepreneurial Parents have Entrepreneurial Children?, Tinbergen Institute Working Paper, 12-062/3. Van Praag, C.M. (with L. Rosendahl Huber, R. Sloof) (2012). The Effect of Early Entrepreneurship Education: Evidence from a Randomized Field Experiment, Tinbergen Institute Working Paper, 12-041/3. Yang, Y., Onderstal, S. & Schram, A. (2012). Inequity Aversion Revisited. CREED working paper. UvA Dissertation – internally prepared Haan, T. de (July 5, 2012). Strategic Communication: Theory and Experiment. (together with Theo Offerman, co-promotor R. Sloof). Recognition Dijkstra, M. and M.P. Schinkel (September 2012). "Eigen Huis Rentebarometer," data input and conceptual contributions to the development of online measurement tool http://www.eigenhuis.nl/tools/rentebarometer/. Praag, C.M. van (July 18, 2012). Folia maakt kennis met…. Mirjam van Praag. Folia radio Amsterdam and Folia Website Portret. Praag, C.M. van (March 19, 2012). "Innovatiedip baart hoogleraren zorgen", interview for article in Intermediair. Praag, C.M. van (May 31, 2012). "Prinses Maxima ontvangt resultaten van BizWorld", film on bastaschooltv.nl. Van Praag, CM, C.M. Hsieh and S. Parker (2012). One of the best paper awards at the Academy of Management (2012) for 'Risk, Balanced Skills and Entrepreneurs', (Tinbergen Institute working paper 11-178/3). Schinkel, M.P. (April 2012). Interview in Vastgoed, "NMa en NVM in de clinch over Funda: Wie heeft gelijk?," 87, p.9. Schinkel, M.P. (November 2012). Interview in Eigen Huis Magazine, "Eigen Huis Rentebarometer: Uw hypotheek is te duur," 38, p. 30. Seldeslachts, J. Marie Curie Career Development Fellowship, EU, 2011-2013. Sloof, R. MaGW Onderzoekstalent 2011 grant from NWO for the PhD position of Anita Kopányi-Peuker (co-supervised with Theo Offerman). Media appearance Schinkel, M.P. (September 14, 2012). Zembla-uitzending "Uw Hypotheek als Melkkoe". Schinkel, M.P. (2012). Various interviews on Business News Radio (BNR). Schinkel, M.P. (2012). Various interviews for Financieel Dagblad, Volkskrant, Trouw, Telegraaf. Schinkel, M.P. (2012). Member Economenpanel Business News Radio (BNR). Soetevent, A.R. (August 21 2012). Interview on the Dutch Postcode Lottery at The Mooney Show, RTÉ Radio 1, Ireland. Praag, C.M. van (December 26, 2012). Wetenschapsprogramma hoe? zo? Radio NTR. Keynote/invited talk Hinloopen, J. (2012, June). Output commitment through product bundling: experimental evidence, M-BEES conference, Maastricht. Hinloopen, J. (2012, July). Output commitment through product bundling: experimental evidence. IIOC conference, Arlington. Hinloopen, J. (2012, July). Output commitment through product bundling: experimental evidence. CRESSE conference, Crete. Hinloopen, J. (2012, August). Insurance, risk-aversion, and loss manipulation: an experiment. ABEE conference, Amsterdam. Onderstal, S. (January 25, 2012). Bidding to Give in the Field: Door-to-Door Fundraisers Had it Right from the Start. Seminar Bicocca Milan. Onderstal, S. (February 24, 2012). Bidding to Give in the Field: Door-to-Door Fundraisers Had it Right from the Start. Seminar Tilburg University. Onderstal, S. (May 9, 2012). Power and the Privilege of Clarity: An Analysis of Bargaining Power and Information Transmission. Seminar Erasmus University Rotterdam. Onderstal, S. (June 24, 2012). Power and the Privilege of Clarity: An Analysis of Bargaining Power and Information Transmission. ESA conference New York City. Onderstal, S. (October 19, 2012). Keeping Out Trojan Horses: Auctions and Bankruptcy in the Laboratory. Nederlandse Economendag, Amsterdam. Praag, C.M. van (January 10, 2012). Invited Seminar Centraal Planbureau Den Haag on 'It's the opportunity cost, stupid! How self-employment responds to financial incentives of return, risk and skew' (with P. Berkhout and J. Hartog). Praag, C.M. van (January 18, 2012). Invited Seminar at Ivey Business School, University of Western Ontario, Canada on "The effect of early entrepreneurship education on the development of entrepreneurial competencies and intentions' (with Laura Rosendahl Huber and Randolph Sloof). Praag, C.M. van (February 9, 2012). Invited Seminar at IFN Research Institute of Industrial Economics Stockholm Sweden on 'The effect of early entrepreneurship education on the development of entrepreneurial competencies and intentions' (with Laura Rosendahl Huber and Randolph Sloof). Praag, C.M. van (January 26, 2012). Invited Key Note Lecture at the Norwegian Research Council, Research and Innovation Policy Conference, Oslo, Norway on 'It's the opportunity cost, stupid! How self-employment responds to financial incentives of return, risk and skew' (with P. Berkhout and J. Hartog). Praag, C.M. van (June 12, 2012). Invited Lecture on 'Field Experiments in Entrepreneurship Economics' at the IZA Entrepreneurship Economics PhD Workshop in Potsdam. Praag, C.M. van (June 15, 2012). Invited Key Note Lecture on 'Entrepreneurship, Nature, Nurture and Role Models' at the Uddeville Conference on Innovation and Industrial Economics, University of Faro, Portugal. Praag, C.M. van (June 15, 2012). Invited seminar on 'Why do entrepreneurial parents have entrepreneurial children?' (with J. Sol and M. Lindquist) at ISEG – School of Economics and Management Technical University of Lisbon, Portugal. Praag, C.M. van and C.M. Hsieh (August 6, 2012). Presentation at the Academy of Management 'Risk, Balanced Skills and Entrepreneurs', Boston, USA. Praag, C.M. van and S.M. Hoogendoorn (August 7, 2012). Presentation at the Academy of Management 'Ethnic Diversity and Team Performance: A Field Experiment', Boston, USA. Praag, C.M. van (September 10, 2012). Invited seminar on 'Why do entrepreneurial parents have entrepreneurial children?' (with J. Sol and M. Lindquist) at the Norwegian Business School, Economics Department, Oslo, Norway. Praag, C.M. van (September 14, 2012). Invited discussant at the First CEPR Workshop on Incentives, Management and Organization at Bocconi University, Milan, Italy. Praag, C.M. van (September 22, 2012). Invited presentation at the 3rd HEC Workshop on Entrepreneurship on 'The effect of early entrepreneurship education on the development of entrepreneurial competencies and intentions' (with Laura Rosendahl Huber and Randolph Sloof). Praag, C.M. van (September 22, 2012). Invited participant in Round Table Policy Discussion (with R. Fairlie and S. Parker) 3rd HEC Workshop on Entrepreneurship on 'Entrepreneurship Education Evaluation'. Praag, C.M. van (October 19, 2012). Invited workshop lecture 'Why do entrepreneurial parents have entrepreneurial children?' (with J. Sol and M. Lindquist) at the Nederlandse Economendag, De Nederlandsche Bank, Amsterdam. Schinkel, M.P. (November 1, 2012). Presentation of State-aided Price Coordination in Dutch Mortgage Banking at De Rijksacademie voor Financiën, Economie en Bedrijfsvoering, The Hague, The Netherlands. Schinkel, M.P. (October 19, 2012). Presentation in session on "Prijsvorming in de Nederlandse Hypotheekmarkt sinds de Kredietcrisis," De Nederlandse Economendag 2012, CPB, Den Haag. Schinkel, M.P. (September 22-23, 2012). Presentation on State-aided Price Coordination in Dutch Mortgage Banking at The Antitrust Enforcement Symposium, Pembroke College, Oxford, U.K. Schinkel, M.P. (September 2-4, 2012). Presentation on State-aided Price Coordination in Dutch Mortgage Banking at the 2012 Congress of the European Association for Research in Industrial Economics (EARIE), Rome, Italy. Schinkel, M.P. (June 20, 2012). Presentation on State-aided Price Coordination in Dutch Mortgage Banking at the 8 th annual ELEA Symposium, College of Europe, Bruges, Belgium. Schinkel, M.P. (June 14-15, 2012). Presentation on State-aided Price Coordination in Dutch Mortgage Banking at the CCP 8 th Annual Conference, UEA, Norwich, U.K. Schinkel, M.P. (May 10-11, 2012). Keynote address on State-aided Price Coordination in Dutch Mortgage Banking at the 6 th CLEEN conference, Mannheim, Germany. Seldeslachts, J. (May 2012). Collusion through Joint R&D: An Empirical Assessment. Erasmus University Rotterdam. Seldeslachts, J. (May 2012). Collusion through Joint R&D: An Empirical Assessment. Invited seminar NMa, The Hague. Seldeslachts, J. (September 2012). Collusion through Joint R&D: An Empirical Assessment. TI 25 years Celebration, Amsterdam. Seldeslachts, J. (December 2012). Success and Failure in Strategic Alliances: Theory and Experimental Evidence. Invited seminar Copenhagen University. Soetevent, A.R. (March 5, 2012). Bidding to Give in the Field: Door-to-Door Fundraisers Had it Right from the Start. Seminar EIPE, Erasmus University Rotterdam. Soetevent, A.R. (April 26, 2012). How Consumers Use Gift Certificates. Seminar University of Bologna, Italy. Soetevent, A.R. (November 28, 2012). Insurance, risk aversion, and loss manipulation: an experiment. Seminar University of Frankfurt, Germany. Soetevent, A.R. (December 6, 2012). Insurance, risk aversion, and loss manipulation: an experiment. Seminar Lund University, Sweden. Soetevent, A.R. (December 7, 2012). Insurance, risk aversion, and loss manipulation: an experiment. Seminar University of Copenhagen, Denmark. Ven, J. v.d. (January 30, 2012). Paper: Buying lies: The effects of interaction and context on the ability to detect deceit. University of Lyon, Lyon, France. Ven, J. v.d. (September 6, 2012). Paper: Buying lies: The effects of interaction and context on the ability to detect deceit. Tinbergen Institute, Amsterdam). Ven, J. v.d. (November 13, 2012). Paper: Bad News: An Experimental Study On The Informational Effects Of Rewards. Tilburg University , Tilburg. Other lectures Dominguez-Martinez, S. (June 8, 2012). On the Role of Pre-Determined Rules for HRM Policies. Applied Economy Meeting. A Coruña, Spain. Conference presentation. Hinloopen, J. (October 2012). Masterclass on Experiments in IO, University of St. Andrews, UK. Praag, C.M. van (February 1, 2012). SER Symposium De Kracht van de Stille Arbeidsrevolutie Keynote lecture. Praag, C.M. van (February 13, 2012). "Beloning, spannend onderwerp", Bijdrage aan 'Stand van de Wetenschap', Spui25, Amsterdam. Praag, C.M. van (April 11, 2012). "Regisseer je success: Business meets RABO", Lecture on Research in Entrepreneurship. Praag, C.M. van and L. Rosendahl Huber (May 30, 2012). "Effecten van Onderwijs in ondernemen op de basisschool", ACE Event in Aula UvA, where we offered the research report to Crown Princess Maxima, based on "The effect of early entrepreneurship education on the development of entrepreneurial competencies and intentions" (with Laura Rosendahl Huber and Randolph Sloof). Praag, C.M. van (July 3, 2012). Invited lecture/discussion on Self-employed Entrepreneurship (ZZP) at the Wiardi Beckman Stichting of the PvdA, Den Haag. Praag, C.M. van (September 3, 2012). Minicollege Glazen Huis Spui, UvA, Start of the Academic Year "Ondernemerschap, kun je dat leren?". Praag, C.M. van (November 3, 2012). SER/NCR Symposium "Wat is De Kracht van de Cooperatie?". Praag, C.M. van (October 10, 2012). ERIM Erasmus PhD Course on Entrepreneurship, Rotterdam. Schinkel, M.P. (November 30, 2012). Symposium Banken en Publieke Belangen, De Rijksacademie voor Financiën, Economie en Bedrijfsvoering, The Hague, The Netherlands. Schinkel, M.P. (November 22, 2012). Roundtable at the conference EU Competition Law and Financial Markets, Brussels School of Competition, Brussels, Belgium. Schinkel, M.P. (March 16, 2012). Discussant of Jorge Padilla at TILEC conference The Economics of Search and Search Advertising, Brussels, Belgium. Seldeslachts, J. (2012). Economics of Information, PhD Workshop KU Leuven. Seldeslachts, J. (2012). Theory of Industrial Organization, Lecture Series KU Leuven. Sloof, R. (2012). Workshop presentation, Eurocities Economic Development Forum, Amsterdam. Smrkolj, G. (2012, April 24). Seminar presentation, Centre for Competition Policy, University of East Anglia, UK. Presented Paper: In Defense of Trusts: R&D Cooperation in Global Perspective. Smrkolj, G. (2012, April 19). Seminar presentation, CeNDEF, University of Amsterdam, The Netherlands. Presented Paper: In Defense of Trusts: R&D Cooperation in Global Perspective. Smrkolj, G. (2012, Januar 23). Seminar presentation, Université catholique de Louvain, Belgium. Presented Paper: From Mind to Market: A Global, Dynamic Analysis of R&D. Ven, J. v.d. (May 31-June 2, 2012). Buying lies: The effects of interaction and context on the ability to detect deceit, paper ASFEE, Montpellier, France. Ven, J. v.d. (June 4, 2012). Buying lies: The effects of interaction and context on the ability to detect deceit, paper. MBEES, Maastricht. Ven, J. v.d. (June 21-24, 2012). Buying lies: The effects of interaction and context on the ability to detect deceit, paper. ESA, New York, USA. Ven, J. v.d. (August 29, 2012). Buying lies: The effects of interaction and context on the ability to detect deceit, paper. University of Mainz, Mainz, Germany. Conference organiser Praag, C.M. van (February 1, 2012). SER Symposium De Kracht van de Stille Arbeidsrevolutie (joint with Esther Raats-Coster and Linde Gonggrijp). Praag, C.M. van and L. Rosendahl Huber (May 30, 2012). ACE event "Effecten van Onderwijs in ondernemen op de basisschool", Aula UvA, where we offered the research report to Crown Princess Maxima. Other speakers Caroline Gehrels (City of Amsterdam), Chris Buijink (Ministry of Economic Affairs), Alexander Rinnooy Kan (SER) and various young entrepreneurs. Praag, C.M. van (July 8-14, 2012). Organizer of the First Residence Week of Scholars in Entrepreneurship, Oxford, (joint with Prof S. Estrin, LSE and Prof D. Audretsch, Indiana Univeristy in Bloomington). Praag, C.M. van (August 31-September 1, 2012). 4th edition of the Amsterdam Symposium on Behavioral and Experimental Economics, ABEE 2012 "Behavioral Economics in Markets and Organizations", (joint with R. Sloof, A. Soetevent and J. Hinloopen), Amsterdam KNAW. Praag, C.M. van (2012-2013). Organizer of the lecture/discussion series on Behavorial Economics in the AAC (Amsterdam Academic/Faculty Club), (joint with Prof J. Hartog). Praag, C.M. van (October 8, 2012). FEB Seminar Peter Thompson Markets & Organizations group seminar: New firm performance and the replacement of founders, organized by ASE and ACE. Schinkel, M.P. (April 20, 2012). Member of the 8 th annual ACLE Competition & Regulation Meeting on Behavioral Competition and Regulation, Amsterdam. Schinkel, M.P. (2012). Member of the ACE steering committee. Schinkel, M.P. (2012). Member of the Program Committee of the IIOC. Schinkel, M.P. (2012). CRESSE Associate. Soetevent, A. R. (August 31-September, 2012). co-organizer of the 4th Amsterdam Symposium on Behavioral and Experimental Economics on Behavioral Economics in Markets and Organizations, Amsterdam. Ven, J. v.d. (April, 20, 2012). ACLE Workshop: Behavioral Competition and Regulation, Organising committee, chair, Amsterdam. Editorship Praag, C.M. van (2005-). Associate Editor Small Business Economics . Praag, C.M. van (2012-). Associate Editor of IZA Journal of European Labor Studies Soetevent, A.R.(2012). Associate editor De Economist. Ven, J. v.d. (2012). Associate Editor International Review of Law and Economics. Membership academies Dominguez-Martinez, S. (2012). Junior Research Fellow Tinbergen Institute. Praag, C.M. van (2003-). Research Fellow Tinbergen Institute. Praag, C.M. van (2005-). Research Fellow IZA Institute for Labour Market Research, Bonn. Praag, C.M. van (2005-). Research Fellow IZA Institute for Labour Market Research, Bonn. Praag, C.M. van (2010-). Research Fellow ACLE. Praag, C.M. van (2010-). Member of the Koninklijke Hollandsche Maatschappij der Wetenschappen. Praag, C.M. van (January 24, 2012). Member of the Small PhD Committee of Xavier Baeten "Firm Level Corporate Governance Characteristics and CEO Remuneration: A CrossNational European Study", Ghent University, Belgium (supervisor Prof Lutgart van den Berghe). Praag, C.M. van (2009-). Member of the Curatorium of the Chair "Ethnic entrepreneurship", IMES UvA (Sponsored by VNO NCW). Praag, C.M. van (2007-). Member of the Supervisory Board of the EIM scientific program 'SME's and entrepreneurship'. Praag, C.M. van (2010-). Research Affiliate, Statistics Norway, Oslo, Norway. Praag, C.M. van (September 28, 2012). Member of the PhD Committee of Bart Sleutjens, Utrecht University. Praag, C.M. van (2011-2012). Chair of the Supervisory Committee of the Academic Study Group (led by Prof dr E. Stam) that was commissioned by the AWT (Adviesraad voor het Wetenschaps- en Technologiebeleid) to study Ambitious Entrepreneurship: A review of the academic literature and new directions for public policy. Based on this the AWT wrote an advisory letter to the Minister of Economic Policy and Innovation. Praag, C.M. van (2005-). Founding academic Director of the Amsterdam Center for Entrepreneurship. Praag, C.M. van (2008-). Member of the Supervisory Board of APG Group NV. Praag, C.M. van (2010-). Member of the Board of SEO Economisch Onderzoek. Praag, C.M. van. (2010-). Appointed Crown member of the Socio Economic Council of the Government (SER). Praag, C.M. van (2011-). Member of the CPC (Supervisory Board of the CPB). Praag, C.M. van (2011-). President of the Amsterdam Academic Club. Praag, C.M. van. (2010-). Member Raad van Toezicht Kriterion. Praag, C.M. van (2009-). Member of the Board of the Dutch Friends of the Tel Aviv University. Praag, C.M. van (2012-). Member of the Advisory Council of Social Enterprise Netherlands. Seldeslachts, J. (2012). EARIE, EEA. Sloof, R. (September 2012). Member of PhD committee Adrian de Groot Ruiz, University of Amsterdam, Essays on Bargaining and Strategic Communication. Sloof, R. (2000-). Research fellow at the Tinbergen Institute. Sloof, R. (2008-). Fellow of the Amsterdam Center for Law and Economics. Soetevent, A.R. (2005-). Fellow Tinbergen Institute. Soetevent, A.R. (2006-). Fellow ENCORE. Soetevent, A.R., (2008-). Fellow ACLE. Relevant positions Dominguez-Martinez, S. (2012). Referee for Journal of Economics & Management Strategy. . Hinloopen, J. (2012). Referee for European Economic Review, Oxford Economic Papers, Australian Economic Papers, Economics Bulletin, International Review of Law and Economics, Journal of Economics. Onderstal, S. (2012). Referee for Experimental Economics, Games and Economic Behavior, Journal of Industrial Economics, Journal of Mathematical Economics, Journal of Public Economic Theory, Journal of Public Economics, Journal of Public Procurement, Review of Economic Studies, Southern Economic Journal, and Czech Science Foundation. Praag, C.M. van (2012). Referee for Economic Journal, Economics of Education Review, European Economic Review, Journal of Business Venturing, Journal of Labor Economics, Management Science, Quarterly Journal of Economics. Schinkel, M.P. (2012). Referee for The Journal of the European Economic Association, The Journal of Institutional and Theoretical Economics, Review of Industrial Organization. Seldeslachts, J. (2012). Wetenschappelijke Raad voor het Regersingsbeleid (WRR), The Hague, Member of Expert Committee on Antitrust. Seldeslachts, J. (2012). Referee for Journal of Law, Economics and Organization; International Journal of Industrial Organization; Review of Business and Economic Literature. Sloof, R. (2012). Referee for Experimental Economics (2x), European Economic Review, Games and Economic Behavior, Journal of Economic Behavior and Organization, Journal of Economics and Management Strategy, Journal of Economic Psychology, Public Choice. Sloof, R. (2012). Referee for grant application at The Rovert H. Arnow Center for Bedouin Studies and Development, Ben Gurion University of the Negev. Soetevent, A.R. (2012). Referee for Experimental Economics, ETRI Journal, Journal of the European Economic Association, Journal of Public Economics, and National Science Foundation. Ven, J. van de (2012). Referee for American Economic Review, Management Science, Economic Journal, European Economic Review, Games and Economic Behavior. 13. SEO ECONOMIC RESEARCH Subprogrammes: Labour Economics & Education Health Economics & Social Security Regulation & Competition Policy Aviation Economics Cost-benefit & Business Market and Government Programme director: Prof.dr. B.E. Baarsma METIS-code: uva/feb/ase/seo JEL-classification: I, J, L, Q, R Website: www.seo.nl 13.1 MEMBERS OF THE RESEARCH GROUP AND RESEARCH IN FTES \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| Funding \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| \| 1,00 \| \| \| Scientific Staff SEO \| \| \| \| \| \| \| \| \| Baarsma, B.E. \| dr. \| oz \| 1,00 \| 1,00 \| 1,00 \| \| 3 \| \| Grand, J.B. Le \| dr. \| oz \| 0,71 \| - \| - \| - - 0,80 \| 3 \| \| Kerste, M.W.M. \| drs. \| oz \| 1,00 \| - \| - \| \| 3 \| \| Koopmans, C.C. \| prof. dr. \| hgl \| - \| - \| - \| \| 3 \| \| Theeuwes, J.J.M. \| prof. dr. \| hgl \| 0,50 \| 0,53 \| 0,53 \| 0,48 1,00 1,00 1,00 0,95 \| 3 \| \| Market & State \| \| \| \| \| \| \| \| \| Buiren, K.B. van \| drs. \| oz \| - \| 0,33 \| 1,00 \| \| 3 \| \| Gerritsen, M. \| drs. \| oz \| - \| 0,14 \| 0,95 \| \| 3 \| \| Leussink, L. \| msc \| oz \| - \| - \| 0,08 \| \| 3 \| \| Voort, J. van der \| msc \| oz \| - \| - \| 1,00 \| \| 3 \| \| Regulation & Competition Policy \| \| \| \| \| \| \| \| \| Akker, I.J. \| MA \| oz \| - \| 0,79 \| 0,88 \| - - 0,95 - \| 3 \| \| Gerritsen, M. \| drs. \| oz \| 0,31 \| - \| - \| \| 3 \| \| Hof, B.J.F. \| drs. \| oz \| - \| - \| - \| \| 3 \| \| Janssen, K. \| drs. \| oz \| 0,42 \| - \| - \| \| 3 \| \| Kerste, M.W.M. \| drs. \| oz \| - \| 1,00 \| 1,00 \| 1,00 0,63 1,00 \| 3 \| \| Kocsis, V. \| dr. \| oz \| - \| - \| - \| \| 3 \| \| Noll, R. van der \| dr. \| oz \| - \| 1,00 \| 1,00 \| \| 3 \| \| Nooij, M.N. de \| drs. \| oz \| 0,80 \| - \| - \| - - \| 3 \| \| Poort, J. \| drs. \| oz \| 1,00 \| 1,00 \| 0,50 \| \| 3 \| \| Rosenboom, N. \| msc \| oz \| - \| 0,39 \| 1,00 \| 0,88 1,00 1,00 \| 3 \| \| Tieben, L.A.W. \| drs. \| oz \| 0,84 \| 0,84 \| 0,92 \| \| 3 \| \| Weda, J.N.T. \| drs. \| oz \| 1,00 \| 1,00 \| 1,00 \| \| 3 \| \| Name \| Title \| Function \| Total 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| \|---\|---\|---\|---\|---\|---\|---\| \| Labour Economics & Education \| \| \| \| \| \| 1,00 1,00 1,00 \| \| Berg, E. van den \| drs. \| oz \| 1,00 \| 1,00 \| 1,00 \| \| \| Berkhout, E.E. \| drs. \| oz \| 1,00 \| 1,00 \| 1,00 \| \| \| Bisschop, P. \| msc \| oz \| - \| - \| - \| \| \| Graaf, D. de \| drs. \| oz \| 0,84 \| 0,80 \| 0,67 \| - - \| \| Graaf-Zijl, M. de \| dr. \| oz \| - \| - \| - \| \| \| Heyma, A.O.J. \| dr. \| oz \| 1,00 \| 1,00 \| 1,00 \| 1,00 \| \| Hof, B.J.F. \| drs. \| oz \| 0,39 \| - \| - \| - - \| \| Klaveren, C.P.B.J. \| drs. \| oz \| 0,08 \| - \| - \| \| \| Mulder, J. \| drs. \| oz \| - \| - \| 0,04 \| 0,84 \| \| Pass, J. \| msc \| oz \| - \| - \| 0,47 \| - \| \| Prins, J. \| msc \| oz \| - \| - \| 1,00 \| 1,00 \| \| Scavenius, J.E.B. \| msc \| oz \| 0,47 \| - \| - \| - - \| \| Smid, Th. \| msc \| oz \| 0,83 \| 0,98 \| 0,32 \| \| \| Volkerink, M.D. \| msc \| oz \| - \| 1,00 \| 1,00 \| 1,00 1,00 0,89 \| \| Werff, S.G. van der \| msc \| oz \| 1,00 \| 1,00 \| 1,00 \| \| \| Health Economics & Social Security \| \| \| \| \| \| \| \| Berden, C.B. \| dr. \| oz \| 1,00 \| 1,00 \| 1,00 \| \| \| Hop, P.J. \| \| oz \| 0,63 \| 0,32 \| - \| - - - \| \| Houkes-Hommes, A.R.B.J \| drs. \| oz \| 0,84 \| 0,84 \| 0,67 \| \| \| Kerkhofs, M. \| dr. \| oz \| - \| 0,06 \| - \| \| \| Kok, L.M. \| drs. \| oz \| 0,84 \| 0,84 \| 0,84 \| 0,84 1,00 0,33 0,87 \| \| Lammers, M. \| msc \| oz \| - \| - \| 0,17 \| \| \| Scholte, R.S. \| drs. \| oz \| - \| - \| - \| \| \| Tempelman, D.C.G. \| drs. \| oz \| 1,00 \| 0,98 \| 0,95 \| \| \| Cost-Benefit Analysis and Economics Activity \| \| \| \| \| \| \| \| Berg, M. van den \| drs. \| oz \| 0,84 \| 0,56 \| 1,00 \| - - - - - - - - - - - \| \| Dorenbos, R.J \| drs. \| oz \| - \| - \| - \| \| \| Dosker, R. \| drs. \| oz \| 0,33 \| 1,00 \| 0,95 \| \| \| Holleman, J. \| drs. \| oz \| - \| - \| - \| \| \| Koopmans, C.C. \| prof. dr. \| hgl \| 0,26 \| 0,80 \| 0,80 \| \| \| Koutstaal, P. \| drs. \| oz \| - \| - \| 0,21 \| \| \| Nooij, M. de \| drs. \| oz \| - \| 0,68 \| 0,16 \| \| \| Risseeuw, P.R. \| drs. \| oz \| 1,00 \| 1,00 \| 0,75 \| \| \| Sheikh, O. \| msc \| oz \| 0,66 \| - \| - \| \| \| Tewes, F.W. \| drs. \| oz \| 0,71 \| 0,24 \| - \| \| \| Willebrands, D. \| msc \| oz \| - \| 0,74 \| 0,63 \| \| \| \| \| \| \| \| \| 1,00 0,48 0,18 1,00 0,80 \| \| Aviation Economics \| \| \| \| \| \| \| \| Burghouwt, G. \| dr. \| oz \| 1,00 \| 1,00 \| 1,00 \| \| \| Kempen, T. \| drs. \| oz \| - \| 0,14 \| 0,48 \| \| \| Krul, J. \| drs. \| oz \| - \| - \| 0,07 \| \| \| Lieshout, R.B.T. \| drs. \| oz \| 1,00 \| 1,00 \| 1,00 \| \| \| Veldhuis, J.G. \| drs. \| oz \| 0,84 \| 0,80 \| 0,80 \| \| \| Wit, J. de \| prof drs \| hgl \| 0,80 \| 0,33 \| - \| - - \| \| Yilmaz, H. \| drs. \| oz \| 1,00 \| 0,75 \| - \| \| \| Zuidberg, J. \| msc \| oz \| 1,00 \| 1,00 \| 1,00 \| \| \| \| Totaal 2009 \| Total 2010 \| Total 2011 \| Total 2012 \| \|---\|---\|---\|---\|---\| \| Total 1st flow of funds \| 0,00 \| 0,00 \| 0,00 \| 0,00 0,00 28,92 \| \| Total 2nd flow of funds \| 0,00 \| 0,00 \| 0,00 \| \| \| Total 3rd flow of funds \| 27,94 \| 28,88 \| 20,43 \| \| \| Total 1st f.o.f. excl. Ph.D.'s \| 0,00 \| 0,00 \| 0,00 \| 0,00 \| \| Total all flows of funds \| 27,94 \| 28,88 \| 20,43 \| 28,92 0,00 \| \| Ph.D. students \| 0,00 \| 0,00 \| 0,00 \| \| 13.2 PROGRAMME DESIGN SEO Economic Research was founded in 1949, as a research institute of the Faculty of Economics at the University of Amsterdam, to encourage applied research. Since the 1980s it has been financially independent from the university, while retaining close links with the academic community. SEO carries out contract research for ministries and public organizations, private companies and non-profit institutions, nationally and internationally. SEO distinguishes itself from commercial research bureau's by its analytical approach. Modern economic analysis is applied to practical issues. Empirical questions are tackled with the econometrics toolkit. SEO is not linked to vested interests or political parties and research questions are approached with an independent scientific mindset. SEO Economic Research is a medium-sized horizontal organisation. It has an academic staff of about 40 economists and econometrists. When a research question has multiple dimensions SEO can call upon specialists from other disciplines – often from within the University of Amsterdam - such as the Amsterdam Institute for Advanced Labour Studies (AIAS) and the Institute for Information Law (IViR). Structure SEO Economic Research consists of six research groups or sections organised along fields of economic research. A first section is Labour Economics & Education which specialises in labour market, labour market policy, schooling and training research. Research topics deal with employability, transition from school to work, temporary work, re-integration and exit from unemployment, wage differentials, employment benefits, migration, schooling and work and the evaluation of educational policies. The section Health Economics & Social Security analyses developments in healthcare and social security, with research often shaped by the highly regulated nature of these two sectors. This section specialises among others in market analyses, effectiveness and cost-benefit studies and budgeting and costing systems. Research in the section Regulation & Competition Policy concentrates on the design, analysis and evaluation of competition and government intervention. The section deals with issues related to the structure, conduct and performance of markets and sectors, regulation and deregulation, economic aspects of cartels, mergers, market dominance and other topics in the field of competition. It assesses new or established regulations and policy from the perspective of law and economics. Aviation Economics is a section specializing in aviation economics. It advises governments, airlines, airports, financial institutions and other interested parties on the economic issues related to aviation. Aviation Economics activities include operations research, econometric analyses and forecasting, feasibility studies and research into competition and market issues, as well as work in transport and regional economics. The Market & State section specialises in the economic analysis of state aid and public tenders. Economic organization and the boundaries between public and private economic activity are other issues that are dealt with in this section. Organisation SEO Economic Research is governed by a six-member Executive Board. Day-to-day policy is in the hands of the general director and the scientific director and of the management team, which consists of both directors and the section heads. SEO Economic Research also has an Advisory Board which meets yearly to review its research programme. 13.3 PROGRAMME EVALUATION Academic publications by researchers at SEO Economic Research are often a spin-off from contract research which is SEO's core activity. This year 31 articles were published in refereed journals or refereed books. The number of non-refereed academic publications was substantial. In 2012 SEO researchers published 57 commissioned reports and 123 other publication such as popular publications and newspaper articles. 13.4 RESOURCES AND FUNDING SEO Economic Research has set up an internal fund for scientific research (WEO) which allots time to researchers working at SEO and which enables them to prepare papers for scientific publications and to participate in economic conferences. This fund has also a provision to finance time spend on preparing a doctoral dissertation and to participate in (international) economic conferences. Researchers at SEO Economic Research publish regularly in national and international professional journals. Only by publishing and lecturing, a research institute stays 'alert' and keeps abreast of the newest developments in applied economic research. Core activity is contract research and the majority of research funding originates from contract parties. SEO holds an NEN-EN ISO 9001:2008 quality certificate for Applied Economic Research and Consulting. 13.5 OUTPUT Key publications Atlamaz, M., Berden, C., Peters, H. & Vermeulen, D. (2011). Non-cooperative solutions for estate division problems. Games and Economic Behavior, 73, (1), 39-51. [A] Baarsma, B.E., Kemp, R.G.M., Noll, R. van der & Seldeslachts, J. (2012). Let's Not Stick Together: Anticipation of Cartel and Merger Control in The Netherlands. De Economist, 160, (4), 357-376. [B] Baarsma, B. (2011). Rewriting European competition law from an economic perspective. European Competition Journal, 7, (3), 559-585. [B] Ewijk, C. van & Volkerink, M. (2012). Will Ageing Lead to a Higher Real Exchange Rate for the Netherlands? De Economist, 160, (1), 59-81[B] Graaf-Zijl, M. de, Berg, G. J. van den & Heyma, A. (2011). Stepping-stones for the unemployed: the effect of temporary jobs on the duration until (regular) work. Journal of Population Economics, 24, (1), 107-139. [B] Lammers, M., Bloemen, H. & Hochguertel, S. (2012). Job search requirements for older B unemployed: Transitions to employment, early retirement and disability benefits. European Economic Review. http://www.sciencedirect.com/science/article/pii/S0014292112001493 [A] Suau-Sanchez, P. & Burghouwt, G. (2012). Connectivity levels and the competitive position of Spanish airports and Iberia's network rationalization strategy, 2001–2007. Journal of Air Transport Management, 18, (1), 47-53. [B] Publications in numbers \| S)EO \| \| \| \| \|---\|---\|---\|---\| \| Academic \| a) in refereed journals \| A \| 0 \| \| \| \| B \| 12 \| \| \| \| Other \| 16 \| \| \| b) in other journals \| \| 1 \| \| \| c) book chapters \| A \| 0 \| \| \| \| B \| 0 \| \| \| \| Other \| 3 \| \| \| d) in proceedings \| \| 1 \| \| Subtotal \| \| \| \| \| 2) Books \| \| A \| 0 \| \| \| \| B \| 1 \| \| \| \| Other \| 2 \| \| 3) Ph.D. theses \| \| \| 0 \| \| 4) Professional publications \| \| \| 79 \| \| 5) Popular publications \| \| \| 0 \| \| 6) Working papers \| \| \| 7 \| \| Total \| \| \| \| Article in journal - refereed Baarsma, B.E. & Barendrecht, J.M. (2012). Mediation 2.0. Nederlands Juristenblad, 32, (32), 2239-2243. Baarsma, B.E. (2012). Blijft mediation de eeuwige belofte of wordt het een volwassen markt? Nederlands Juristenblad, 87, (1), 14-20. Baarsma, B.E., Kemp, R.G.M., Noll, R. van der & Seldeslachts, J. (2012). Let's Not Stick Together: Anticipation of Cartel and Merger Control in The Netherlands. De Economist, 160, (4), 357-376. Ewijk, C. van & Volkerink, M. (2012). Will Ageing Lead to a Higher Real Exchange Rate for the Netherlands? De Economist, 160, (1), 59-81. Hof, B, Heyma, A. & Hoorn, T. van der (2012). Comparing the performance of models for wider economic benefits of transport infrastructure: results of a Dutch case study. Transportation, 39, (6), 1241-1258. Kerste, M., Poort, J. & Eijk, N. van (2012). Valuing commercial radio licenses. European Journal of Law and Economics, 34, (1), 1-23. Koopmans, C., Rietveld, P. & Huijg, A. (2012). An Accessibility Approach to Railways and Municipal Population Growth, 1840-1930. Journal of Transport Geography, (25), 98104. http://www.sciencedirect.com/science/article/pii/S0014292112001493 Lieshout, R. (2012). Measuring the size of an airport's catchment area. Journal of Transport Geography, (25), 27-34. Lieshout, R.B.T., Matsumoto, H. (2012). New international services and the competitiveness of Tokyo International Airport. Journal of Transport Geography, (22), 53-64. Peer, S., Koopmans, C. & Verhoef, E.T. (2012). Predicting Travel Time Variability for CostBenefit Analysis. Transportation Research Part A: Policy and Practice, 79-90. Suau Sanchez, P. & Burghouwt, G. (2012). Connectivity levels and the competitive position of Spanish airports and Iberia's network rationalization. Journal of Air Transport Management, (18), 47-53. Wit, J.G. de & Zuidberg, J. (2012). The growth limits of the low cost carrier model. Journal of Air Transport Management. (21), 17-23. Other Baarsma, B.E. (2012). De rol van de ondernemingsraad bij het bevorderen van de kwaliteit van intern toezicht. Tijdschrift voor Toezicht, 3, (1), 56-62. Baarsma, B.E. & Lückerath-Rovers, M. (2012). De toegevoegde waarde van de voordrachtscommissaris. Maandblad voor accountancy en bedrijfseconomie, 86, 345355. Baarsma, B.E., Noll, R. van der & Kemp, R.G.M. (2012). Anticipatie op kartel- en concentratietoezicht. Tijdschrift voor Toezicht, 3, (2), 23-37. Bisschop, P., Kastoryano, S.P. & Klaauw, B. van der (2012). Effect van tippelzones op lokale criminaliteit. Tijdschrift voor Criminologie, 54, (4), 320-334. Buiren, K.H.S. van, Gerritsen, M., Leussink, L. & Voort, J. van der (2012). Het effect van aanbesteden op de kwaliteit van openbaar vervoer. TPEdigitaal, 6, (1), 63-74. Graaf, D. de, Putte, B. van den, Werff, S.G. van der & Kessels, R. (2012). Het motiverende effect van normatieve en afschrikwekkende boodschappen. Tijdschrift voor Toezicht, 3, (2), 50-62. Kolkman, J. & Zuidberg, J. (2011). Belastingen in de luchtvaart. TPEdigitaal, 5, (3), 4-15. Lieshout, R. & Matsumoto, H. (2011). Estimation of Route Choice Probabilities and Transfer Hub Market Shares of Passenger departing from Japan 2. Kansai Airport Review, (390), 18-20. (in Japanese). Matsumoto, H., Lieshout, R.B.T. (2012). The Era of Low-cost Carriers Starting in Japan 1: Foreign Incumbent LCCs and Japanese New Entrants. Kansai Airport Review, (404), 21-23. Matsumoto, H., Lieshout, R.B.T. (2012). The Era of Low-cost Carriers Starting in Japan 2: Estimation of Airlines' Market Shares. Kansai Airport Review, (405), 18-21. Matsumoto, H., Lieshout, R.B.T. (2012). The Era of Low-cost Carriers Starting in Japan 3: Suggestions from the US and Europe. Kansai Airport Review, (406), 40-43. Tieben, B. (2011). Economisch Evenwicht: de spanning tussen normatief principe en positieve wetenschap. Kwartaalschrift Economie, 7, (4), 587-606. Rosenboom, N.S.R. (2012). Career development after cartel prosecution: cartel versus noncartel managers. Journal of Competition Law and Economics, 8, (1), 145-165. Rosenboom, N. (2012). Hoe passen overeenkomsten met het oog op duurzaamheid binnen de rechtstreeks werkende uitzondering van het karteltoezicht? Tijdschrift voor Toezicht, 3, (1), 56-62. Veldhuis, J. & Matsumoto, H. (2011). Estimation of Route Choice Probabilities and Transfer Hub Market Shares of Passengers departing from Japan 1. Kansai Airport Review, (389), 18-20. (in Japanese). Zuidberg, J. & Matsumoto, H. (2011). Estimation of Route Choice Probabilities and Transfer Hub Market Shares of Passengers departing from Japan 3. Kansai Airport Review, (391), 18-20. (in Japanese). Article in journal - non-refereed Annema, J.A., Graaf, B. de & Koopmans, C. (2012). De leefomgeving in maatschappelijke kosten-batenanalyses van transportprojecten. Tijdschrift Vervoerswetenschap, 48, (2), 51-67. Article in journal – professional Aalbers, R., Kocsis, V. & Shestalova, V. (2012). Tarifering van decentrale opwekking elektriciteit. Economisch Statistische berichten, 97, (4633), 230-233. Baarsma, B., Buiren, K. van, Theeuwes, J. & Tieben, B. (2012, 11 June) WRR blijft in gebreke in leveren van praktisch regeringsadvies. Me Judice, http://www.mejudice.nl/artikel/836/wrr-blijft-in-gebreke-in-leveren-van-praktischregeringsadvies. Baarsma, B., Buiren, K. van, Theeuwes, J. & Tieben B. (2012, 30 April). WRR verliest zich in wensdromen. Me Judice, http://www.mejudice.nl/artikel/808/wrr-verliest-zich-inwensdromen Baarsma, B. (2012, 14 December). De woningmarkt en notariële dienstverlening. Economisch Statistische Berichten, 97, (4649&4650), 747. Baarsma, B. & Hartog, J. (201, 23 November). Levensberichten: Jules J.M. Theeuwes. Economisch Statistische Berichten, 97, (4648), 712. Baarsma, B.E., Kam, F. de, Linschoten, R., VerLoren van Themaat, W. & Varkevisser, M. (2012). Opereren binnen zorguitgavenkaders. Economisch Statistische Berichten, 97, (4638), 408-411. Baarsma, B.E. & Mutsaerts, M. (2012, 9 November). De prijs van bloed. Economisch Statistische Berichten, 97, (4647), 664-666. Baarsma, B.E. & Mutsaerts, M. (2012, 14 December). Naschrift bij: De prijs van bloed. Economisch Statistische Berichten, 97, (4649&4650), 767. Berden, C. (2012, 28 September). Succesvol jongerenwerk. Economisch Statistische Berichten, 97, (4644), 573. Buiren, K. van (2012, 6 July). Concurrentie bij OV-aanbestedingen. Economisch Statistische Berichten, 97, (4639&4640), 438. Buiren, K. van (2012, 21 April). Concurrentie is cruciaal voor slagen aanbesteding openbaar vervoer. Me Judice. http://www.mejudice.nl/artikel/800/concurrentie-is-cruciaalvoor-slagen-aanbesteding-openbaar-vervoer Heyma, A. (2012, 30 March). De kloof tussen koop en huur. Economisch Statistische Berichten, 97, (4632), 209. Heyma, A. & Theeuwes, J. (2012). Invloed flexibiliteit op productiviteit en werkgelegenheid. ESB Dossier, (4647S), 30-37. Heyma, A. (2012). InnovatieImpuls Onderwijs: experiment met onderwijsvernieuwing of experimenteel onderzoek? Pedagogische Studiën, (89), 379-381. Kerste, M., Kok, L. & Baarsma, B. (2012, 20 April). Winstuitkering ziekenhuizen welkom, Judice. met een paar aanpassingen. Me http://www.mejudice.nl/artikel/799/winstuitkering-ziekenhuizen-welkom-met-eenpaar-aanpassingen Kerste, M. & Kok, L. (2012, 14 December). Verzekeraars en het borgen van cruciale zorg. Economisch Statistische Berichten, 97, (4649&4650), 744-745. Koopmans, C. & Kok, L. (2012, 29 November). Afschaffing kinderopvangsubsidies verlaagt de welvaart. Me Judice. http://www.mejudice.nl/artikelen/detail/afschaffingkinderopvangsubsidies-verlaagt-de-welvaart Koopmans, C. & Theeuwes, J. (2012, 22 June). Arbeidsmarkt nog steeds inflexibel. Economisch Statistische Berichten, 97, (4637), 401. Krul, J. (2012, 21 December). Global connectivity. S+RO, (6), 35-37. Morselt, T. & Koopmans, C. (2012). Economisch onderzoek in het Deltaprogramma. Water Governance, (2), 16-22. Zuidberg, J. & Burghouwt, G. (2012, 27 April). De groeiende concurrentie van Emirates Airlines. Economisch Statistische Berichten, 97, (4634), 273. Zuidberg, J. (2012, 23 November). De snelle opkomst van prijsvechter Norwegian. Economisch Statistische Berichten, 97, (4648), 701. Article in magazine or newspaper – popular scientific Baarsma, B. (2012, 23 April). Fors inzetten op begrotingsoverschot. Het Financieele Dagblad, 7. Baarsma, B. (2012, 18 August). Zorg. NRC Handelsblad, Opinie en Debat, G500-bijlage 7 x to do, 4. Baarsma, B. & Buiren, K. van (2012, 11 June). Er is niets mis met aanbesteden thuiszorg. Trouw, 19. Baarsma, B., Moretto, M. & Poelman, M. (2012, 10 April). Tribunale delle imprese competente sui 'cartelli'. Il Sole 24 Ore, 20. Baarsma, B. & Theeuwes, J. (2012, 28 April). Marktwerking is een leerproces van almaar vallen en opstaan; Er is geen miraculeuze instantie die alles perfect kan regelen. Het Financieele Dagblad, 28. Banning, C., Derix, S. & Wester, J. (2012, 31 March). Waarin Rutte vooral niet moet snijden. B. Baarsma en J. Theeuwes werden geraadpleegd voor dit artikel. NRC Handelsblad, 1011. Banning, C. & Walle, E. van der (2012, 7 November). Het scenario van Rutte II is beter dan hoe Rutte I uitpakte. B. Baarsma over het nieuwe kabinet Rutte. NRC Handelsblad, 23. Battes, P. & Trappenburg, N. (2012, 7 December). Kartel is voor bedrijf gewoon te verleidelijk. B. Baarsma over kartelvorming. Het Financieele Dagblad, 11. Benali, A. (2012, 7 November). 'Onrust is mijn kracht'. Interview met B. Baarsma. Vogue Nederland, 176-181. Berg, M. van den (2012, 12 January). Nog meer klappen op de woningmarkt. B. Tieben over de situatie op de woningmarkt. BNR Nieuwsradio. http://www.bnr.nl/meernieuws/486365-1201/nog-meer-klappen-op-woningmarkt Berg, S. van der (2012, September). Istandbul Airport transformeert tot wereldspeler. J. Zuidberg en G. Burghouwt over Istanbul als internationale gateway. Luchtvaartnieuws, 5. Boersma, B. (2012, 13 January). Nederland zakt maar dat is niet erg. J. Theeuwes over Nederland in 2050 niet meer de 15de, maar de 24ste economie van de wereld. Sp!ts, 7. Boland, C. (2012, 7 September). Vacature: premier van Nederland. J. Theeuwes beoordeelt de lijsttrekkers. Intermediair, 28-33. Boersma, Y. (2012, 31 October). Halve stad vreest komst van de watertaxicowboy. B. Baarsma over concurrentie in de rondvaartbranche. Het Parool, 13. Bouwmeester, R. (2012, 14 July). Meer samenwerking mogelijk dan gedacht. Interview met R. van der Noll. Nieuwe Oogst, 20. Bremmer, D. (2012, 31 July). Air France-KLM in hevige turbulentie. G. Burghouwt over het verlies van Air France-KLM. Algemeen Dagblad, 2. Bronzwaer, C. (2012, 19 June). Next checkt: GroenLinks over de onbelaste reiskostenvergoeding. C. Koopmans over hoogopgeleiden en woon-werkverkeer. Nrc next. http://www.nrcnext.nl/blog/2012/06/19/next-checkt-groenlinks-over-de-onbelastereiskostenvergoeding/#more-171480 Buhre, I. (2012, 3 February). Vive la vie bohème. B. Baarsma over de invloed van bohemiens op de maatschappij. HP/De Tijd, (3), 70-71. Burghouwt, G. (2012, 23 December). De bloempjes van Catharina. Luchtvaartnieuws.nl. http://www.luchtvaartnieuws.nl/nl- NL/Article.cms/Columns/Guillaume_Burghouwt_De_bloempjes_van_Catharina Burghouwt, G. (2012, 15 October). Outdated of springlevend? Luchtvaartnieuws.nl. http://www.luchtvaartnieuws.nl/nlNL/Article.cms/Columns/Guillaume_Burghouwt_Outdated_of_springlevend Cats, R. (2012, 3 January). Werkloosheid groeit door crisisangst bij vrouwen; Nieuwe groepen op arbeidsmarkt. J. Theeuwes over werkloosheid door nieuwe groepen op de arbeidsmarkt. Het Financieele Dagblad, 1. Cohen, M. & Vanheste, T. (2012, 26 May). De mythes van flexibele arbeid. J. Theeuwes over de versoepeling van het ontslagrecht. Vrij Nederland, 10. Ceton, C. (2012). Terug naar af. L. Kok over de duurdere kinderopvang. GroenLinks Magazine, 6, 12-13. Couzy, M. (2012, 30 March). Discussie CPB en DNB 'schadelijk'. B. Baarsma over de discussie tussen het CPB en DNB over hoeveel het kabinet moet bezuinigen. Het Parool, 19. Couzy, M. (2012, 15 June). Het is niks en het wordt ook niks meer. B. Baarsma over de daling in consumentenvertrouwen. Het Parool, 8. Couzy, M. & Laan, M. (2012, 2 May). De eeuwige spagaat van de vakbeweging. J. Theeuwes over het verdwijnen van vakbonden. Het Parool, 8-9. Couzy, M. (17 November). Aantal werklozen stijgt explosief. A. Heyma over de stijgende werkloosheid in Amsterdam. Het Parool, 1. Couzy, M. (17 November). Crisis hakt erin, maar stad kan tegen een stootje. A. Heyma over de stijgende werkloosheid in Amsterdam. Het Parool, 30-31. Couzy, M. (17 November). Ontslaggolf treft Amsterdam. A. Heyma over de stijgende werkloosheid in Amsterdam. parool.nl. http://www.parool.nl/parool/nl/30/ECONOMIE/article/detail/3349631/2012/11/17/Onts laggolf-treft-Amsterdam.dhtml Couzy, M. & Zoelen, B. van (2012, 15 June). We geloven er niet meer in. B. Baarsma over de daling in consumentenvertrouwen. Het Parool, 1. De Jong, Y. (2012, 13 January). Air France-KLM blijft achter bij de grootste Europese concurrenten. G. Burghouwt over de invloed van de economische crisis op de Europese luchtvaart. Het Financieele Dagblad, 13. Dobber, L. (2012, 30 April). 'De Ser bracht arbeidsrust. Het is jammer als die verdwijnt'. J. Theeuwes over de Sociaal-Economische Raad. Trouw, 4. Dobber, L. (2012, 20 June). 'Nieuwe baan maakt ijverig'. Interview met J. Theeuwes. Trouw, 13. Dohmen, J. (2012, 7 July). De tijd van pamperen is voorbij. Interview met B. Baarsma. Elsevier, 68, (27), 130-131. Engen, P. van (2012, December). Ivar Roeleven in gesprek met Barbara Baarsma over financieel lui zijn, mystiek en statistiek, jaloeziepolitiek, simpelheid en nog veel meer. Fonds.nl, (4), 10-11. Gaalen, E. van (2012, 8 May). Crisis kost stad wellicht 760 miljoen. K. van Buiren over de stresstest voor de gemeenten Rotterdam. AD/Rotterdams Dagblad, 7. Gorgels, R.J. & Brink, L. van den (2012, September). 'Er moet gewoon brood op de plank.' Interview met J. Theeuwes. Sozavox, (4), 10-12. Hofs, Y. (2012, 8 May). Stresstests tonen zwakte steden A'dam en Eindhoven lijden onder vastgoedcrisis, problemen op arbeidsmarkt last voor R'dam. J. Theeuwes over de stresstest voor gemeenten. De Volkskrant, 24. Höltschi, R. (2012, 18 August). Die Niederlande – ein Erfolgsmodell mit Reformbedarf. J. Theeuwes over de Nederlandse economie. Neue Zürcher Zeitung, 28. Hoorntje, R. (2012). Next.checkt: 'Versoepeling van het ontslagrecht levert 2,5 miljard euro op'. J. Theeuwes over cijfers van de OECD. Nrc next, http://www.nrcnext.nl/blog/2012/06/22/next-checkt-%e2%80%98versoepeling-van-hetontslagrecht-levert-25-miljard-euro-op%e2%80%99/#more-171528 Jonker, S. (2012, 22 October). Onzekere toekomst beheerders. B. Baarsma over het beleggingsklimaat voor de komende jaren. Het Financieele Dagblad, 15. Karman, J. (2012, 7 May). Gemeente moet saneren; Stresstest: Amsterdam kan geen zware economische tegenwind aan. J. Theeuwes over de resultaten van de stresstest voor gemeenten. Het Parool, 1. Karman, J. (2012, 20 October). Rederijen verspelen zelf rondvaartbuit. B. Baarsma over concurrentie in de rondvaartbranche. Het Parool, 23. Keulen, W. (2012, 8 September). Wat stemt bekend Amsterdam. Interview met B. Baarsma. Parool, 20. Kiers, B. (2012, 16 November). Fusiegolf ziekenhuizen zet door. B. Baarsma over fuserende ziekenhuizen. Zorgvisie, 42, (46), 1. Kleijwegt, A. (2012, 17 August). Een half miljoen werklozen. En nu? Overheid moet regie nemen. J. Theeuwes over een oplossing voor de oplopende werkloosheid. Het Financieele Dagblad, 4. Kleijwegt, A. & Brinker, G. den (2012, 25 May). Stel versoepeling ontslagrecht uit. J. Theeuwes over de plannen voor de versoepeling van het ontslagrecht. Het Financieele Dagblad, 3 Kleijwegt, A. (2012, 29 June). Middengroepen in de verdrukking; Nieuwe arbeidsmarktkansen vooral voor hoger en lager opgeleiden. A. Heyma over de verdrukking van middengroepen op de arbeidsmarkt. Het Financieele Dagblad, 3. König, E. (2012, 10 October). VBO Makelaar dagvaardt huizenwebsite Funda vanwege misbruik machtspositie. B. Baarsma over machtsmisbruik door Funda. Nrc.nl. http://www.nrc.nl/nieuws/2012/10/10/vbo-makelaar-dagvaart-huizenwebsite-fundavanwege-misbruik-machtspositie/ König, E. (2012, 11 October). Aanklacht tegen Funda: misbruik machtspositie. B. Baarsma over machtsmisbruik door Funda. Nrc next, 8. König, E. (2012, 11 October). VBO sleept Funda voor de rechter. B. Baarsma over machtsmisbruik door Funda. NRC Handelsblad, 28. Koopmans, C. (2012, 9 June). Snijd in de uitgaven voor infrastructuur, want de mobiliteit groeit bijna niet meer. Het Financieele Dagblad, 28. Koopmans, C. & Hof, B. (2012, 10 July). Geen nieuwe 'Betuwelijn' in het IJmeer. NRC Handelsblad, Opinie. Koops, R. (2012, 17 October). Rondvaartbranche moet op de schop. B. Baarsma over concurrentie in de rondvaartbranche. De Telegraaf, 11. Koot, J. (2012, 14 November). Kabinet bezuinigt toch op asfalt. C. Koopmans over bezuinigen op infrastructuur. Het Financieele Dagblad, 5. Korevaar, G. (2012, September). Budget kan omlaag. C. Koopmans over bezuinigingen Rijkswaterstaat. EVO Magazine, 12-14. Kruyswijk, M. (2012, 17 October). 'Grachten minder vol en juist veiliger'. Interview met B. Baarsma. Het Parool, 6. Meesterburrie, A. (2012, 21 September). Lofzang op hebzuchtige bankier. B. Tieben over de positieve kanten van hebzucht. BNR Nieuwsradio. http://www.bnr.nl/topic/beurs/259478-1209/lofzang-op-hebzuchtige-bankier Meijer, S. (2012, 14 September). Premier in spe. Interview met B. Baarsma. VPRO Gids, 36, 78. Noort, W. Van (2012, 19 October). Marktwerking onder vuur. B. Baarsma over marktwerking. Elsevier, 68, (42), 48-52. Olsthoom, S. (2012, 28 February). Ziekenhuizen na drie jaar vogelvrij voor durfkapitaal; Wachttijd winst weinig effectief. M. Kerste over winstuitkeringen door ziekenhuizen. Het Financieele Dagblad, 4. Pariodon, M. van (2012). De zin aan het werk; over bezieling in het leven en werk. Interview met B. Baarsma. (pp. 78-81) Amsterdam: uitgeverij Wereldbeeld. Pel, A.F. (2012, 18 October). Pleziervaart duurder voor meer rondvaart. B. Baarsma over concurrentie in de rondvaartbranche. Metro. Persson, M. (2012, 20 July). Werkloosheid sinds 1996 niet zo hoog. J. Theeuwes over de hoge werkloosheid. De Volkskrant, 3. Redactie AD.nl (2012, 17 October). 'Vergunning rondvaartboten moet voor iedereen die aan eisen voldoet'. B. Baarsma over concurrentie in de rondvaartbranche. AD.nl. http://www.ad.nl/ad/nl/1041/Amsterdam/article/detail/3333010/2012/10/17/Marktrondvaartboten-Amsterdam- openstellen.dhtml?utm_source=RSSReader&utm_medium=RSS Redactie Algemeen Dagblad (2012, 15 November). Nederlandse ziekenhuizen eisen goedkoper donorbloed. B. Baarsma over de prijs van bloed. Algemeen Dagblad, 13. Redactie parool.nl (2012, 17 October). 'Vergunning rondvaartboten moet voor iedereen die aan eisen voldoet'. B. Baarsma over concurrentie in de rondvaartbranche. Parool.nl. http://www.parool.nl/parool/nl/224/BINNENLAND/article/detail/3333010/2012/10/17/ Vergunning-rondvaartboten-moet-voor-iedereen-die-aan-eisen- voldoet.dhtml?utm_source=RSSReader&utm_medium=RSS Redactie Provinciale Zeeuwse Courant (2012, 8 May). Miljoenenverlies steden bij doemscenario's. J. Theeuwes over de stresstest voor gemeenten. Provinciale Zeeuwse Courant. Redactie NU.nl (2012, 16 February). A380 bedreigt KLM. J. Veldhuis over de bedreiging van KLM door de A380 van Emirates Airlines die dagelijks tussen Amsterdam en Dubai gaat vliegen. NU.nl. http://www.nu.nl/economie/2742231/a380-bedreigt-klm.html Redactie NU.nl (2012, 7 May). Crisis kan gemeenten miljarden kosten. J. Theeuwes over de stresstest voor gemeenten. NU.nl. http://www.nu.nl/economie/2804276/crisis-kangemeenten-miljarden-kosten.html Redactie NU.nl (2012, 10 October). 'Funda misbruikt machtspositie'. B. Baarsma over een ongelijk speelveld tussen NVM-makelaars en niet-NVM-makelaars. NU.nl. http://www.nu.nl/geldzaken/2930603/funda-misbruikt-machtspositie.html Redactie Red (2012, November). 'Op mijn werk zul je me nooit in een spijkerbroek zien'. Interview met B. Baarsma. Red, 053. Redactie Reformatorisch Dagblad (2012, 7 May). Gemeenten gevoelig voor crisis. J. Theeuwes over de stresstest voor gemeenten. Reformatorisch Dagblad, 7. Redactie RTV (2012, 17 October). Rondvaartmarkt moet op de schop. B. Baarsma over concurrentie in de rondvaartbranche. RTV Noord-Holland. http://www.rtvnh.nl/nieuws/89465/Markt+rondvaartboten+moet+anders Redactie Telegraaf (2012, 15 August). Alle seinen bij ons staan op rood. B. Baarsma over de groeicijfers van de Nederlandse economie. De Telegraaf, 21. Redactie Telegraaf (2012, 7 May). Gemeenten bereiden zich voor op doemscenario. J. Theeuwes over de stresstest voor gemeenten. De Telegraaf. http://www.telegraaf.nl/binnenland/12075465/__Stresstest_voor_gemeenten__.html Redactie Telegraaf (2012, 16 May). Kansen op woningmarkt; Nu huis kopen: gok of wijsheid. B. Baarsma over de woningmarkt. De Telegraaf, 39. Redactie Telegraaf (2012, 22 May). Oudere werknemer uit zijn veilige gouden kooi. J. Theeuwes over het afschaffen van de ontslagvergoeding. De Telegraaf, 23. Redactie Telegraaf (2012, 14 November). Nederlands bloed te duur. B. Baarsma over de prijs van bloed. De Telegraaf, 3. Redactie Trouw (2012, 8 May). Hebben de steden hun zaakjes op orde? K. van Buiren over de stresstest voor gemeenten. Trouw, 14. Redactie Trouw.nl (2012, 17 October). 'Vergunning rondvaartboten moet voor iedereen die aan eisen voldoet'. B. Baarsma over concurrentie in de rondvaartbranche. Trouw.nl. http://www.trouw.nl/tr/nl/4492/Nederland/article/detail/3333010/2012/10/17/Vergunnin g-rondvaartboten-moet-voor-iedereen-die-aan-eisenvoldoet.dhtml?utm_source=RSSReader&utm_medium=RSS Redactie Uitzendwerk (2012, April). Hogere kosten en dalende werkgelegenheid uitzendkrachten. L. Kok en M. Lammers over loondoorbetaling bij ziekteverzuim door uitzendbureaus. Uitzendwerk, (2), 1. Redactie Uitzendwerk (2012, June). 'Rol voor uitzendbureaus in efficiënter arbeidsmarktbeleid' J. Theeuwes over de Nederlandse arbeidsmarkt. Uitzendwerk, (3), 1. Redactie Verzekerd! (2012, July). 'Het is te duur om nu uit de euro te stappen' Interview met B. Baarsma. Verzekerd!, (3), 10-14. Redactie Volkskrant.nl (2012, 17 October). 'Vergunning rondvaartboten moet voor iedereen die aan eisen voldoet'. B. Baarsma over concurrentie in de rondvaartbranche. Volkskrant.nl. http://www.volkskrant.nl/vk/nl/2686/Binnenland/article/detail/3333010/2012/10/17/Ver gunning-rondvaartboten-moet-voor-iedereen-die-aan-eisenvoldoet.dhtml?utm_source=RSSReader&utm_medium=RSS Redactie Z24 (2012, 5 March). Maikel Volkerink: 150.000 banen beschikbaar in regio Amsterdam. M. Volkerink over de toekomstige banengroei in Amsterdam. Z24. http://www.z24.nl/analyse/artikel_296767.z24/Maikel_Volkerink__150.000_banen_bes chikbaar_in_regio_Amsterdam.html Redactie Zorgvisie (2012, 13 December). Engelse specialisten verdienen het meest. L. Kok over medisch specialisten in Engeland. Zorgvisie executive, (20), 2. Rodenburg, S. (2012, 25 May). BNR FLEX - Over de flexibele onderneming. J. Theeuwes over flexwerkers. BNR Nieuwsradio. http://www.bnr.nl/evenement/denieuweonderneming/526313-1204/bnr-flex---over-deflexibele-onderneming Rosenberg, E. (2012, 3 April). Fabrikanten houden mondzorg in de tang. B. Baarsma over de handel in tandartsproducten. NRC Handelsblad, 24-25. Severt, S. (2012, 14 February). Een bèta verdient niet minder. E. Berkhout over de (vermeende) loonachterstand van bèta's. Het Financieele Dagblad, 3. Schutten, H. (2012, 8 June). De oudere werknemer wordt vogelvrij. J. Theeuwes over de versoepeling van het ontslagrecht. Het Parool, 8-9. Smit, P. (2012, 11 August). Groei Nederlandse export halveert. Het is 'zoeken naar lichtpuntjes' in CBS-graadmeters voor de economie. J. Theeuwes over de daling van de exportgroei in Nederland. De Volkskrant, 23. Stabenow, M. (2012, 31 July). Die Stärke der Niederlande ist der Export. J. Theeuwes over de Nederlandse economie. Frankfurter Allgemeine Zeitung, 10. Stam, J. (2012, 18 October). 'Taxi-ellende dreigt in grachten'. B. Baarsma over concurrentie in de rondvaartbranche. De Volkskrant, 3. Tempelman, C. & Kok, L. (2012, 14 September). Bekostiging huisarts moet niet veranderen. Het Financieele Dagblad, 9. Teulings, C. & Wilbrink, M. (2012, 28 February). Brenger van ongemakkelijk nieuws. B. Baarsma over de ramingen van het CPB. Nederlands Dagblad. http://www.nd.nl/artikelen/2012/februari/27/cpb-is-brenger-van-ongemakkelijk-nieuws Teunis, H.S. (2012, 25 January). Norwegian bestelt 222 vliegtuigen. G. Burghouwt over Noorse luchtvaartmaatschappij Norwegian. BNR Beurs en Economie. http://www.bnr.nl/topic/beurs/444332-1201/norwegian-bestelt-222-vliegtuigen Teunis, H.S. (2012, 26 September). Brussel wil luchtvaart uit slop trekken door samenwerking. G. Burghouwt over gemeenschappelijke luchtvaartverdragen. BNR Mobiliteit. http://www.bnr.nl/topic/mobiliteit/386890-1209/brussel-wil-luchtvaart-uit-sloptrekken-door-samenwerking Tieben, B. (2012, 29 September). Liever een beunhaas dan een angsthaas. Het Financieele Dagblad, 33. Til, R. van (2012, October). SEO-directeur Barbara Baarsma: 'Funda misbruikt machtspositie.' Interview met B. Baarsma. VastgoedAdviseur, 26, (5), 7-9. Trappenburg, N. (2012, 10 February). Rijk houdt met adviesbureau topambtenaren commerciële adviseurs buiten de deur. B. Baarsma over eigen adviesbureaus van het Rijk. Het Financieele Dagblad, 5. Trappenburg, N. (2012, 5 October). Toezichthouder NMa van plan actieradius naar andere werkterreinen uit te breiden. B. Baarsma over uitbreiden takenpakket NMa. Het Financieele Dagblad, 3. Troost, N. (2012, 17 August). 100 duizend werklozen erbij in één jaar tijd. J. Theeuwes over de oplopende werkloosheid. De Volkskrant, 6. Troost, N. (2012, 27 November). De werkloosheid in kaart gebracht. A. Heyma over de Nederlandse werkloosheid. De Volkskrant, 4-5. Troost, N. (2012, 1 December). Polen maken Nerland rijker. E. Berkhout over tijdelijke arbeidsmigratie. De Volkskrant, 22. Valk, M. de (2012, 4 April). Nieuwkomers in de SER. B. Baarsma over haar benoeming als SER-kroonlid. SER Magazine, 14-16. Veilbrief, A. (2012). Barbara Baarsma: 'De hobbyisten moeten eruit'. Interview met B. Baarsma. NMI, (3), 10-12. Velde, F. van de (2012, 24 March). Viviane en haar sloophamer. B. Baarsma over een quotum voor vrouwen aan de top. Elsevier, 68, (12), 40. Verbraeken, H. (2012, 11 October). Makelaars dagvaarden huizensite Funda. B. Baarsma over machtsmisbruik door Funda. Het Financieele Dagblad, 3. B Vermeer, O. (2012, 4 June). Senaat op zoek naar waarheid en naar oplossingen marktwerking. B. Baarsma over het parlementair onderzoek naar liberalisering van sectoren en privatisering van ex-staatsbedrijven. NRC Handelsblad, 4-5. Vermeulen, S. (2012, November). Vleugellam; vlucht gevaar. G. Burghouwt over de conjunctuurgevoeligheid van de luchtvaartsector. Quote, 82. Visser, R. (2012, 17 October). Roer moet om in Amsterdamse grachten. B. Baarsma over concurrentie in de rondvaartbranche. Sp!ts. http://www.spitsnieuws.nl/archives/binnenland/2012/10/roer-moet-om-in-amsterdamsegrachten Wansink, W. (2012, November). Markt is geen vriend of vijand. B. Baarsma over marktwerking. Skipr Magazine, 20-23. Weezel, T.G. van (2012, 1 March). De markt doet zijn werk, de consument profiteert. B. Baarsma over bescherming van het notariaat. De Volkskrant, 11. Weezel, T.G. van (2012, 26 March). 'Er is ruimte voor hoger tekort' CPB-directeur Teuling voorziet dat Brussel coulant zal zijn als Nederland echt hervormt. B. Baarsma over de bezuinigingen en het begrotingstekort. De Volkskrant, 3. Westerman, T. (2012, 9 February). Overheden leren weinig van hun miljoenenmissers. B. Baarsma over risicobeheer bij gemeenten. De Telegraaf, 31. Wilbrink, M. (2012, 28 January). Binnenhof wacht op lastig CPB-bericht. B. Baarsma over de economische ramingen van het CPB. Dagblad van het Noorden, 16. Wilbrink, M. (2012, 28 February). Planbureau 'We moeten het koesteren, het disciplineert het debat' - Binnenhof wacht op pijnlijk verhaal CPB. B. Baarsma over de economische ramingen van het CPB. De Stentor. Wismans, L. (2012, 14 November). Geen master? Verdacht! E. Berkhout over kiezen voor een master. Nrc next, loopbaan. Weeda, F. & Wester, J. (2012, 19 November). De patiënt mag niet meer zelf kiezen. B. Baarsma over de restitutiepolis en de naturapolis bij zorgverzekeringen. NRC Handelsblad, 10. Book / book chapter – refereed Tieben, B. (2012). The Concept of Equilibrium in Different Economic Traditions: an historical investigation. Edward Elgar, Cheltenham. Book / book chapter – non-refereed Graaf, D. de, Putte B. van den & Werff, S. van der (2011). Het motiverende effect van normatieve en afschrikwekkende boodschappen. Een stated preference-benadering. Den Haag: Boom Lemma. Theeuwes, J. (2012). Een, twee, drie, economie. In: H. van Dalen & K. Koedijk (eds.) Een nieuwe kijk op economie gevraagd. (pp. 11-16), www.mejudice.nl. Book / book chapter – professional Bree, R. de, Gerbrandy, A., Kohlen, J.I., Noll, R. van der, Plomp, M.J. & Meulen, B.M.J. van der (2012). Wetsvoorstel stroomlijning markttoezicht ACM – bijdrage Vereniging voor Mededingingsrecht. Book / book chapter – popular scientific Baarsma, B.E. (2012). Overgeleverd aan de waan van de dag; Over het nut van economische kennis voor leraren. In: G. van Stralen & R. Gude (eds.) ….En Denken – Bildung voor leraren. (pp. 98-105), Leusden: ISVW Uitgevers. Theeuwes, J. (2012). Werk is altijd beter dan geen werk. In: B. van Boggelen & A. van der Gaag (eds.) Stempel (on)geschikt! - PAMFLET 2.NL. www.stempelgeschikt.nl. Conference paper – non-refereed Matsumoto, H. & Lieshout, R.B.T. (2012, 27-30 June). The era of low-cost carriers starting in Japan: Development and prospect for the future. Annual Conference of the Air Transport Research Society (ATRS), Tainan, Taiwan. Report – professional Baarsma, B. & Barendrecht, M. (2012). Mediation 2.0. SEO-rapport, 2012-35. Amsterdam: SEO. Baarsma, B. (2012). Beter laat dan nooit. SEO-rapport, 2012-49. Amsterdam: SEO. Baarsma, B., Kam, F. de, Linschoten, R., VerLoren van Themaat, W. & Varkevisser, M. (2012). Advies commissie macrobeheersinstrument. SEO-rapport, 2012-43. Amsterdam: SEO. Baarsma, B., Risseeuw, P. & Rosenboom, N. (2012). Het moet van twee kanten komen. SEOrapport, 2012-33. Amsterdam: SEO. Baarsma, B. & Voort, J. van der (2012). Het roer moet om. SEO-rapport, 2012-70. Amsterdam: SEO. Berden, C. & Kok, L. (2012). De waarde van logopedie. SEO-rapport, 2012-69. Amsterdam: SEO. Berden, C. & Tempelman, C. (2012). Afbouw van het Wsw-bestand. SEO-rapport, 2012-59. Amstedam: SEO. Berden, C., Weda, J. & Noll, R. van der (2012). Economische kerngegevens Nederlandse film. SEO-rapport, 2012-74. Amsterdam: SEO. Berkhout, E. & Hof, B. (2012). De economische bijdrage van tijdelijke arbeidsmigranten. SEO-rapport, 2012-88. Amsterdam: SEO. Berkhout, E., Prins, J. & Werff, S. van der (2012). Studie & Werk 2012. SEO-rapport, 201236. Amsterdam: SEO. Berkhout, E., Sattinger, M., Theeuwes, J. & Volkerink, M. (2012). Into the gap. SEO-rapport, 2012-30. Amsterdam: SEO. Bisschop, P., Koopmans, C., Lieshout, R., Prins, J. & Volkerink, M. (2012). Het betere werk. SEO-rapport, 2012-80. Amsterdam: SEO. Buiren, K.. van, Gerritsen, M., Leussink, L. & Smits, T. (2012). Stresstest gemeente Breda. SEO-rapport, 2012-28. Amsterdam: SEO. Buiren, K.H.S. van, Gerristen, M., Leussink, L. & Smits, T.C. (2012). Stresstest gemeente Leidschendam-Voorburg. SEO-rapport, 2012-61. Amsterdam: SEO. Buiren, K.H.S. van, Gerritsen, M., Leussink, L. & Smits, T.C. (2012). Stresstest gemeente Tilburg. SEO-rapport, 2012-64. Amsterdam: SEO. Buiren, K.H.S. van, Gerritsen, M., Smits, T.C. & Leussink, L. (2012). Stresstest gemeente Haarlemmermeer. SEO-rapport, 2012-73. Amsterdam: SEO. Buiren, K.H.S. van, Gerritsen, M., Smits, T.C. & Leussink, L. (2012). Stresstest gemeente Zoetermeer. SEO-rapport, 2012-72. Amsterdam: SEO. Buiren, K. van, Theeuwes, J., Gerritsen, M., Leussink, L. & Voort, J. van der (2012). Stresstest gemeente Eindhoven. SEO-rapport, 2012-17. Amsterdam: SEO. Buiren, K. van, Theeuwes, J., Gerritsen, M., Leussink, L. & Voort, J. van der (2012). Stresstest gemeente Den Haag. SEO-rapport, 2012-16. Amsterdam: SEO. Buiren, K. van, Theeuwes, J., Gerritsen, M., Leussink, L. & Voort, J. van der (2012). Stresstest gemeente Rotterdam. SEO-rapport, 2012-15. Amsterdam: SEO. Buiren, K. van, Theeuwes, J., Gerritsen, M., Leussink, L. & Voort, J. van der (2012). Stresstest gemeente Amsterdam. SEO-rapport, 2012-14. Amsterdam: SEO. Buiren, K.H.S. van & Voort, A.J.M. van der (2012). Financieel-economische beoordeling Exploitatiebijdrage Veerdienst Gorinchem. SEO-rapport, 2012-03. Amsterdam: SEO. Daniels, B., Tieben, B., Weda, J., Hekkenberg, M., Smekens, K. & Vethman, P. (2012). Kosten en baten van CO2-emissiereductie maatregelen. SEO-rapport, 2012-32. Amsterdam: SEO & ECN. Graaf, D. de, Berg, E. van den, Dosker, R., Houkes, A., Pass, J. & Volkerink, M. (2011). Tussenmeting versterking functiemix 2011. SEO-rapport, 2011-57. Amsterdam: SEO. Hassink, W., Klaauw, B. van der, Maasacker, M van, Schaasberg, W., Straathof, B., Theeuwes, J., Dirkmaat, T., Gelissen, T., Heijs, J. & Klomp, L. (2012). Durf te meten. SEO-rapport, 2012-90. Den Haag: Ministerie van Economische Zaken. Heyma, A. & Prins, J. (2012). Effect woonsituatie op arbeidsaanbod. SEO-rapport, 2012-25. Amsterdam: SEO. Heyma, A. & Volkerink, M. (2012). Actualisatie regionale arbeidsmarktcijfers en –prognoses Noord-Holland 2012. SEO-rapport 2012-84. Amsterdam: SEO. Heyma, A., Wartenbergh-Cras, F., Berg, E. van den, Muskens, M. & Kurver, B. (2012). Nulmeting InnovatieImpuls Onderwijs. SEO-rapport, 2012-11. Amsterdam: SEO. Hof, B. & Rougoor, W. (2012). Verplaatsing industrie: update 2012. SEO-rapport, 2012-85. Amsterdam, SEO. Kerste, M., Baarsma, B., Rosenboom, N. & Risseeuw, P. (2012). Ongezien, onverkocht? SEO-rapport, 2012-08. Amsterdam: SEO. Kerste, M., Weda, J., Rosenboom, N., Smits, T., Poort, J. & Eijk, N. van (2012). Waarde verlenging mobiele vergunningen. SEO-rapport, 2012-75. Amsterdam: SEO. Kok, L., Berden, C. & Koopmans, C. (2012). De waarde van 'Kies nu voor Kinderen'. SEOrapport, 2012-67. Amsterdam: SEO. Kok, L., Burdorf, L., Rijn, R. van & Theeuwes, J. (2012). Fit-4-Work: een ex-ante kostenbaten analyse. SEO-rapport, 2011-68. Amsterdam: SEO. Kok, L. (2012). Kosten en baten Thuisbegeleiding voor psychiatrische patiënten. SEOrapport, 2012-21. Amsterdam: SEO. Kok, L., Lammers, M. & Tempelman, C. (2012). Remuneration of medical specialists. SEOrapport, 2012-77. Amsterdam: SEO. Lammers, M. & Kok, L. (2012). Kosten-batenanalyse diëtetiek. SEO-rapport, 2012-76. Amsterdam: SEO. Lammers, M., Kok, L. & Tempelman, C. (2012). Effecten van invoering loondoorbetaling bij ziekte door uitzendbureaus. SEO-rapport 2012-22. Amsterdam: SEO. Noll, R. van der, Baarsma, B., Rosenboom, N. & Voort, J. van der (2012). An international comparison of the abuse of dominance. SEO-rapport, 2011-63. Amsterdam: SEO. Noll, R. van der, Gompel, S. van, Guibault, L., Weda, J., Poort, J., Akker, I. & Breemen, K. (2012). Flexible Copyright. SEO-rapport, 2012-60. Amsterdam: SEO. Noll, R. van der, Tieben, B., Kocsis, V., Akker, I., Bronckers, S. & Lots, P. (2012). Veiligheidsnormen voor laagspanningsnetten: Technische en economische analyse. SEO-rapport, 2012-09. Amsterdam: SEO. Rij, C. van, Koopmans, C. & Mevissen, J. (2012). Arbeidsvoorwaarden voor ambtenaren. SEO-rapport, 2011-34. Amsterdam: SEO. Risseeuw, P. (2012). Marktaandelen volmachtkanaal 2011. SEO-rapport, 2012-79. Amsterdam: SEO. Rosenboom, N. & Tieben, B. (2012). Marktmonitor private aanbieders van beroepsopleidingen. SEO-rapport, 2012-02. Amsterdam: SEO. Tempelman, C., Berden, C., Heekelaar, M. & Kok, L. (2012). Bouwstenen verdeelmodel participatiebudget. Hoofdrapport. SEO-rapport, 2011-69. Amsterdam: SEO. Tempelman, C., Berden, C., Heekelaar, M. & Kok, L. (2012). Bouwstenen verdeelmodel participatiebudget. Technisch eindrapport. SEO-rapport, 2011-70. Amsterdam: SEO. Tempelman, C. & Berden, C. (2012). Herschatting verdeelmodel WWB en historische verdeling nieuwe doelgroep. SEO-rapport, 2012-37. Amsterdam: SEO. Tempelman, C. (2012). Winst- en verliesgevende verzekerden. SEO-rapport, 2012-31. Amsterdam: SEO. Theeuwes, J., Lammers, M. & Volkerink, M. (2012). Prikkels voor productiviteit. SEOrapport, 2012-45. Amsterdam: SEO. Tieben, B., Baarsma, B. & Berden, C. (2012). Vraagimpuls voor de scholingsdeelname. SEOrapport, 2012-20. Amsterdam: SEO. Tieben, B. & Kocsis, V. (2012). Analyse kopersmacht als basis voor tariefregulering in de vervoerssector. SEO Notitie. Amsterdam: SEO. Tieben, B., Kocsis, V., Rosenboom, N. & Noll, R. van der (2012). Economische analyse televisiemarkt. Reactie op het OPTA Oordeel van december 2011. SEO-rapport, 2012-54. Amsterdam: SEO. Tieben, B., Noll, R. van der, Rosenboom, N. & Kocsis, V. (2012). Efficiënt en effectief reguleren. SEO-rapport, 2012-04. Amsterdam: SEO. Volkerink, M., Theeuwes, J., Prins, J., Heyma, A. & Dur, R. (2011). Een verkenning van de toekomstige arbeidsmarkt van de overheid. SEO-rapport, 2011-71. Amsterdam: SEO. Volkerink, M., Theeuwes, J., Heyma, A., Dosker, R., Prins, J. & Risseeuw, P. (2012). De toekomst van de arbeidsmarkt in de Metropoolregio Amsterdam tot 2016. SEOrapport, 2012-01. Amsterdam: SEO. Weda, J., Noll, R. van der, Akker, I., Poort, J., Gompel, S. van & Leenheer, J. (2012). Digitale drempels. SEO-rapport, 2012-41. Amsterdam: SEO. Werff, S. van der, Volkerink, M., Heyma, A. & Bisschop, P. (2012). Wat maakt oudere werknemers aantrekkelijk? SEO-rapport, 2012-63. Amsterdam: SEO. Zuidberg, J. & Veldhuis, J. (2012). The role of regional airports in a future transportation system. SEO-rapport, 2012-05. Amsterdam: SEO. Report – working- and discussion papers Aalbers, R., Shestalova, V. & Kocsis, V. (2012). Innovation policy for directing technical change in the power sector. CPB Discussion Paper 223. Den Haag: CPB. Baarsma, B. (2012). Blijft mediation de eeuwige belofte of wordt het een volwassen markt? SEO Discussion Paper 68. Amsterdam: SEO. Burghouwt, G. & Dobruszkes, F. (2012). The (mis)fortunes of exceeding a small local air market: comparing Amsterdam and Brussels. Ewijk, C. van & Volkerink, M. (2012). Will ageing lead to a higher real exchange rate for the Netherlands? CPB Discussion Paper 197. Den Haag: CPB. Lammers, M. (2012). The effects of savings on reservation wages and search effort. Netspar Discussion Paper 01/2012-023. Tilburg: Netspar. Rosenboom, N. (2012). Interpretatie uitzonderingscriteria door NMa voor samenwerking in verband met duurzaamheid. SEO Discussion Paper 69. Amsterdam: SEO. Tempelman, C. & Houkes-Hommes, A. (2012). What stops households from taking up much needed benefits? SEO Discussion Paper 70. Amsterdam: SEO. Media appearance Baarsma, B. (2012, 21 August). B. Baarsma over de eurocrisis. EenVandaag. http://www.eenvandaag.nl/buitenland/41108/hoe_is_het_met_de_eurocrisis_ Baarsma, B. (2012, 15 February). B. Baarsma over de economische recessie. De Wereld Draait Door. http://dewerelddraaitdoor.vara.nl/media/87375 Baarsma, B. (2012, 9 February). Wat kost een biertje? B. Baarsma over concurrentie op de biermarkt. KRO De Rekenkamer. http://www.uitzendinggemist.nl/afleveringen/1238837 Baarsma, B. (2012, 25 January). B. Baarsma over de schuldencrisis. De Wereld Draait Door. http://dewerelddraaitdoor.vara.nl/media/85813 Baarsma, B. (2012, 3 December). B. Baarsma over de Amsterdamse taximarkt. EenVandaag. http://www.eenvandaag.nl/binnenland/42051/amerikanen_willen_amsterdamse_taxim arkt_veroveren Baarsma, B. (2012, 10 December). B. Baarsma over tegenvallende groeicijfers. Nieuwsuur. http://nieuwsuur.nl/video/450188-dnb-economie-krimpt-verder.html Baarsma, B. (2012, 1 March). B. Baarsma over tegenvallende groeicijfers van het CPB. De Wereld Draait Door. http://dewerelddraaitdoor.vara.nl/media/88281 Baarsma, B. (2012, 10 November). B. Baarsma over het nieuwe kabinet. Nieuwsuur. http://nieuwsuur.nl/onderwerp/439101-het-einde-van-tien-jaar-politieke-crisis.html. Baarsma, B. (2012, 17 October). 'Markt rondvaartboten openstellen'. B. Baarsma over concurrentie in de rondvaartbranche. AT5 Zakelijk. http://www.at5.nl/artikelen/88472/markt-rondvaartboten-openstellen. Baarsma, B. (2012, 2 September). De lijsttrekker uitgedaagd door B. Baarsma. Buitenhof. http://www.uitzendinggemist.nl/afleveringen/1285933 Baarsma, B. (2012, 10 September). Visionairs over Nederland in 2030. B. Baarsma over de toekomst van Nederland. Altijd wat. http://altijdwat.ncrv.nl/nieuwsblogs/visionairs-over-nederland-in-2030 Baarsma, B. (2012, 20 September). Aflevering 2 van Premier Gezocht met B. Baarsma als coach. Premier Gezocht. http://programma.vpro.nl/premiergezocht/afleveringen/aflevering-twee.html Baarsma, B. (2012, 13 September). Aflevering 1 van Premier Gezocht met B. Baarsma als coach. Premier Gezocht. http://programma.vpro.nl/premiergezocht/afleveringen/aflevering-een.html Burghouwt, G. (2012, 28 January). Noorse prijsvechter bestelt meer dan 200 vliegtuigen. Tros Radio Nieuwsshow. http://www.tros.nl/tros-radio-tips/nieuwsshow/nieuwsshow- uitzendingen/item/?tx_trosradio%5bitemid%5d=49877&cHash=eab0a923551d73908 20137a508ca1c9c Burghouwt, G. (2012, 25 January). Norwegian bestelt 222 vliegtuigen. G. Burghouwt over Noorse luchtvaartmaatschappij Norwegian. BNR Beurs en Economie. http://www.bnr.nl/topic/beurs/444332-1201/norwegian-bestelt-222-vliegtuigen Theeuwes, J. (2012, 8 August). J. Theeuwes over de uitstroom van 65-plussers op de arbeidsmarkt door de vergrijzing. RTL Nieuws. http://www.rtl.nl/xl/#/u/17488100-a6b8-4039-b9ea-3a6b01d12a5f Theeuwes, J. & Buiren, K. van (2012, 7 May). Stresstest voor de gemeente. Radio 1 Journaal. http://weblogs.nos.nl/radio1journaal/2012/05/07/stresstest-voor-de-gemeente/ Tieben, B. (2012, 12 January). B. Tieben over klappen op de woningmarkt. BNR Nieuwsradio. http://www.bnr.nl/meernieuws/486365-1201/nog-meer-klappen-opwoningmarkt Tieben, B. (2012, 29 March). B. Tieben over privatisering deeltijdonderwijs. Folia FM. Tieben, B. (2012, 2 October). B. Tieben over graaiende bankiers. BNR Nieuwsradio. Tieben, B. (2012, 27 September). B. Tieben over concurrentie op de energiemarkt. RTL Nieuws. http://www.rtl.nl/components/actueel/rtlnieuws/2012/09_september/27/binnenland/N Ma_energierekening_kan_tot_500_euro_lager.xml Tieben, B. (2012, 21 September). B. Tieben over de positieve kanten van hebzucht. BNR Nieuwsradio. http://www.bnr.nl/topic/beurs/259478-1209/lofzang-op-hebzuchtigebankier Volkerink, M. (2012, 5 March). Maikel Volkerink over de arbeidsmarkt in de regio Amsterdam. M. Volkerink over de toekomstige banengroei in Amsterdam. Me Judice Video. http://www.mejudice.nl/video-detail/200 Editorship Baarsma, B. (2012). Member of the Editorial Board Tijdschrift voor Toezicht. Burghouwt, G. (2012). Member of the Editorial Board Journal of Air Transport Management. Keynote/invited talk Baarsma, B.E. (2012, 27 August). Hervorming van de tweede pijler is noodzakelijk. APG Summercourse, Santpoort. Baarsma, B.E. (2012, 24 February). Boer zoekt duurzaamheid; Publiek belang en duurzaamheid in de productie van varkensvlees en glasgroenten. Seminar Marktwerking en duurzaamheid in agrofood en tuinbouw. Ministerie van Economie Landbouw & Innovatie, Den Haag. Baarsma, B.E. (2012, 6 June). Deelname aan The Battle of Finance. VVP Praktijkdag, Amsterdam. Baarsma, B.E. (2012, 7 June). Stoppen met pamperen vergroot de weerbaarheid van mensen. Dat is goed voor henzelf en voor de maatschappij. Turner Zomerevent 'Responsibleability', Leusden. Baarsma, B. (2012, 25 March). De Volkskrant op zondag – De rekenmeesters. De Rode Hoed, Amsterdam. Baarsma, B.E. (2012, 11 October). Concurrentie en innovatie: Schumpeter versus Arrow & Bertrand versus Cournot. Regulation 3.0, Den Haag. Baarsma, B.E. (2012, 18 October). Make them an offer they can't refuse: Over de uitdagingen en kansen van de asset manager. Waterside Convention, Amsterdam. Baarsma, B. (2012, 4 October). Over de vrienden en onafhankelijkheid van de NMa/ACM. Ontwikkelingen Mededingingsrecht 2012, Scheveningen. Baarsma, B.E. (2012, 2 October). Wat moeten we met de hypotheekrente-aftrek? Een economisch perspectief. Jaarcongres Hypotheken, Scheveningen. Baarsma, B.E. (2012, 3 September). Economie van marktwerking: Over de rolverdeling tussen markt en overheid. Opening van het Academisch jaar in het Glazen Huis, Amsterdam. Berg, E. van den & Heyma, A. (2012, 7 March). Resultaten nulmeting SlimFit. Bijeenkomst controlescholen SlimFit, Utrecht. Berg, E. van den & Heyma, A. (2012, 21 March). Resultaten nulmeting SlimFit. Bijeenkomst projectleiders LvoorL, Utrecht. Berg, E. van den & Heyma, A. (2012, 11 April). Ins en outs onderzoek SlimFit. Centrale Kennisdeel sessie SlimFit, Utrecht. Berg, E. van den (2012, 12 December). Onderzoek SlimFit: respons + stukje outcome. Centrale kennisdeel sessie SlimFit, Utrecht. Berkhout, E. & Volkerink, M. (2011, 12 December). Wat beweegt kennismigranten? Een analyse van de concurrentiekracht van Nederland bij het aantrekken van kennismigranten. Arbeidsmarktcongres, Leuven. Heyma, A. (2012, 7 June). Flexibele Schil. Algemene Rekenkamer, Den Haag. Heyma, A. (2012, 11 June). Deelname aan Klankborgroep Arbeidsmarkt Ouderen, CPB. Ministerie van Sociale Zaken en Werkgelegenheid, Den Haag. Heyma, A. (2012, 13 June). Deelname aan themagesprek Kwaliteit en beschikbaarheid onderwijspersoneel. CAOP, Den Haag. Heyma, A. (2012, 18 June). Deelname aan Regiowerktop RPA. Het Park, Hoorn. Heyma, A. (2012, 27 June). Into the Gap. Nederlandse Vertegenwoordiging Randstad, Brussel. Heyma, A. (2012, 6 September). Langdurig verblijf in de flexibele schil van de arbeidsmarkt. Economenlunch NMa, Den Haag. Heyma, A. (2012, 10 September). Deelname aan beleidsseminar Flexibele Arbeid. Felix Merites, Amsterdam. Heyma, A. (2012, 26 September). Hoe produceer ik kennis? Bijeenkomst SlimFit basisscholen, Utrecht. Heyma, A. (2012, 10 October). Langdurig verblijf in de flexibele schil van de arbeidsmarkt. NVA-TvA 2012 congres SER, Den Haag. Heyma, A. (2012, 18 October). Effect woonsituatie op arbeidsaanbod. Ministerie van Binnenlandse Zaken en Koninkrijksrelaties, Den Haag. Heyma, A. (2012, 22 November). Wat maakt een oudere werknemer aantrekkelijk? Strategieoverleg Ministerie van Sociale Zaken en Werkgelegenheid, Den Haag. Heyma, A. (2012, 23 November). Regionale arbeidsmarktprognose 2012. Noord-Hollandse Arbeidsmarkt en Onderwijs Monitor 2012, Technisch College Velsen, IJmuiden. Heyma, A. (2012, 4 December). Deelname aan Klankbordgroep Arbeidsmarkt Ouderen, CPB. Ministerie van Sociale Zaken en Werkgelegenheid, Den Haag. Heyma, A. (2012, 6 December). Deelname aan beleidsseminar Flexible Arbeid. CAOP, Den Haag. Hochguertel, S. & Lammers, M. (2012, 5 June). Pension rules and labor market dynamics. Meeting of the Danish Microeconometric Network, Copenhagen. Kok, L. (2011, 19 October). Hogere kwaliteit én lagere kosten: een illusie? Symposium Elseviers 'Beste Ziekenhuizen', Wassenaar. Krul, J. (2012, 26 April). Airports in a competitive environment. Conference of World Airport Lawyers Association, Amsterdam. Krul, J. (2012, 8 May). By plane of course: the role of air transport in the development of international tourism. VUGS symposium The future of tourism, Utrecht. Krul, J. (2012, 23 November). Success factors for the Airport City. Bewegingen rond de luchtvaart symposium, Schiphol. Lammers, M. (2012, 25 January). Pension rules and labour market dynamics. International Pension Workshop, Amsterdam. Noll, R. van der (2012, 16 October). Flexibel Auteursrecht. Symposium Auteursrecht en economie, Amsterdam. Noll, R. van der (2012, 4 September). Let's not stick together: anticipation of cartel and merger control in the Netherlands. European Association for Research in Industrial Economics (EARIE) Annual Conference, Rome. Noll, R. van der & Rosenboom, N. (2012, 4 April). Economische argumentatie in de praktijk. Seminar Toepassing van het Mededingingsrecht in de praktijk, Rotterdam. Poort, J. & Weda, J. (2012, 30 August). Windows or opportunities. Creative with IP event, Amsterdam. Theeuwes, J. (2012, 23 January). De arbeidsmarkt van de metropoolregio – vijf jaar vooruit kijken. Nieuwjaarssymposium. Kamer van Koophandel, Amsterdam. Volkerink, M. (2012, 9 February). De toekomst van de arbeidsmarkt in de Metropoolregio Amsterdam tot 2016. Kamer van Koophandel, Amsterdam. Volkerink, M. (2012, 16 February). De toekomst van de arbeidsmarkt in de Metropoolregio Amsterdam tot 2016. SADC/EDA, Dahme-Spreewald, Germany. Volkerink, M. (2012, 10 October). Een verkenning van de toekomstige arbeidsmarkt van de overheid. Netwerkbijeenkomst Arbeidsmarkt A&O Provincies, Utrecht. Other lectures Berg, E. van den (2012, 9 October). Beleidsevaluaties in de praktijk. Gascollege Universiteit van Utrecht, Utrecht. Membership academies Baarsma, B. (2012). Member of the Academisch Genootschap Aanbesteden. Burghouwt, G. (2012). Member of Ph.D. committee of Franziska Kuper, University of Antwerp, Antwerp. Relevant position Baarsma, B. (2012). Crown member of the SER, Member of the Supervisory Board of Loyalis NV (member Audit Committee), Member of the Supervisory Board of the St. Elisabeth Hospital Tilburg, Member of the Supervisory Board of BNN, Member of the Supervisory Board of Espria, Member of the Supervisory Board of Woonzorg Nederland, Member of the Audit Committee of FNV Bondgenoten, Member of the Advisory Board of Peak Invest (education), Member of the Supervisory Board of the G500 (political youth movement), Non-governmental expert on behalf of the Nederlands in the International Competition Network (ICN), Referee for: Beleidsonderzoek Online, Energy Policy, Energy. Burghouwt, G. (2012). Referee for: European Journal of Transport and Infrastructure Research, Geographical Analysis, Journal of Airport Management, Journal of Air Transport Management, Journal of Transport Geography, Journal of Transport Economics and Policy, Research in Transportation Business, Tijdschrift voor Economische en Sociale Geografie, Transportation Research part E, Transport Policy, Transport Reviews. Lieshout, R. (2012). Referee for: Journal of Transport Geography, European Journal of Transport and Infrastructure Research. Kok, L. (2012). Referee for: Journal of Social Policy. Koopmans, C. (2012). Referee for: European Journal of Transport and Infrastructure Research. Noll, R. van der (2012). Referee for: TPEdigitaal. University of Amsterdam Amsterdam School of Economics - Research Institute Valckenierstraat 65-67 1018 XE Amsterdam T +31 20 525 4276 E email@example.com www.aseri.uva.nl
S FIT S Installation details for SimFIT and SimDEM bill.bardsley@simﬁt.org.uk https://simﬁt.org.uk 1. Introduction 2. Installing the SimFIT package 3. Using SimFIT with the NAG library DLLs 4. Installing the SimDEM package 5. Ghostscript and GSview 1 Introduction Note the following facts. * The SimFIT package is designed for end-users who just want to do statistics, simulation, curve-ﬁtting, and graphics. It is completely self–contained and runs out of the box, requiring no programming skills. * The SimDEM package is intended for programmers who want to use the SimFIT GUI to create true Windows programs instead of DOS-type console applications. It comes with a stand–alone driver program and documentation illustrating how to create messages, menus, tables, and graphics * SimFIT and SimDEM are Open Source and free of charge to all users. * The 32-bit versions of SimFIT and SimDEM will run on either 32-bit or 64-bit operating systems. The 64-bit versions will only run on 64-bit operating systems. * SimFIT and SimDEM do not use the registry: all conﬁguration relies on the same set of ASCII text ﬁles (.cfg) and, if any such conﬁguration ﬁle is deleted, SimFIT or SimDEM will create a default copy. Windows users who want to make the best use of SimFIT graphics should save SVG or PNG ﬁles directly or, for better quality and greater versatility, archive EPS ﬁles. These can be transformed into PNG or other types of graphics ﬁles for importing into documents as required, using the SimFIT interface to Ghostscript. DEM 2 Installing the Simﬁt package There is only one version of SimFIT : the Academic version which is free-standing and requires nootherlibraries. However, thereareprograms change_simfit_version.exe and x64_change_simfit_version.exe which allow SimFIT to use the NAG library DLLs if you have an operational copy of the NAG library DLLs, from Mark 20 onwards. At present, the 32-bit and 64-bit versions of SimFIT are distributed separately. ``` The 32-bit SimFIT driver program is called w_simﬁt.exe. The 64-bit SimFIT driver program is called x64_simﬁt.exe. ``` (a) The SimFIT setup programs will install SimFIT in MS Windows, and also in Linux where Wine is installed, or in Mac with Crossover. You can uninstall previous versions of SimFIT or just allow the installation program to overwrite the old ﬁles. However, if you decide to over-write, make sure that the existing SimFIT ﬁles do not have the read-only attribute, otherwise you could end up with inconsistent binaries and test ﬁles. Existing .cfg ﬁles and ﬁles you make are never over-written by the installation program. (b) Download the setup ﬁles from the SimFIT website: (c) In Windows, install using simfit_setup7_x_y.exe in the 32-bit version, or else x64_simfit_setup7_x_y.exe in the 64-bit version, by double–clicking from Windows Disc Explorer and, unless there is some very compelling reason to the contrary, choose to install in the default top-level folder. ``` https://simfit.org.uk The setup ﬁles are either simfit_setup7_x_y.exe ... the complete 32-bit SimFIT package, or x64_simfit_setup7_x_y.exe ... the complete 64-bit SimFIT package. The subscripts _x_y identify the version and release number. ``` The 32-bit installation program will create the default folders: ``` C:\Program Files (x86)\simfit\bin...(binaries) C:\Program Files (x86)\simfit\doc...(documentation) C:\Program Files (x86)\simfit\dem...(demonstration data) ``` but the 64-bit installation program will create the default folders: ``` C:\Program Files\simfit\bin...(binaries) C:\Program Files\simfit\doc...(documentation) C:\Program Files\simfit\dem...(demonstration data) ``` (d) Non-default installations. The installation will create sub-folders under your chosen top-level folder, and in your ...\My Documents folder. (e) In Linux, copy w_simfit.exe into the Wine C: equivalent, e.g. /home/user-name/.wine/drive_c In new installations you will now create the two ﬁles If you mistakenly install the Windows conﬁguration it will not run properly in Linux, and you will have to delete these two ﬁles and let SimFIT create a default conﬁguration. As root, run using wine, i.e. wine w_simfit.exe, or run from the appropriate Wine or KDE start menu. Further details will be found on the SimFIT website and in linux.txt. (f) The SimFIT package is run from the program manager program, w_simfit.exe, or x64_simfit.exe, and you do not need to run any other SimFIT programs. Make a shortcut from your desktop to the SimFIT program manager C:\Program Files (x86)\simfit\bin\w_simfit.exe (or else C:\Program Files\simfit\bin\x64_simfit.exe). Run this shortcut and read any warning messages. Finally, press the [Conﬁgure] button, then the [Check] button to correct the paths if necessary, and ﬁnally the [Apply] button to complete the conﬁguration. (g) If you decide not to use the default folders, that is allowed as long as the installation folder ends like this ...\Simfit. You can install any binaries you like as auxiliaries, as long as the fully qualiﬁed path is provided using the [Conﬁgure] option. (h) Run w_simfit.exe (or x64_simfit.exe) at least once from the installation folder with all ﬂags switched on to check for missing or obsolete ﬁles. When a good conﬁguration has been set up, you should switch oﬀthe options to check for missing ﬁles, etc. to speed up the start up and prevent errors arising from impatient double clicking. (i) Where SimFIT is for group use, the test ﬁles .tf? could be made read-only, or refreshed regularly, to prevent accidental editing leading to corrupt test ﬁles. (j) Print or browse the SimFIT manual w_manual.pdf using a PDF-viewer (e.g. Adobe Acrobat Reader). This can be done from the [Manual] button on the w_simfit.exe or x64_simfit.exe main page if SimFIT is conﬁgured properly. (k) Common errors include inconsistent .exe or .dll ﬁles, failing to conﬁgure SimFIT so that it cannot use an editor, PDF-reader, calculator, Ghostscript, or PS-reader, or not allowing SimFIT write permission to create conﬁguration and results ﬁles. 3 Using Simﬁt with the NAG library DLLs SimFIT was originally developed as a front end to use the NAG library on mainframes. Subsequently an alternative free Open Source library was developed to replace the NAG library on the PC using DOS, then Salford Software DBOS, and then Windows. With the release of the NAG library DLLs for Windows, two programs have been developed so that SimFIT users can switch at will between using the SimFIT library or the NAG library for numerical calculations. If a user has a valid licensed version of the NAG library DLLs available there are some advantages in making the swap. In particular, some of the MKL NAG routines, e.g. those using LaPack and BLAS, will execute faster than the SimFIT academic ones, and there are a number of additional options available, particularly when using the NAG diﬀerential equation solving and optimization routines. To switch between the academic and NAG libraries the following technique must be used. 1. Make sure that SimFIT is switched oﬀso that no DLLs are linked in. 2. Use Windows explorer to move into the SimFIT binary folder which will be something like C:\Program Files (x86)\Simfit\bin for the 32-bit version, or C:\Program Files\Simfit\bin for the 64-bit version. 3. As administrator execute one of the programs change_simfit_version.exe for the 32-bit version, or x64_change_simfit_version.exe for the 64-bit version. 4. If you try to swap to the NAG version you may encounter one of two problems. * The utility may not be able to ﬁnd the alternative interface DLLs. * The NAG version created may not run because it cannot locate the NAG DLLs on the path. * The NAG version created may report that there is no valid license. If this happens then correct the mistake or restore the academic version. 4 Installing the Simdem package This is a subset of the SimFIT package designed to allow Fortran programmers to use subroutines from either ``` w_menus.dll and w_graphics.dll, or x64_menus.dll and x64_graphics.dll ``` to create stand-alone executables that will run in MS Windows, Linux under Wine, or Mac under crossover. It comes with a help program called simdem.chm, source codes for the driver, 70 example programs, and compiled versions of simdem.exe and x64_simdem.exe. The 32-bit SimDEM driver program is called simdem.exe. The 64-bit SimDEM driver program is called x64_simdem.exe. There is only one installation ﬁle which installs both the 32-bit and 64-bit binaries, but there are several alternative forms as follows. (A) Silverfrost FTN95 in 32-bit CDECL mode, and also in 64-bit mode. These are the versions bundled with the FTN95 compiler and can link to either 32-bit CDECL DLLs, or 64-bit DLLs. (B) The gFortran 64-bit version. This is for linking to executables made using 64-bit gFortran. (C) The NAGfor 32-bit version using the -compatible switch (which invokes STDCALL mode) and the NAGfor 64-bit version. Both of these use the Silverfrost Clearwin+ interface to the Windows API. These are the versions bundled with the NAG builder. The default conﬁguration is ``` C:\Program Files\Simdem\bin ...(binaries) C:\Program Files\Simdem\f95 ...(free format codes) C:\Program Files\Simdem\for ...(fixed format codes) C:\Program Files\Simdem\doc ...(txt,html,pdf files) C:\Program Files\Simdem\dem ...(demonstration data) ``` The SimDEM run time system depends on the compiler version as follows. * Silverfrost FTN95. The32-bitdllis simdem32.dll (CDECL)andthe64-bitversionis simdem64.dll * NAGfor The32-bitdlls are w_clearwin.dll, w_graphics.dll, and w_clearwin.dll (STDCALL) and the 64-bit ones are x64_clearwin, x64_graphics.dll, and x64_clearwin.dll. * gFortran The64-bitdlls are x64_clearwin.dll, x64_graphics.dll, and w_menus.dll. 5 Ghostscript and GSview The best and most versatile vector graphics format for archiving and printing professional quality scientiﬁc graphs is PostScript. SimFIT creates such high quality Encapsulated PostScript ﬁles (.eps), but it only displays a low resolution bit-map representation of the graph on screen, using Windows graphics. To get the most out of the additional graphics functionality that SimFIT provides for PostScript ﬁles, it is useful to have facilities for viewing, transforming, incorporating into documents, and printing SimFIT *.eps ﬁles. From Version 7.4.1 onwards SimFIT is installed with the Ghostscript DLLs as local ﬁles in the binary folder, so there is no need to install the Ghostscript package any more. Alternatively, if the ghostscript DLL is not present as a local ﬁle but is on the path, then it will be used. However, there are three points to note. 1. If the ghostscript package is installed then this will be used if the DLL is not local or on the path. 2. Many free ﬁle readers, such as SumatraPDF, will also open PostScript ﬁles if ghostscript is installed, and so could be used instead of Gsview as a PostScript reader. 3. Gsview is an excellent PostScript and PDF viewer, and version 6 onwards is highly recommended as it permits a very wide range of ﬁle conversion facilities, e.g., SVG from EPS. ``` The 32-bit Ghostscript DLL is called gsdll32.dll The 64-bit Ghostscript DLL is called gsdll64.dll The 32-bit Ghostscript package driver is called gswin32c.exe The 64-bit Ghostscript package driver is called gswin64c.exe The GSview driver from Version 6 onwards is called gsview.exe ```
ShareConnect Administrator Guide Contents System Requirements Useful ShareConnect Terms Host Computers Viewing Devices Add Users Manage Users Settings Reports ShareConnect Connector ShareFile Features Note: For administrators that need to operate under the Health Insurance Portability and Accountability Act, we recommend reviewing the ShareConnect HIPAA Configuration Guide System Requirements \| \| Windows \| \| \|---\|---\|---\| \| \| Operating System \| Windows 7 or later \| \| \| Server \| Windows Server 2008 R2 or later \| \| Browser \| \| Internet Explorer v11 or later \| \| \| \| Google Chrome \| \| \| Internet \| DSL or better \| \| Mac \| \| \|---\|---\| \| Operating System \| Mac OS X 10.8 or later \| \| Browser \| Google Chrome \| \| Internet \| DSL or better \| \| iOS Device \| \| \|---\|---\| \| Device \| iPads or iPhones supporting version iOS version 7.0 or later \| \| Operating System \| iOS 8.0 or later \| \| Internet \| "Always on" Internet connection; WiFi recommended \| \| Additional Software \| Free ShareConnect app from the iTunes Store \| \| Android \| \| \| \|---\|---\|---\| \| Device \| \| \| \| Device \| \| Android tablet and phones \| \| Operating \| \| Android 3.0 (Honeycomb) or later for tablets and Android 4.0 (Ice \| \| System \| \| Cream Sandwich) or later \| \| Internet \| \| "Always on" Internet connection; WiFi recommended \| \| Additional \| Free ShareConnect app from the Google PlayStore \| \| \| Software \| \| \| Useful ShareConnect Terms Host – The host is a Windows or Mac computer that will be accessed from a remote location. Computer Name – Any host computer that is installed with ShareConnect is automatically given a name. The name of the computer ShareConnect assigns is the computer name provided by Windows or Mac OS X. Users may choose to rename a host computer after it has been installed. Viewer – This is a device that is used to see and access the host from a remote location. The viewing device is any computer or mobile device that is used to remotely view a host. Client Computer – This is a special type of host computer that is designed for providing assistance to a client. Using ShareConnect, you may email a request to access the computer of a client. If the client accepts and installs ShareConnect, the client's computer becomes available for remote access. The client has additional controls for what access is permitted. Only Windows computers may be setup as client computers at this time. File Server – This is a special type of host computer that is designed for file access. Unlike connections to other host computers which focus on screen sharing, connections to file servers give you access to the local files of the file server. Multiple users may be connected to a file server at once. Only Windows computers may be setup as File Servers at this time. Session – A session refers to the time you are remotely connected to your host computer ShareConnect Connector – The connector is a ShareConnect integration with ShareFile. This connector lets you access the local files of a computer from within ShareFile. The local files of a ShareConnect host or file server may be accessed using ShareFile's Web Application or Mobile devices. ShareConnect Connector only allows for access to the local files of Windows computers at this time. System Tray/Notification Area Icon – This icon represents the status of the ShareConnect service on Windows computers and may also be used to set Preferences or receive support. Menu Bar icon – This icon represents the status of the ShareConnect app on Mac computers. Host Computers Add this Computer This will download the ShareConnect installer. The computer where ShareConnect is installed becomes a host computer that is set up for remote access. After installation, access the host by logging in to your ShareConnect account and then click on the computer name to connect. Connections are authenticated by providing a valid username and password on the host computer. This is the computer's logon credentials, not your ShareFile account's credentials. If the host computer is windows, provide any valid windows logon credentials for that computer to authenticate. If the host computer is a mac, provide an administrator username and password to connect. Installation of ShareConnect requires administrator permissions to install on either Windows or Mac. The ShareConnect host software may be deployed by an IT administrator to multiple users in an organization. Add Client's Computer This is a special type of host computer that is designed for providing assistance to a client. Using ShareConnect, you may email a request to access the computer of a client. If the client accepts and installs ShareConnect, the client's computer becomes available for remote access. Clients may choose to limit what apps a user has access to. Unlike connections to host computers, connections to host computers do not require you to provide logon credentials for the computer. This is because the client has securely and anonymously provided these credentials. Only Windows computers may be setup as client computers at this time. If you do not wish to allow users to access this feature, it may be disabled in the Settings page. Setup File Server Access As the administrator, you have the ability to setup a File Server. This is a special kind of host computer designed specifically for file access. Unlike connections to other host computers which focus on screen sharing, connections to file servers give you access to the local files of the file server. Multiple users may be connected to a file server at once. Like regular host computers, connections to file servers are authenticated using a valid Windows logon username and password. Only Windows computers may be setup as File Servers at this time. NOTE: Since users do not have the ability to setup File Servers, you will need to use the Share Computers feature to grant users access to a File Server that you install. Viewers Desktop App The Desktop App allows you to access your host computers from a windows computer. Installation is required. Once installed you may access all of your host computers from within the app without having to go to the ShareConnect website. HTML5 Viewer The web based HTML5 viewer is available for a download free access to your host computers. This is available on Google Chrome with all devices and with Internet Explorer 11 or newer on Windows. Windows users are encouraged to use the Desktop app as the HTML5 viewer does not support Remote Printing, File Transfer, and Remote Sound. Mobile Apps A ShareConnect app is available for both iOS and Android operating systems. The iOS app is available in the App Store and the Android app is available in the Google Play Store. Accessing a host computer through the mobile app gives access to the files, apps, and desktop screen sharing. Users may open a file either through recent files or by navigating to it using All Files. Certain file types like Microsoft Office files allow for convenient in-app editing. For unsupported file types, they may be shared with another app on the mobile device or a user may start a screen sharing session. Doing so will open the default app that handles the file on the host computer. The resolution of the host computer will be optimized for mobile viewing. Users may also launch apps and begin screen sharing sessions quickly using the apps option. To simply see the desktop, open apps and select the Destkop app to start a simple screen sharing session. Screen sharing sessions feature a toolbar that collapses and moves. Add Users Your ShareFile users may be invited to use ShareConnect on the add users page. For each employee that you invite to your ShareConnect account, your account will need to have a corresponding ShareConnect license. Note: Only users that have been added to your account as employees may be given access. Users that have been added to your account as Clients may not be given access. Note: If you would like to add someone that is not listed you must first add that person to your account as an employee in ShareFile To Add a User Click the box next to the user's name Click Invite user in the menu bar You will have a chance to review your remaining ShareConnect licenses. Click Confirm Note: If you have signed up for a ShareConnect account directly through the ShareConnect website or mobile app, you have a different type of account. The add users functionality will behave differently. With this type of account you may invite any user you wish by providing the user's name and email address. Once invited, users will be granted ShareConnect access and will also have access to the ShareFile capabilities of your account. Manage Users After users have been given access to ShareConnect, they will appear in manage users. On the manage users page you may remove a user. If you have the ShareConnect Connector enabled, you may also manage access to it on this page (described later). Removing a user means this user will no longer have access to ShareConnect. It does not remove a user from your ShareFile account. Removing a user also deletes any host computers registered under that user's account. Each user listed on the Manage Users page uses one ShareConnect license. Removing a user frees up a license which may be allocated to another user. Reviewing the list of users on this page helps ensure that you are getting the most value out of your ShareConnect licenses. Remove a User Check the box next to the user(s)'s name Click Delete User Click Confirm Settings In-Session Settings These settings control how ShareConnect behaves while users are remotely connected to their computers. Settings that are configured here apply to all users in your team as well as to your own account. Allow File Transfer – This setting determines whether or not users on your account are able to transfer files between their Windows host computer and viewing devices. If checked, users have the ability to transfer files between devices. For mobile apps, this setting also determines whether or not users are able to save files locally to the ShareConnect app and make new files from the app. Allow Remote Printing – This setting determined whether or not users on your account are able to use the remote printing feature. This feature is available when a user is connecting to a Windows host from the ShareConnect Desktop App. It allows jobs that are printed out on the host computer to be redirected to print out remotely at the viewing location. Allow Remote Sound – This setting determines whether or not users on your account are able to use the remote sound feature. This feature allows sounds that are playing on the host computer to be heard remotely on the viewing device. Currently this feature supports the Windows desktop app and the iOS app. Allow Shared Clipboard - This setting determines whether or not users on your account are able to use the Shared Clipboard feature. This feature allows users to copy and paste information back and forth between the host computer and viewing device. It is available for the Desktop app and the HTML5 viewer Mandatory screen blanking and lock keyboard and mouse – This setting determines whether or not users are required to use the screen blanking and lock keyboard and mouse feature. By default, to ensure security and privacy, when a user remotely connects to Windows host the screen(s) is blanked out and the keyboard and mouse are locked. Users have the ability to choose to disable this feature in their individual settings page. If this box is checked in this page, users do not have the ability to disable these security features Set the in-session inactivity timeout - When a user is remotely connected to a host computer, the session will disconnect automatically if the user is idle for a period of time. You may configure that duration of time here. The setting must be from 5 minutes to 9999 minutes. This setting applies to both Windows and Mac host computers. Installation and Access These settings control installation for special types of host computers – client computers and file servers. Additionally settings for sharing access to computers is controlled here. Client's Computer – This feature allows a ShareConnect user to request access to a client's computer. If the client agrees, she installs ShareConnect and gives the user the ability to access the computer at any time. You may prevent users from being able to request access to a client's computer here. If you do this, access to any existing client's computers will be removed. Share Computers - As an account administrator, you have the ability to share host computers. Any type of host computer may be shared. You may disable sharing. If you do, any computers that have been shared will no longer be shared. As the administrator, you will not be able to share computers again until sharing has been re-enabled. File Server Access – As the administrator, you have the ability to setup a computer as a File Server in ShareConnect. You may disable File Server Access. If you do, any computer that has been setup for file server access will be removed. Account Info No. of Users – This shows how many users have ShareConnect access Licenses remaining – This shows how many ShareConnect licenses are remaining. Each user that has been invited to ShareConnect consumes 1 license. Your account renewal settings and account manager are also shown here. Reports ShareConnect allows you to run access reports for auditing purposes. Currently, Connection Reports are available. This report shows all connections made by ShareConnect users for the specified time period. Data is available for up to one year. To Generate a Report 1. Select the report type 2. Click the drop down or select a custom date range 3. Select a report format 4. Click Generate Report Connection Report – This report shows all connections made to computers on the account. It contains the following fields: User name, Email, Connection Start, Duration, Host Nickname, Host IP Address, Host MAC Address, Viewer IP Address, Viewer MAC Address Authentication Events Report – After users login to their accounts they may connect to a host computer. When connecting to a host computer, a user is prompted to enter the computer's login credentials. This report tracks all authentication failures for providing these login credentials. It contains the following fields: Description, Time, User Name, Email, IP Address, Computer UserName Note: Reporting for authentication events is only available for Windows host computers at this time. Mac hosts and file servers are not yet supported Note: Reporting for account login failures are available through ShareFile's Usage Report Share Computers When ShareConnect is registered to a user's account, the registered user becomes the owner of that computer. By default, users may only see and access computers that they are the owners of. In other words, users may connect to computers that they own and not someone else's. The Share Computers feature allows the administrator to share a host computer with a different user who is not the owner. Once a computer is shared, the user with whom the computer is shared can see the host in the Computers page and make a connection to it. As the administrator, you may share host computers, client computers, and file servers. Only administrators have the ability to setup a file server, so it NOTE: If the owner deletes a host computer, all shared users will be unable to access it NOTE: If the shared computer is a client computer, the shared user will be able to connect to the computer using the saved credentials. ShareConnect Connector Connectors allow ShareFile to access files from other storage locations. ShareConnect provides a connector that lets you access the local files of a host computer from within ShareFile. ShareConnect Connector may be accessed using ShareFile's Web Application or Mobile devices. ShareConnect Connector only gives you access to the local files of Windows host computers and File Servers. Note: ShareConnect connector is only available for ShareFile accounts that have connectors enabled and have also been granted access to the ShareConnect connector. Contact your account manager for additional questions. Manage Connector Access Log in to your account Select Manage users in the left navigation menu Users that have access to the ShareConnect Connector will have a check mark in the ShareFile Connector column Enable ShareConnect Connector for a user Check the box next to a user's name Click ShareConnect Connector in the top menu Select Enable Connector Disable ShareConnect Connector for a user Check the box next to a user's name Click ShareConnect Connector in the top menu Select Disable Connector Note: You may check multiple boxes to enable or disable for multiple users Note: When inviting a user to ShareConnect in the Add Users section, you may enable access to the ShareConnect connector as shown below Accessing files through the Connector Log in to your ShareFile account through the WebApp or Mobile Apps Click or tap the Connectors section Windows Host computers and File Servers will be listed Click on the computer name When prompted authenticate with that computer's username and password ShareFile Features ShareFile offers administrators some configurable options for additional security. These options are supported in ShareConnect. Because ShareConnect uses ShareFile for authentication, certain additional ShareFile security features are also available to ShareConnect. Prevent users from storing logons 1. Log in to your ShareFile account 2. Click Admin in the top navigation bar 3. Select Advanced Preferences in the left navigation pane 4. Select Password, Login, and Security 5. Under OAuth Lifetime, you may select to re-authenticate after Never Note: This will cause other ShareFile apps to require logins more frequently as well Ensure Two-step verification is available 1. Log in to your ShareFile account 2. Click Admin in the top navigation bar 3. Select Advanced Preferences in the left navigation pane 4. Select Password, Login, and Security 5. Under OAuth Lifetime, you may select to re-authenticate after Never How to Enroll in Two-step verification (administrators and users) 1. Log in to your ShareFile account 2. Select My Settings in the top navigation bar 3. Click Two-step Verification in the left navigation pane 4. Re-authenticate as prompted 5. Click Enable 6. Provide a phone number and select the desired option to receive the code 7. Click Send 8. When prompted, verify the code that you received on your phone
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Formulated of filled PTFE material for long life and compatibility with the hardened nickel-plated, polished surface of the cylinder bore. Cast-Iron Cylinders Permanently nickel-plated and hardened to resist wear and corrosion, even under extreme operating conditions. Smooth bore, polished finish, minimizes friction and reduces heat build-up for long ring wear life. Crankshaft Cantilevered crankshaft design provides superior balance and long life. Bearings Long-lasting ball bearing design; 100% oil-less. 10,000-hour life on drive set bearings, 20,000 hours on main bearings. Valves Plated valve plates and reeds of highest grade Swedish steel extend operating life and durability. 100% Duty Cycle Operation All models are rated for 100% continuous duty cycle at 100 PSIG for single-stage units and 175 PSIG for two-stage units. Spring-isolated Base Eliminates need for special foundations. Compressor and motor are mounted on a common inner base plate. This inner base is mounted on vibro-isolation springs to absorb all vibration. Meets NFPA guidelines for medical air compressors (Over-andunder unit configuration uses elastomeric vibro-isolators). Air-cooled Aftercooler (Optional) Oversized, with ample reserve for cooling discharged air to within 5 - 10 degrees of ambient temperature. Enables air dryer to work at its highest efficiency. Our Unique Medical Compressor System Leading Edge Technology Delivered with Responsive Local Services From air intake to end use, Gardner Denver can supply all the components and systems needed for your oil-less compressor application. We’re a complete systems designer, manufacturer, and supplier. When you work with Gardner Denver, you get the best of both worlds. Utilizing powerful CAD systems, our application engineers will work closely with you to develop specifications and build a system to meet your needs. In turn, all installation and service is handled by locally-based representatives and distributors who are well versed in compressor technology. We maintain a worldwide sales and service network to support this effort. No one else has the experience or scope to design, build and maintain complete air management systems for medical, institutional and industrial use. Count on Gardner Denver to be your single source for oil-less air compressor technology. Hospital Type Inlet Filters Air Cooled Aftercooler Stainless Steel Flexible Connectors Air Water Separators Compressor 1 All Gardner Denver medical air systems meet current NFPA99 standards for health care facilities. Staying abreast of the changing regulations and requirements for medical compressed air systems is a high priority at Gardner Denver. We Take a Systems Approach to your Compressed Air Management Needs Gardner Denver understands that your medical facility's oil-less compressor is part of a more comprehensive air management system. That's why we supply complete air compressor packages that can include air dryers, specialized filter banks, dewpoint/ CO monitor, and complete controls. Our approach to medical compressor system design is unique. Rather than offering a single, large system, we offer smaller, multiple-compressor units connected to a single air receiver. This energy-saving design means that you have maximum air delivery only when you need it. You have the flexibility of single unit operation alternating between compressors or multiplecompressor operation, depending on air demand. This redundant design assures that you always have a reliable source of compressed air and the small footprint of our oil-less packages saves valuable floor space and allows for easy installation. Specifications Horizontal Base Mount, two stage, electric motor driven - cibvwa \| Unit Model \| HP \| Pump \| RPM \| CFM Delivery* \| \| Bore DIA IN \| Stroke IN \| Dimensions L x W x H IN \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| 125 PSIG \| 175 PSIG \| \| \| \| \| 5VTR20 \| 5 \| VTR \| 1000 \| 16.1 \| 15.8 \| 4.72 & 2.56 \| 1.97 \| 57¼ x 37½ x 373/8 \| \| 7VTR20 \| 7.5 \| VTR \| 1300 \| 21.4 \| 21.2 \| 4.72 & 2.56 \| 1.97 \| 57¼ x 37½ x 373/8 \| \| 10WTR45 \| 10 \| WTR \| 1065 \| 36.0 \| 35.4 \| 4.72 & 3.54 \| 1.97 \| 57¼ x 37½ x 373/8 \| Horizontal base mount, single stage, electric motor driven - cibvwa \| Unit Model \| HP \| Pump \| RPM \| CFM Delivery* \| \| Bore DIA IN \| Stroke IN \| Dimensions L x W x H IN \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| 50 PSIG \| 100 PSIG \| \| \| \| \| 5VTS335 \| 5 \| VTS \| 740 \| 21.7 \| 16.8 \| 4.72 \| 1.97 \| 57¼ x 37½ x 373/8 \| \| 7VTS35 \| 7.5 \| VTS \| 1065 \| 31.6 \| 25.9 \| 4.72 \| 1.97 \| 57¼ x 37½ x 373/8 \| \| 10VTS35 \| 10 \| VTS \| 1450 \| 43.0 \| 35.2 \| 4.72 \| 1.97 \| 57¼ x 37½ x 373/8 \| \| 15WTS55 \| 15 \| WTS \| 1140 \| 69.0 \| 56.5 \| 4.72 \| 2.36 \| 57¼ x 37½ x 373/8 \| Horizontal tank mount, two stage, electric motor driven - cisvwa \| Unit Model \| HP \| Tank Size \| Pump \| RPM \| CFM Delivery* \| \| Bore DIA IN \| Stroke IN \| Dimensions L x W x H IN \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| 125 PSIG \| 175 PSIG \| \| \| \| \| 12T5VTR20 \| 5 \| 120 \| VTR \| 1000 \| 16.1 \| 15.8 \| 4.72 & 2.56 \| 1.97 \| 69 x 37½ x 67 \| \| 25T5VTR20 \| 5 \| 250 \| VTR \| 1000 \| 16.1 \| 15.8 \| 4.72 & 2.56 \| 1.97 \| 92 x 37½ 73 \| \| 12T7VTR20 \| 7.5 \| 120 \| VTR \| 1300 \| 21.4 \| 21.2 \| 4.72 & 2.56 \| 1.97 \| 69 x 37½ x 67 \| \| 25T7VTR20 \| 7.5 \| 250 \| VTR \| 1300 \| 31.4 \| 21.2 \| 4.72 & 2.56 \| 1.97 \| 92 x 37½ 73 \| \| 12T10WTR45 \| 10 \| 120 \| WTR \| 1065 \| 36.0 \| 35.4 \| 4.72 & 3.54 \| 1.97 \| 69 x 37½ x 67 \| \| 25T10WTR45 \| 10 \| 250 \| WTR \| 1065 \| 36.0 \| 35.4 \| 4.72 & 3.54 \| 1.97 \| 92 x 37½ 73 \| \| 12T15WTR45 \| 15 \| 120 \| WTR \| 1450 \| 48.4 \| 48.0 \| 4.72 & 3.54 \| 1.97 \| 69 x 37½ x 67 \| \| 25T15WTR45 \| 15 \| 250 \| WTR \| 1450 \| 48.4 \| 48.0 \| 4.72 & 3.54 \| 1.97 \| 92 x 37½ 73 \| Horizontal tank mount, single stage, electric motor driven - CISvwa \| Unit Model \| HP \| Tank Size \| Pump \| RPM \| CFM Delivery* \| \| Bore DIA IN \| Stroke IN \| Dimensions L x W x H IN \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| 50 PSIG \| 100 PSIG \| \| \| \| \| 12T5VTS35 \| 5 \| 120 \| VTS \| 740 \| 21.7 \| 16.8 \| 4.72 \| 1.97 \| 69 x 37½ x 67 \| \| 25T5VTS35 \| 5 \| 250 \| VTS \| 740 \| 21.7 \| 16.8 \| 4.72 \| 1.97 \| 92 x 37½ 73 \| \| 12T7VTS35 \| 7.5 \| 120 \| VTS \| 1065 \| 31.6 \| 25.9 \| 4.72 \| 1.97 \| 69 x 37½ x 67 \| \| 25T7VTS35 \| 7.5 \| 250 \| VTS \| 1065 \| 31.6 \| 25.9 \| 4.72 \| 1.97 \| 92 x 37½ 73 \| \| 12T10VTS35 \| 10 \| 120 \| VTS \| 1450 \| 43.0 \| 35.2 \| 4.72 \| 1.97 \| 69 x 37½ x 67 \| \| 25T10VTS35 \| 10 \| 250 \| VTS \| 1450 \| 43.0 \| 35.2 \| 4.72 \| 1.97 \| 92 x 37½ 73 \| \| 12T15VTS55 \| 15 \| 120 \| WTS \| 1140 \| 69.0 \| 56.5 \| 4.72 \| 2.36 \| 69 x 37½ x 67 \| \| 25T15VTS55 \| 15 \| 250 \| WTS \| 1140 \| 69.0 \| 56.5 \| 4.72 \| 2.36 \| 92 x 37½ 73 \| vertical two stage, cabinet enclosed, electric motor driven - cicvwa \| \| \| \| \| 50 PSIG \| 175 PSIG \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 5EVTR20 \| 5 \| VTS \| 740 \| 21.7 \| 15.8 \| 4.72 & 2.56 \| 1.97 \| 40 x 37 x 65¾ \| 1053 \| \| 7EVTR20 \| 7.5 \| VTS \| 1065 \| 31.6 \| 21.2 \| 4.72 & 2.56 \| 1.97 \| 40 x 37 x 65¾ \| 1058 \| \| 10EVTS35 \| 10 \| VTS \| 1450 \| 43 \| 35.4 \| 4.72 & 3.54 \| 1.97 \| 40 x 37 x 65¾ \| 1096 \| \| 15EWTS55 \| 15 \| WTS \| 1140 \| 69 \| 48 \| 4.72 & 3.54 \| 1.97 \| 40 x 37 x 65¾ \| 1244 \| vertical single stage, cabinet enclosed, electric motor driven - cicvwa \| Unit Model \| HP \| Pump \| RPM \| CFM Delivery* \| \| Bore DIA IN \| Stroke IN \| Dimensions L x W x H IN \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| 50 PSIG \| 100 PSIG \| \| \| \| \| 5EVTS35 \| 5 \| VTS \| 740 \| 21.7 \| 16.8 \| 4.72 \| 1.97 \| 40 x 37 x 65¾ \| \| 7EVTS35 \| 7.5 \| VTS \| 1065 \| 31.6 \| 25.9 \| 4.72 \| 1.97 \| 40 x 37 x 65¾ \| \| 10EVTS35 \| 10 \| VTS \| 1450 \| 43.0 \| 35.2 \| 4.72 \| 1.97 \| 40 x 37 x 65¾ \| horizontal duplex tank mount, two stage, electric motor driven - cidvwa \| Unit Model \| HP \| Tank Size GA \| Pump \| RPM \| CFM Delivery* \| \| Bore DIA IN \| Stroke IN \| Dimensions L x W x H IN \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| 125 PSIG \| 175 PSIG \| \| \| \| \| 12TD5VTR20 \| 5 (2) \| 120 \| VTR \| 1000 \| 32.2 \| 31.6 \| 4.72 & 2.56 \| 1.97 \| 88¼ x 57¼ x 60½ \| \| 25TD5VTR20 \| 5 (2) \| 250 \| VTR \| 1000 \| 32.2 \| 31.6 \| 4.72 & 2.56 \| 1.97 \| 84 x 67 x 72 \| \| 12TD7VTR20 \| 7.5 (2) \| 120 \| VTR \| 1300 \| 42.8 \| 42.4 \| 4.72 & 2.56 \| 1.97 \| 88¼ x 57¼ x 60½ \| \| 25TD7VTR20 \| 7.5 (2) \| 250 \| VTR \| 1300 \| 42.8 \| 42.4 \| 4.72 & 2.56 \| 1.97 \| 84 x 67 x 72 \| \| 12TD10WTR45 \| 10 (2) \| 120 \| WTR \| 1065 \| 72.0 \| 70.8 \| 4.72 & 3.54 \| 1.97 \| 88¼ x 57¼ x 60½ \| \| 25TD10WTR45 \| 10 (2) \| 250 \| WTR \| 1065 \| 72.0 \| 70.8 \| 4.72 & 3.54 \| 1.97 \| 84 x 67 x 72 \| \| 12TD15WTR45 \| 15 (2) \| 120 \| WTR \| 1450 \| 96.8 \| 96.0 \| 4.72 & 3.54 \| 1.97 \| 88¼ x 57¼ x 60½ \| \| 25TD15WTR45 \| 15 (2) \| 250 \| WTR \| 1450 \| 96.8 \| 96.0 \| 4.72 & 3.54 \| 1.97 \| 84 x 67 x 72 \| horizontal duplex tank mount, single stage, electric motor driven - cidvwa \| Unit Model \| HP \| Tank Size GA \| Pump \| RPM \| CFM Delivery* \| \| Bore DIA IN \| Stroke IN \| Dimensions L x W x H IN \| WT LBS \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| 50 PSIG \| 100 PSIG \| \| \| \| \| \| 12TD5VTS35 \| 5 (2) \| 120 \| VTS \| 740 \| 43.4 \| 33.6 \| 4.72 \| 1.97 \| 88¼ x 57¼ x 60½ \| 2545 \| \| 25TD5VTS35 \| 5 (2) \| 250 \| VTS \| 740 \| 43.4 \| 33.6 \| 4.72 \| 1.97 \| 84 x 67 x 72 \| 1875 \| \| 12TD7VTS35 \| 7.5 (2) \| 120 \| VTS \| 1065 \| 63.2 \| 51.8 \| 4.72 \| 1.97 \| 88¼ x 57¼ x 60½ \| 2760 \| \| 25TD7VTS35 \| 7.5 (2) \| 250 \| VTS \| 1065 \| 63.2 \| 51.8 \| 4.72 \| 1.97 \| 84 x 67 x 72 \| 3125 \| \| 12TD10VTS35 \| 10 (2) \| 120 \| VTS \| 1450 \| 86.0 \| 70.4 \| 4.72 \| 1.97 \| 88¼ x 57¼ x 60½ \| 2815 \| \| 25TD10VTS35 \| 10 (2) \| 250 \| VTS \| 1450 \| 86.0 \| 70.4 \| 4.72 \| 1.97 \| 84 x 67 x 72 \| 3220 \| \| 12TD15WTS55 \| 15 (2) \| 120 \| WTS \| 1140 \| 138.0 \| 113.0 \| 4.72 \| 2.36 \| 88¼ x 57¼ x 60½ \| 3055 \| \| 25TD15WTS55 \| 15 (2) \| 250 \| WTS \| 1140 \| 138.0 \| 113.0 \| 4.72 \| 2.36 \| 84 x 67 x 72 \| 3440 \| Warranty Ensuring Dependable Performance From design... to materials selection... to construction, the Gardner Denver team strives for perfection. Knowing the critical necessity for an uninterrupted supply of oilless compressed air, Gardner Denver's craftsmen take the extra care needed to ensure trouble-free operation and economical performance. At every step of the manufacturing process, stringent inspection procedures assure accuracy and future dependability. Rigid testing determines if the Gardner Denver symbol of excellence can be assigned to the final product. Others have copied, none have equalled, the strict standards established by Gardner Denver. Though users have little need for the warranty that backs each Gardner Denver product, an extended three year warranty is provided. Member Gardner Denver Warranty for PureAir Series Oil-less Compressors Gardner Denver warrants each new PureAir Series oil-less compressor pump manufactured by Gardner Denver to be free from defects in material and workmanship under normal use and service for a period of thirty-six (36) months maximum or specified number of operating hours, whichever may occur first. This applies to the compressor pumps ONLY, excluding head valves which are warranted for the first year only. The unit is warranted for one year after start-up, or eighteen (18) months after shipment, whichever occurs first. Warranty Hours for Pump Components * Compression Rings and Guide Rings — 10,000 hours or 3 years * Driving Set (sealed ball bearings mounted in connecting rod) — 10,000 hours or 3 years * Piston Set — 10,000 hours or 3 years * Crankshaft Bearing Set — 20,000 hours or 3 years * Reed Valves — 5,000 hours or 1 year The above applies to Gardner Denver manufactured compressor units only. All Units Built to ISO 9001 Standards. www.GardnerDenverProducts.com email@example.com Gardner Denver, Inc. 1301 North Euclid Avenue, Princeton, IL 61356 Telephone: (815) 875-3321 FAX: (815) 872-0421
DERIVED STIMULUS RELATIONS, SEMANTIC PRIMING, AND EVENT-RELATED POTENTIALS: TESTING A BEHAVIORAL THEORY OF SEMANTIC NETWORKS DERMOT BARNES-HOLMES, CARMEL STAUNTON, ROBERT WHELAN, YVONNE BARNES-HOLMES, SEAN COMMINS DEREK WALSH, IAN STEWART, PAUL M. SMEETS, AND SIMON DYMOND, NATIONAL UNIVERSITY OF IRELAND, MAYNOOTH; UNIVERSITY COLLEGE, DUBLIN; NATIONAL UNIVERSITY OF IRELAND, GALWAY; LEIDEN UNIVERSITY; AND UNIVERSITY OF WALES, SWANSEA Derived equivalence relations, it has been argued, provide a behavioral model of semantic or symbolic meaning in natural language, and thus equivalence relations should possess properties that are typically associated with semantic relations. The present study sought to test this basic postulate using semantic priming. Across three experiments, participants were trained and tested in two 4-member equivalence relations using word-like nonsense words. Participants also were exposed to a single- or two-word lexical decision task, and both direct (Experiment 1) and mediated (Experiments 2 and 3) priming effects for reaction times and event-related potentials were observed within but not across equivalence relations. The findings support the argument that derived equivalence relations provides a useful preliminary model of semantic relations. Key words: derived equivalence relations, semantic priming, event-related potentials, humans, adults _______________________________________________________________________________ The study of human language and cognition has attracted increasing attention within behavioral psychology in recent years (e.g., Barnes & Holmes, 1991), and one group of researchers recently has offered a behavioral account of language and cognition known as Relational Frame Theory (RFT; Hayes, BarnesHolmes, & Roche, 2001). One of the core assumptions of RFT is that the behavioral units of human language and thought may be defined in terms of derived stimulus relations and relational networks. One of the simplest examples of a derived stimulus relation is the equivalence relation, which some have argued provides the basis for semantic or symbolic meaning in natural language (e.g., Sidman, 1986, 1994). A number of behavioral research- ers also have argued that traditional network theories of verbal or semantic meaning (e.g., Anderson, 1976, 1983; Collins & Loftus, 1975; McClelland & Rumelhart, 1988) share similarities with the concept of derived stimulus relations (Barnes & Hampson, 1993; Cullinan, Barnes, Hampson, & Lyddy, 1994; Fields, 1987; Hayes & Hayes, 1992; Reese, 1991). If this basic postulate is correct, it follows that the pattern of findings that have been observed using semantic stimuli should also be found when using stimuli from equivalence or other derived relations (Branch, 1994). The original study upon which the current research is based was conducted by Carmel Staunton under the supervision of Dermot Barnes-Holmes. Carmel lost her life tragically in a road traffic accident in September 2003, and this article is dedicated to her memory. Dermot Barnes-Holmes, Yvonne Barnes-Holmes, Sean Commins, and Derek Walsh are at the National University of Ireland, Maynooth; Robert Whelan is at University College, Dublin; Ian Stewart is at the National University of Ireland, Galway; Paul M. Smeets is at Leiden University; and Simon Dymond is at the University of Wales, Swansea. Correspondence and requests for reprints should be sent to Dermot Barnes-Holmes at the Department of Psychology, National University of Ireland, Maynooth, Maynooth, Co. Kildare, Ireland (e-mail: email@example.com). doi: 10.1901/jeab.2005.78-04 One very common finding that has been reported using semantic stimuli is the semantic priming effect (see Meyer & Schvaneveldt, 1971, for the seminal study in this area). If two words are presented (prime and target), and they are semantically related (e.g., tiger–lion), participants' average reaction times (RTs) in a recognition task are significantly shorter than if the words are semantically unrelated (e.g., tiger–house). The priming literature includes many variants such as semantic, associative, mediated, and episodic priming as well as numerous experimental preparations to demonstrate priming, such as lexical decision and pronunciation tasks (see Neely, 1991, for a review). Only one published study has sought to determine if priming in a lexical decision task occurs for previously trained and tested equivalence relations (Hayes & Bisset, 1998). Participants were asked to press a ''YES'' key if both words were from any of the previously learned equivalence relations, and to press a ''NO'' key if one or both words were previously unseen. Mean RTs to equivalently related word pairs were significantly faster than mean RTs to nonequivalently related word pairs. In effect, the equivalence relations appeared to generate priming effects not unlike those typically found when real words are used in cognitive research (e.g., Balota & Lorch, 1986; de Groot, 1983; McNamara & Altarriba, 1988; Meyer & Schvaneveldt, 1971). Although the Hayes and Bisset (1998) study produced the predicted priming effects, a number of key features of their experimental work limit the extent to which strong conclusions may be drawn from the data. For example, Hayes and Bisset employed the twoword lexical decision task in which the participant is required to respond to both stimuli (i.e., YES if both are real words and NO if one or both stimuli are nonsense words). The most common procedure in modern priming studies, however, is the single-word priming paradigm in which the participant responds only to the target, not to the prime (see Neely, 1991). Given that reliable priming effects have been reported across numerous studies using the single-word paradigm (see Neely, Keefe, & Ross, 1989), it seems important to replicate Hayes and Bisset's data with this procedure if the generality of their results is to be sustained. Another limitation to the Hayes and Bisset (1998) study concerns the fact that they presented participants with corrective feedback for correct and incorrect responses during the lexical decision task. Some priming studies in the cognitive literature have demonstrated semantic priming in the absence of differential feedback (e.g., Hill, Strube, Roesch-Ely, & Weisbrod, 2002; Holcomb and Anderson, 1993; Weisbrod et al., 1999), and thus it seems important also to replicate this effect with equivalence-based priming if the derived stimulus relations model of semantic meaning is to be upheld. The Hayes and Bisset study also suffered from another critical limitation, but this will be addressed in the context of Experiments 2 and 3 of the current report. Experiment 1 of the present study involved training and testing participants in the necessary conditional discriminations for the formation of two 4-element equivalence relations, followed by exposure to a lexical decision task designed to test for priming effects among the stimuli participating in the equivalence relations. Unlike the Hayes and Bisset (1998) study, however, a single-word priming paradigm was employed, with no corrective feedback. EXPERIMENT 1 METHOD Participants Participants were 27 right-handed undergraduate students (18 females and 9 males) attending the National University of Ireland, Maynooth who had not studied stimulus equivalence or related phenomena prior to their participation in the experiment. The participants were between 18 and 28 years old (mode 19). Apparatus and Stimuli Each participant completed the experiment in a small, dimly lit, sound-attenuated cubicle in the Experimental Psychology Laboratory in the Department of Psychology at the National University of Ireland, Maynooth. All experimental tasks were presented on DellH personal computers equipped with Pentium 4H processors and standard keyboards and monitors. Given a viewing distance of 60 cm for the lexical decision task, each word subtended a visual angle of approximately 2u to 6u in width and 1u in height. The stimuli employed across both the matching-to-sample (MTS) and lexical decision procedures were taken from Massaro, Venezky, and Taylor (1979). The stimuli were letter permutations derived from the most frequent 150 six-letter English words as listed in Kucera and Francis (1967). The letter strings met the following criteria: (a) they were orthographically regular; (b) they were pronounceable; (c) they contained common vowel and consonant spellings; (d) they had no more than three letters for a medial consonant cluster, if one occurred; and (e) none of the strings kept the first and last letters from the original English words in their original positions. Consistent with the procedures employed by Hayes and Bisset (1998), the participants were told that some of the letter strings were genuine foreign words and some were nonsense words (during postexperimental debriefing the participants were informed that all of the strings were in fact nonsense words). Procedure The experimental procedure consisted of MTS training, followed by a partial equivalence test, which was then followed by a singleword lexical decision task. Phase 1: MTS training. On each trial, a sample stimulus appeared in a rectangular box in the center upper half of the computer screen. After 2,000 ms the sample was removed and 500 ms later two comparison stimuli appeared, one in a rectangular box in the lower-left corner of the screen and the other in a second rectangular box in the lowerright corner of the screen. The comparison stimuli remained visible until the participant clicked on one of the boxes. If the participant clicked on a comparison stimulus that was deemed to be correct by the experimenter, then the comparison stimuli were removed and the word ''correct'' was presented in the middle of the computer screen for 2,000 ms. A computer-generated chime (presented via headphones worn by the participants) also was presented with this visual feedback. If the participant clicked on a comparison stimulus that was deemed to be incorrect by the experimenter, then a similar sequence occurred except that the word ''wrong'' was presented and no computer-generated chime occurred. When the feedback message (correct or wrong) was removed, the screen remained blank for a 3,500 ms intertrial interval. Immediately thereafter the next trial was presented. At the beginning of the first trial, each participant was provided with instructions on the computer screen that described the task (adapted from Hayes & Bisset, 1998; all verbatim instructions used in this and subsequent experiments are available from the first author upon request). All participants were trained using six MTS trial types designed to establish two 4-element equivalence relations. The training protocol was of a linear design (e.g., A1-B1, B1-C1, C1D1) and a schematic representation of the six MTS trial types is shown in the upper half of Table 1. If, for example, the nonsense word A1 was presented as a sample, clicking the mouse on the comparison B1 produced the ''correct'' feedback, but clicking B2 produced the ''wrong'' feedback. Note that the participants never saw the alphanumeric labels, which are used here for ease of communication. The six MTS training trials were presented quasirandomly in blocks of six trials, such that each trial type was presented once within each sixtrial block. The position of the two comparison stimuli was randomized across trials, such that the correct comparison could appear with equal probability in the left- or right-hand rectangular box. Each participant was required to produce 24 consecutively correct trials in order to complete this training phase. When a participant successfully completed the MTS training, the computer presented the instructions for the equivalence test. Phase 2: Equivalence testing. The second phase consisted of an equivalence test that was presented immediately after the participants had completed the MTS training. The MTS procedure for the equivalence test was similar to that of the MTS training, with two key differences. First, the six C-A, D-B, and D-A trial types listed in the lower section of Table 1 were used. Second, no feedback (i.e., the words correct and wrong) was presented on any trial, but instead the program simply progressed to the intertrial interval. At the beginning of the first trial, instructions were presented to each participant on the computer screen indicating that no cor- Table 1 A schematic representation of the trained conditional discriminations and tested equivalence relations. rective feedback would be presented during this phase. The six MTS testing trials were presented quasi-randomly in blocks of six trials, such that each trial type was presented once within each six-trial block. Each participant was exposed to 24 test trials in order to complete the equivalence test. If a participant failed to produce a minimum of at least 22 correct responses in the equivalence test phase, the computer displayed the following message on the screen: ''You may now take a short break. Please click on the button below when you are ready to continue.'' When the participant clicked on the continue button, the program returned to the MTS training phase (starting with the instructions), which in turn was followed by a second exposure to the equivalence test (again starting with the instructions). This cycle of MTS training and testing continued until the participant successfully passed the equivalence test (i.e., produced at least 22 correct responses) or completed six cycles of training and testing. When a participant passed the equivalence test, the computer displayed a message asking the participant to report to the Experimenter. Pilot research had shown that participants would sometimes fail an equivalence test immediately after completing the next phase of the experiment (see below), thus indicating that one successful exposure was insufficient to establish robust equivalence relations. To combat this problem, participants who passed the equivalence test returned to the laboratory within 48 hr for a second session, and were reexposed to the MTS training and equivalence testing procedures until they produced five consecutively successful equivalence test performances. When a participant had achieved this criterion, he or she was asked to take a brief break outside the laboratory (5 min), and the experimenter then proceeded to set the computer up for the third and final phase of the experiment, the lexical decision task, before asking the participant to return. Phase 3: The lexical decision task. The lexical decision task was modeled on Holcomb and Anderson (1993). The background color of the computer screen throughout the lexical decision task was white. Each trial began with a warning stimulus, the presentation of a red ''X,'' in the middle of the screen. This X remained on the screen for 500 ms and was then replaced by the prime (e.g., the nonsense word A1), which remained on screen for 200 ms. When the prime was removed from the screen there was a 50 ms delay, during which the screen remained blank, and then the target stimulus (e.g., the nonsense word B1) was presented (a stimulus onset asynchrony [SOA] of 250 ms). After 1,500 ms the target was removed and a green ''X'' appeared in the middle of the screen. Finally, after 1,250 ms the green X was replaced by the red X and the next trial began. A total of 96 trials was presented, with a short break (of about 1 min) provided after the first 48 trials. Participants were instructed to observe and ''mentally'' pronounce the first word that appeared on each trial (the prime). They also were told to rest their hands comfortably at the bottom of the keyboard and to place the left and right index fingers on the ''M'' and ''Z'' keys, respectively, and to press the M key (for yes) on the computer keyboard if the second word (the target) was a foreign word (i.e., a word that they had seen during the MTS training), and to press the Z key (for no) if the target was a nonsense word they had not seen before. The left–right position of the yes and no keys was counterbalanced across participants (the instructions were adapted accordingly). The instructions emphasized that the yes or no button-response should be made to the target word alone, not the prime. Finally, the participants were asked to respond as fast and as accurately as they could on every trial. If a response was made after the green X had been removed from the screen (i.e., the next trial had begun), it was recorded as ''too late,'' and this datum was excluded from subsequent analyses. Following a brief practice session of 24 trials with English words, participants were presented with the instructions on the computer screen that explained the lexical decision task (adapted from Hayes & Bisset, 1998, for a single-word task). During the lexical decision task, each participant was presented with 24 pairs of stimuli that were from the same equivalence relation, and 24 pairs that were from different equivalence relations or contained one or two previously unseen nonsense stimuli. Table 2 contains a schematic representation of all 48 trial types divided into eight categories that were subsequently employed in the descriptive and inferential statistical analyses of the data. Table 2 A schematic representation of the 48 trial types presented during the lexical decision procedure. Pm 5 Prime, Tg 5 Target, Rp 5 Correct Response, N 5 Nonsense Word. a In Experiment 3, the correct response was No. The 48 trial types were presented in a quasirandom order, such that each trial type was presented twice across the 96 trials, with a short 1-min break after the first 48 trials. When the 96 trials had been presented, participants then were reexposed to the MTS equivalence test (but not the training) to determine if the equivalence relations were still in tact, and this marked the end of the experiment. RESULTS The 27 participants required between six (the minimum) and 10 exposures to each cycle of MTS training and equivalence testing before successfully completing five successive equivalence tests (i.e., 22 of 24 correct responses) in the second session. All 27 participants passed the final equivalence test that was presented immediately after the lexical decision task, thus indicating that the equivalence relations were still in tact at the end of the experiment. The mean RTs (in ms) for correct responses and percentage of errors for each of the eight types of lexical decision task were calculated across the 27 participants. Table 3 shows the comparisons among trial types. Reaction Times Participants responded more rapidly to prime-target pairs that were directly or indirectly related (i.e., directly trained, symmetry, transitivity, or equivalence) than to unrelated prime-target pairs, or to pairs that contained one or two previously unseen stimuli (i.e., class–nonclass, class–nonsense, nonsense–class, nonsense–nonsense). Table 3 presents additional descriptive analyses of the RT and error data for each of the eight types of lexical decision task. The types of task are numbered 1 to 8 and these numbers are used subsequently in Table 4 to indicate which types of priming task were compared statistically during post hoc tests. The RT data from the eight priming tasks were subjected to a repeated measures one-way analysis of variance (ANOVA), which proved to Table 3 The eight types of priming task and related descriptive statistics for Experiment 1. be significant, F(7, 182) 5 14.264, p , .0001, g p 2 5 .35. A series of Scheffe´ post hoc tests also were conducted, comparing data for equivalent and nonequivalent stimulus pairs presented during the lexical decision tasks, the results of which are shown in Table 4. The specific post hoc tests that were conducted were chosen based on those reported by Hayes and Bissett (1998). Reaction times were significantly faster when both the prime and the target words were from the same equivalence class than when they were from different classes (Table 4: Equivalent vs. nonequivalent comparisons). No significant differences were obtained when comparisons were made between priming tasks in which the stimuli from both tasks were from the same equivalence class (Table 4: Equivalent vs. equivalent comparisons). Finally, no significant differences were obtained between the two YESresponse conditions (5 and 7) or the two NOresponse conditions (6 and 8) in which the stimuli were either from different equivalence classes or were previously unseen (Table 4: Nonequivalent vs. nonequivalent comparisons). Table 4 Results of Scheffe´ post hoc tests comparing reaction times for the eight types of priming tasks in Experiment 1, with percentage of individual participants (in parentheses) conforming to the direction of the statistically significant effects. Post hoc comparisons These data indicate that priming is facilitated within equivalence classes, but not between them. Furthermore, there was no evidence to suggest that the priming effect was differentially sensitive to the effects of direct training versus symmetry, transitivity, or equivalence. Finally, stimulus pairs from different equivalence classes did not prime each other more rapidly than stimulus pairs incorporating previously unseen stimuli. Error Data Unlike the RT data, the errors were relatively uniform across the eight conditions (see Table 3). The error data for the eight lexical decision tasks were subjected to a repeated measures one-way ANOVA, but this proved to be nonsignificant, F(7, 182) 5 1.703, p 5 .1108. DISCUSSION The current data replicate the RT effects reported by Hayes and Bisset (1998), but not their error data (the failure to replicate the error data will be revisited in the context of Experiment 3). The results of Experiment 1 therefore support the view that derived stimulus relations are functionally similar to semantic relations, to the extent that priming is a semantic process. Furthermore, insofar as priming is an associative process, derived stimulus relations appear to function like direct associations. On balance, however, we should be cautious in drawing this final conclusion. In Experiment 1, all participants were required to pass an equivalence test before exposure to the lexical-decision task, and thus the four stimuli contained within each of the two equivalence classes had been matched repeatedly (i.e., directly associated) during the test, albeit without differential reinforcement. This fact limits the extent to which the priming effects observed here can be defined as mediated rather than direct priming. Mediated priming refers to the priming effect that is sometimes obtained when the prime and target are indirectly semantically related via a mediating word or concept (e.g., Balota & Lorch, 1986; Weisbrod et al., 1999). For example, the word ''stripes'' may prime recognition of ''lion'' based on the mediating concept ''tiger.'' In Experiment 1, priming was clearly demonstrated across combined symmetry and transitivity relations (e.g., A1 primed C1 and vice versa), and this was taken as evidence for mediated priming because the A and C stimuli were indirectly related via the B stimuli. As was the case in the Hayes and Bisset (1998) study, however, all of the participants had successfully completed an equivalence test prior to the lexical decision task and thus the indirectly related stimuli had in fact been directly related during this test. Consequently, the priming among indirectly related stimuli observed in Experiment 1 and in the Hayes and Bisset study may have simply reflected direct rather then mediated priming. Ideally, therefore, an equivalence test should not be presented until after the lexical decision task if unequivocal mediated priming is to be observed across indirectly related elements of an equivalence relation. Experiment 2 adopted this strategy. EXPERIMENT 2 METHOD Participants Participants were 54 right-handed undergraduates (38 females and 16 males) attending the National University of Ireland, Maynooth. They had not studied stimulus equivalence or any related phenomena prior to their participation in the study. Participants were between 17 and 24 years of age (mode 19). Apparatus and Stimuli The same apparatus and stimuli that were employed in Experiment 1 were employed in Experiment 2. Procedure The procedure of this experiment was similar to that of the first experiment with only one major difference; participants were exposed to equivalence training first, followed by the lexical decision task, which was then followed by the equivalence test. Once again, the experiment was divided across two separate sessions. In Session 1, each participant was required to produce 24 consecutively correct trials in order to complete one training exposure. To ensure that the trained conditional discriminations were firmly established, participants were each required to complete 10 cycles of training across two separate sessions before proceeding to the lexical decision task. RESULTS AND DISCUSSION Twenty-eight of the 54 participants did not pass the equivalence test (, 22 of 24 correct; mean correct 5 12.72; range 5 9 to 16) following the lexical decision task. The data (RTs and errors) were therefore divided into two separate sets, one for the participants who passed the equivalence test (the pass group) and one for those who failed (the fail group). The mean numbers of training trials completed by the pass and fail groups were 424 and 413, respectively; an independent t test indicated that this difference was nonsignificant at the .05 level. Reaction Time Table 5 presents descriptive analyses of the data, showing the mean RTs for correct responses averaged over participants for all eight lexical decision tasks, for both the pass and fail groups. The mean RTs indicate that participants who passed the equivalence test responded more rapidly to prime-target pairs that were directly or indirectly related than to unrelated prime-target pairs or to pairs that Table 5 The eight types of priming task and related descriptive statistics for participants who passed and for participants who failed the equivalence test in Experiment 2. contained one or two previously unseen stimuli; these results are similar to Experiment 1. In contrast to the pass group, the participants who failed the equivalence test produced a relatively brief mean RT for the directly trained relations only. The RT data were subjected to a 2 3 8 mixed repeated measures ANOVA, with performance on the equivalence test (pass or fail) as the between-participant variable and the eight-types of lexical decision task as the within-participant variable. The ANOVA indicated no significant difference between the pass and fail groups, F(1, 52) 5 1.920, p 5 .1718, but a significant difference was obtained across priming trial types, F(7, 364) 5 41.969, p , .0001, g p 2 5 .45, and a significant interaction between groups and priming trial types was also recorded, F(7, 364) 5 3.825, p 5 .0005, g p 2 5 .07. These analyses indicate that RTs to the eight priming trial types were differentially effected across the pass and fail groups. Two 1-way repeated measures ANOVAs were conducted on the data from the pass and fail groups to investigate these differences. icant difference was obtained when comparisons were made between priming tasks in which the stimuli from both tasks were from the same equivalence relation (directly trained pairs generated greater priming than pairs related indirectly via equivalence; see Table 6: Equivalent vs. equivalent comparisons). Finally, no significant differences were obtained between the two YES-response conditions (5 and 7) or the two NO-response conditions (6 and 8) in which the stimuli were either from different equivalence classes or were previously unseen (Table 6: Nonequivalent vs. nonequivalent comparisons). In short, the RT data from the pass group in Experiment 2 were similar to those obtained in Experiment 1, except that a significant difference was obtained between directly trained and equivalence priming trial types. The ANOVA for the pass group proved to be significant, F(7, 175) 5 27.109, p , .0001, g p 2 5 .52. A series of Scheffe´ post hoc tests also were conducted, comparing data for equivalent and nonequivalent stimulus pairs presented during the lexical decision tasks, the results of which are shown in Table 6. Reaction times were significantly faster when both the prime and the target words were from the same equivalence class than when they were from different classes (Table 6: Equivalent vs. nonequivalent comparisons). Only one signif- The ANOVA for the fail group also proved to be significant, F(7, 189) 5 18.834, p , .0001, g p 2 5 .42. Scheffe´ post hoc tests indicated that RTs were significantly faster for the directly trained primes and targets relative to the symmetry, transitivity, and equivalence priming trial types (Table 6: Equivalent vs. equivalent comparisons). Although the remaining effects were in the same direction as the pass group, the only statistically significant effect was obtained between the directly trained and nonequivalent trial types (Table 6: 1 vs. 5). Unlike the pass group, therefore, who showed significant priming among all four components of the equivalence relations, the fail group only showed this effect, at a statistically significant level, for the directly trained primes and targets. Table 6 Results of Scheffe´ post hoc tests comparing reaction times for the eight types of priming tasks for participants who passed and for participants who failed the equivalence test in Experiment 2, with percentage of individual participants (in parentheses) conforming to the direction of the statistically significant effects. p ,.05. Error Data The error data (see Table 5 for descriptive statistics) were subjected to a 2 3 8 mixed repeated measures ANOVA, and no significant difference between the pass and fail groups, F(1, 51) 5 1.776, p 5 .1886, or among the eight priming trial types, F(7, 357) 5 1.471, p 5 .1763, was obtained (note, error data for 1 participant from the fail group was lost due to experimenter error). Furthermore, no interaction between groups and trial type was recorded, F(7, 357) 5 .211, p 5 .9829. Like Experiment 1, therefore, the RT, but not the error data, indicated priming effects. The results of Experiment 2 show that the RT priming effect was obtained only for the group that successfully passed the subsequent equivalence test, whereas the group that failed the test also failed to demonstrate priming, at a statistically significant level (except for the directly trained relations). The pass group therefore showed priming for stimulus pairs that were never directly associated (i.e., paired together), and thus the priming effects appear to parallel what cognitive researchers have termed ''mediated priming.'' EXPERIMENT 3 In both Experiments 1 and 2, the most common measures of semantic priming were used; RTs and error scores. However, there is a substantive body of research on semantic priming that also has employed electrophysiological measures of the priming effect (e.g., Kutas & Hillyard, 1980; Weisbrod et al., 1999). For example, one measure of brain activity, known as Event-Related Potentials (ERP), is particularly well suited to studying the effects of discrete stimulus presentations on human learning (see Holcomb, 1988; Holcomb & Neville, 1991; Kutas, 1993). The technique involves placing electrodes at specified locations on the scalp of the head, from which it is possible to record electroencephalograms (EEGs) from each location. A marker is then placed in the continuous EEG signal each time a stimulus is presented to the participant. A specific segment of EEG following each marker is then averaged across stimulus presentations and across participants to produce the ERP waveform for that particular stimulus. There are numerous waveforms associated with ERP measures. For example, some ERPs are thought to be associated with cognitive functions such as understanding words or being able to distinguish one type of visual or auditory stimulus from another. These ERPs occur at around 300 or 400 ms after the stimulus onset. The ERP measure that is most relevant in the context of the current research is a late negative waveform, known as the N400 (see Holcomb & Anderson, 1993; Kounios & Holcomb, 1992). This waveform is typically produced when participants are asked to respond to words that are semantically unrelated. In contrast, when the words are from the same semantic categories, the N400 is greatly reduced or completely absent. In a recent study on direct and mediated semantic priming (Weisbrod et al., 1999), ERP measures were taken during a lexical decision task. The results of the study showed that the N400 waveform was more pronounced for the unrelated word pairs than for either the directly or indirectly related word pairs, which indicates the standard priming effect. The primary purpose of Experiment 3 was to determine if the N400 waveform also would differentiate between nonequivalent and directly trained and equivalent stimulus relations on a lexical decision task. Insofar as the N400 is more sensitive to semantic associations than RT (e.g., Kounios & Holcomb, 1992), demonstrating N400 sensitivity to equivalence relations will provide important additional evidence for the functional overlap between semantic and derived relations. In Experiment 3, therefore, ERPs were collected for all participants while they completed the lexical decision task. Experiment 3 also employed a two-word lexical decision task similar to that used by Hayes and Bisset (1998) to determine if it would produce a significant difference among the error scores. METHOD Participants Twenty-one of the participants who passed the equivalence test in Experiment 2 also completed Experiment 3 (15 females and 6 males, 18 to 24 years of age; mode 19). Apparatus and Stimuli The experiment was conducted in a soundattenuated, electrically shielded cubicle in the electrophysiology laboratory in the Department of Psychology at the National University of Ireland, Maynooth. The apparatus used in Experiments 1 and 2 were also employed in Experiment 3. A novel set of stimuli was employed for the MTS procedures and lexical decision task, and these were selected based on the same five criteria as stipulated in the Apparatus and Stimulus section of Experiment 1. In order to record the EEG measures during the lexical decision task, a Brain Amp MR (Class IIa, Type BF) with approved control software (Brain Vision Recorder Version 1.0) and an approved electrode cap (BrainCap/ MR) were employed. The Brain Amp was controlled by a DellH personal computer with a Pentium 4H processor. Finally, the ERP data were analyzed using approved analysis software (Brain Vision Analyzer Version 1.0). All of the hardware and software were manufactured and supplied by Brain Products GmbH, Munich, Germany. Procedure The procedure was similar to that employed in Experiment 2, except that following the ninth successful cycle of MTS training (which always occurred in a second session) partici- pants were fitted with the electrode cap in preparation for recording the EEG measures that were to be taken during the lexical decision task. Following a final 10th cycle of MTS training, the Brain Amp was activated, and the participants then were exposed to the two-word lexical decision task (i.e., there was an approximate break of 60 s between completing the MTS testing and commencing the latter task). The two-word lexical decision task was similar to the one-word task used in Experiments 1 and 2, except that on each trial the prime and the target word remained on screen together. The sequence of stimulus presentations was as follows. The red X appeared for 500 ms, followed immediately by the prime stimulus, which was then followed 100 ms later by the target (a 100 ms SOA); the prime and target were positioned in the center of the screen with the former located 3 cm above the latter. The prime and target remained on screen for 1,750 ms; the green X was then presented for 1,000 ms followed by the red X (for 500 ms), which marked the beginning of the next trial. Responses made after the green X had been removed from the screen were recorded by the computer program as ''too late'' and this datum was excluded from subsequent analyses. The instructions employed in Experiment 3 were similar to those employed in Experiment 1, except that the instructions for the lexical decision task specified that participants must respond to both the prime and the target words, and not simply to the target. Recordings. Ten sites were chosen to monitor EEG signals, and these were taken from the standard International 10-20 system locations over the left and right hemispheres at the central (C3 and C4), parietal (P3 and P4) temporal (T3 and T4, T5 and T6), and occipital (O1 and O2) sites. These sites were chosen because they were employed in a recent study that demonstrated that the N400 waveform is sensitive to direct and indirect semantic priming using words from a natural language (Weisbrod et al., 1999; see also Holcomb, Coffey, & Neville, 1992; Holcomb & Neville, 1990; 1991). Four frontal sites (Fp1, Fp2, F3, F4) also were used but the N400 was not reliably detectable—in accordance with Weisbrod et al., these data are not reported. Evoked potentials were recorded and analyzed from 10 sintered AG/AG-CI scalp electrodes positioned as outlined above. Linked mastoids were used as reference sites and FPz as ground. The amplifier resolution was 0.1 mV (range, 6 3.2768 mV), and the bandwidth was set between 0.5 and 62.5 Hz with a sampling rate of 250 Hz. All electrode impedances were at or below 5 kV. The EEG was continuously collected and edited off-line. Epochs of 900 ms with a pretarget stimulus time of 200 ms were analyzed. The electro-oculogram (EOG) was recorded using the same specifications as the EEG. The horizontal and vertical EOG were monitored with two electrodes each. Special care was taken to reject segments with eye movements or other artifacts. Trials on which EEG or EOG activity exceeded 6 75 mV were rejected (Silva-Pereyra et al., 1999). The EEG data from one participant was removed from subsequent analyses due to an excessive number of artifacts (less than nine artifact-free trials per condition). Baseline correction was performed in relation to a pretarget stimulus time of 200 ms (i.e., 100 ms before the presentation of the prime). Average ERPs to primes and targets that were directly trained (e.g., A1-B1), related through equivalence (e.g., C1-A1, D2-A2), or were unrelated through equivalence (class– nonclass; e.g., B1-A2, A1-C2) were obtained from correct response trials for each participant. In accordance with Weisbrod et al. (1999), these individual averages were digitally low-pass filtered at 16 Hz (24 dB/octave rolloff), and the N400 waveform was measured between 350 and 550 ms after the target onset. The directly trained, equivalent, and nonequivalent prime and target pairs were selected for ERP recording because they appear to provide the derived-stimulus-relations analogue of directly related, indirectly related, and unrelated word pairs examined in previous ERP studies of semantic priming (e.g., Weisbrod et al., 1999). RESULTS AND DISCUSSION The mean number of MTS training trials completed by the 21 participants was 398. Reaction Time The mean RTs shown in Table 7 indicate that participants responded more quickly to prime-target pairs that were directly or indirectly related than to unrelated prime-target pairs or to pairs that contained one or two previously unseen stimuli. Table 7 presents additional descriptive analyses of the RT data for each of the eight types of lexical decision task. The types of task are numbered 1 to 8, and these numbers are used subsequently in Table 8 to indicate which types of priming task were compared statistically during post hoc tests. The RT data from the eight priming tasks were subjected to a repeated measures one-way ANOVA, which proved to be significant, F(7, 140) 5 32.007, p , .0001, g p 2 5 .61. A series of Scheffe´ post hoc tests compared data for equivalent and nonequivalent stimulus pairs presented during the lexical decision tasks, the results of which are shown in Table 8. Reaction times were significantly faster when both the prime and the target words were from the same equivalence class than when they were from different classes (Table 8: Equivalent vs. nonequivalent comparisons). Similar to Experiment 2 (pass group) only one significant difference was obtained when comparisons were made between priming tasks in which the stimuli from both tasks were from the same equivalence relation (directly trained pairs generated greater priming than pairs related indirectly via equivalence; see Table 8: Equivalent vs. equivalent comparisons). Finally, no significant differences were obtained among any of the three NO-response conditions (6 vs. 7, 6 vs. 8, and 7 vs. 8) in which one or both of the stimuli were previously unseen (Table 8: Nonequivalent vs. nonequivalent comparisons; bottom three rows). These data indicate, therefore, that priming, as measured by RT, is facilitated within equivalence classes, but not between them. Furthermore, consistent with Experiment 2 (but not Experiment 1) there was evidence to suggest that the observed priming effects were differentially sensitive to direct training versus equivalence relations. Finally, differential priming effects did not emerge among stimulus pairs incorporating previously unseen stimuli. Error Data The mean percentage errors shown in Table 7 show that this measure was slightly lower for the four equivalent trial types relative to the four nonequivalent trial types (see Table 7 The eight types of priming task and related descriptive statistics for Experiment 3. Table 7 for additional descriptive statistics). The error data for the eight lexical decision tasks were subjected to a repeated measures one-way ANOVA, and this proved to be significant, F(7, 140) 5 2.111, p 5 .0462, g p 2 5 .09. A series of Scheffe´ post hoc tests were then conducted, comparing data for equivalent and nonequivalent stimulus pairs presented during the lexical decision tasks, but none of these tests proved to be significant at the .05 level. In summary, therefore, the error data in Experiment 3 provided some evidence for greater priming among members of the two equiva- Table 8 Results of Scheffe´ post hoc tests comparing reaction times for the eight types of priming tasks in Experiment 3, with percentage of individual participants (in parentheses) conforming to the direction of the statistically significant effects. lence classes, but the statistical effects were far weaker than for the RT data. ERP Measures The averaged EEG data were calculated across 20 participants. The grand average waveforms for each of the 10 electrode sites for the directly trained, equivalent, and nonequivalent lexical decision trial types are shown in Figure 1. Visual inspection of these waveforms indicates that the most pronounced negative deflections occurred for the nonequivalent priming trial types (thick black lines) commencing at around 400 ms, thus approximating the classic N400 waveform. For all 10 sites, the post-400-ms waveforms for the directly trained prime-target pairs (thin dark lines) were clearly more positive than for the nonequivalent pairs. Usually, the equivalent prime-target pairs (thick light lines) produced post-400-ms waveforms that fell somewhere between the directly trained and nonequivalent waveforms. In comparing the grand averages between 350 and 550 ms, the differences between the equivalent versus nonequivalent priming trial types appear to be greater for the left hemisphere relative to the right (left and right panels of Figure 1, respectively); this difference is most pronounced across the parietal and temporal sites. The area dimensions (mV 3 ms) for each waveform for each participant recorded between 350 and 550 ms were calculated, yielding either positive or negative values with respect to the 0 mV level. These data were subjected to a three-way ANOVA with priming trial type (directly trained, equivalent, and nonequivalent), scalp location (central, parietal, temporal 3/4, temporal 5/6, and occipital), and laterality (left/right) as repeated measures factors. The ANOVA revealed main effects for laterality, F(1, 19) 5 7.039, p 5 0.0157, g p 2 5 .27; scalp location, F(4, 76) 5 4.781, p 5 0.0017, g p 2 5 .20; and priming trial type, F(2, 38) 5 25.336, p , 0.0001, g p 2 5 .57. All four possible interaction effects also were found to be significant: laterality by scalp location, F(4, 76) 5 16.798, p , 0.0001, g p 2 5 .47; laterality by priming trial type, F(2, 38) 5 10.050, p 5 0.0003, g p 2 5 .34; scalp location by priming trial type, F(8, 152) 5 19.078, p , 0.0001, g p 2 5 .50; and laterality by scalp location by priming trial type, F(8, 152) 5 3.406, p 5 0.0013, g p 2 5 .15. Given that significant differences were obtained for all main effects and all interactions, the data were subjected to 10 individual oneway ANOVAs, one for each electrode site. All 10 ANOVAs proved to be significant, all Fs(2, 19) . 10.1, all ps , 0.003, all g p 2 . .35. Scheffe´ post hoc tests conducted for each ANOVA (see Table 9) indicated that the waveforms (between 350 and 550 ms) at the five left-hemisphere sites were significantly more negative for the nonequivalent priming trial types relative to the directly trained and equivalent trial types. The post hoc tests also revealed that the equivalent trial types were significantly more negative than the directly trained trial types for all left-hemisphere sites except for C3. The right-hemisphere sites also produced significant differences between the directly trained trial types and both the equivalent and nonequivalent trial types, but unlike the left sites none of the post hoc comparisons between the equivalent and nonequivalent trial types proved to be significant, although T6 and O2 approached significance (p 5 0.058 and p 5 0.052, respectively). In summary, the ERP measures indicate that the N400 waveform is sensitive to the differences among directly trained, derived equivaTable 9 Results of Scheffe´ post hoc tests comparing area dimensions (mV 3 ms), 350 to 550 ms, for the directly trained, equivalent, and nonequivalent trial types for each of the 10 electrode sites, with percentage of individual participants (in parentheses) conforming to the direction of the statistically significant effects. b Approaching significance (p , .059). a p , .05. lent, and nonequivalent stimulus pairs that were established using a behavioral model of semantic relations. The results also indicated a significant effect for laterality, with greater negativity observed for the left, relative to the right sites. The post hoc analyses suggest that the left and right hemispheres may be differentially sensitive to the mediated priming effect. That is, all five of the left-hemisphere sites but none of the right-hemisphere sites produced significant differences between equivalent and nonequivalent prime-target pairs, although two of the latter sites were only marginally nonsignificant. Overall, Experiment 3 provides evidence for both direct and mediated priming among derived stimulus relations using the three most common measures employed in semantic priming research; RTs, error scores, and the N400 waveform. GENERAL DISCUSSION The current study demonstrates priming effects with derived stimulus relations using a single-word lexical decision task both after (Experiment 1) and before (Experiment 2) a formal MTS equivalence test. The results of Experiment 2 are particularly compelling in that priming was not observed for those participants who subsequently failed the equivalence test. This indicates that training in a set of interrelated conditional discriminations is not sufficient to produce the priming effect normally observed with semantic relations in natural language. Rather, the conditional discrimination training must give rise to derived equivalence relations if semantic-like effects are to be obtained. This result certainly supports the argument that derived relations, rather than directly reinforced stimulus relations alone, provide a behavioral model of what cognitive researchers refer to as semantic processes (Barnes-Holmes, Hayes & Dymond, 2001; Barsalou, 1999; Deacon, 1997; Hayes & Bisset, 1998). The results of Experiment 3 provide additional evidence in favor of a functional overlap between semantic and derived stimulus relations, in that the N400 waveform was shown to be sensitive to the directly trained and equivalent stimulus pairs versus the nonequivalent pairs. Furthermore, a significant effect for laterality was observed, with greater negativity observed for the left relative to the right sites, which is consistent with previous research using natural language stimuli (Weisbrod et al., 1999; unfortunately, individual site analyses were not provided, and thus a direct comparison with this earlier natural-language research is not possible). The current data are important in that only one published study has undertaken an investigation of the neural correlates of derived relational responding (Dickins et al., 2001, who used fMRI). The current research employed ERP measures rather than fMRI, but the present findings are broadly consistent with that earlier work in that both measures indicate that derived stimulus relations produce neural effects that are typically observed when humans are engaged in activities that cognitive psychologists call semantic processing. In comparing the results of Experiment 1 with Experiments 2 and 3, it appears that mediated priming effects can be observed or assessed only when an equivalence test is not presented before the lexical decision task. That is, significant differences in RT measures between directly trained and equivalent primetarget pairs were not observed in Experiment 1, but were observed in both Experiments 2 and 3. These results suggest that a formally tested equivalence class does not provide an accurate model of an indirect semantic relation. During a successful MTS equivalence test the participant matches all of the indirectly related stimuli, and although no explicit reinforcement or feedback is provided, the stimuli are nonetheless directly associated by each matching response. This type of repeated pairing seems highly unlikely for the indirectly related word-pairs typically employed in semantic priming studies (e.g., lion and stripes), and thus the apparent absence of a mediated priming effect in Experiment 1 might well have been predicted. Indeed, Hayes and Bisset (1998) required that all of their participants successfully pass an equivalence test before the lexical decision task, and this study also failed to find significant within-class RT differences. The fact that mediated priming could not be shown in Experiment 1, but was shown in Experiments 2 and 3, demonstrates how a derived relations model may provide a level of precision in the analysis of semantic relations that is difficult to attain using stimuli from natural language (because the exact histories of association among real words remain unknown). In the current study, the relations were created ab initio in each experiment, and the structure of those relations, in terms of direct versus indirect relatedness, and whether or not the relations had been tested, could be manipulated. An example of the precision that this methodology provides is highlighted in Experiments 2 and 3, in which significant differences were obtained between the directly trained and equivalent relations, but not between the directly trained and transitive relations. This result suggests that the relative strength of the mediated priming effect observed in the context of the current model depends, in part, on the direction of the relation, not simply the presence of a mediating node (if direction was irrelevant, then both transitive and equivalent prime-target pairs would have produced significantly longer RTs relative to directly trained relations). At the present time it remains unclear why this difference in the priming effect emerged between transitive and equivalence relations. It is worth noting, however, that previous research with nonhumans has provided clear evidence for transitive relations (see Zentall & Smeets, 1996, for a review), but a reliable demonstration of equivalence relations, which requires a combination of both symmetry and transitivity, has remained elusive (e.g., Dugdale & Lowe, 2000; Lionello-DeNolf & Urcuioli, 2002; but see Shusterman & Kastak, 1993). It is possible, therefore, that transitive and equivalence relations may involve different psychological processes. For example, transitivity may be based on some form of mediated generalization, for which there is considerable evidence in the nonhuman literature (see Hall, 1996; Urcuioli, 1996), and thus this relation alone may not provide solid evidence for a semantic relation. In contrast, perhaps the equivalence relations in the current study (which cannot be readily explained in terms of mediated generalization; Hall, 1996; Urcuioli, 1996) could be considered genuinely semantic. Insofar as this turns out to be the case, the current work has served to highlight some of the possibly important but subtle properties of semantic relations as studied in an experimental context. Although Experiments 1 and 2 of the current study produced a priming effect for RTs on the lexical decision task, the error scores did not show a priming effect similar to that of Hayes and Bisset (1998). The current procedures differed in a number of ways from those employed in the earlier research (e.g., no feedback was presented during the lexical decision task, two rather than three equivalence classes were employed), and thus the source of the different pattern of error scores across the two studies is obscured. Nevertheless, it is important to note that when one compares the error data from both the current study and that of Hayes and Bisset with the results from typical priming research, the present findings more closely resemble those reported in the priming literature. For example, some researchers have reported the absence of statistically significant differences among error scores, although RTs were significant (e.g., Balota & Lorch, 1986, Experiment 1; McNamara & Altarriba, 1988, Experiment 1). Furthermore, the significant difference that was found among error scores in Experiment 3 of the current study suggests that the derived relations model is not completely insensitive to what may be considered the weakest measure of semantic priming (e.g., Kounios & Holcomb, 1992). A great deal of research and considerable debate surrounds the topic of semantic priming in the cognitive literature. In particular, the theoretical debate has focused on the relation between what are called automatic (or spreading activation) versus controlled processes (Neely, 1977, 1991; Posner & Snyder, 1975). It has been suggested (Neely, 1977) that automatic spread of activation is the relevant process when the interval between prime and target (SOA) is short, whereas controlled processes (expectancy-induced priming) are engaged with long SOAs (longer than 400 ms). Given that relatively short SOAs were employed in each of the three experiments reported in the current study (250 ms in Experiments 1 and 2, and 100 ms in Experiment 3), it is unlikely that the observed priming effects were expectancy-induced. This conclusion is important for the derived relations model of semantic relations because it has recently been shown that expectancyinduced priming may not be directly involved in language processing (Brown, Hagoort, & Chwilla, 2000). 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Received August 18, 2004 Final acceptance March 21, 2005
XV Finnish-Austrian Orthopaedic Trauma Meeting January 24 – 31, 2009 Hotel Montana, Oberlech, Austria Finnish Orthopaedic Association Finnish Trauma Association XV Finnish-Austrian Orthopaedic Trauma Meeting January 24 – 31, 2009, Hotel Montana, Oberlech, Austria Organizing committee: Jan Lindahl, Wolfgang Grechenig, Juha Kalske, Mikko Manninen and Vesa Hamunen Faculty Jan-Magnus Björkenheim, MD, Helsinki University Central Hospital, Helsinki, Finland Patrice Diebold, MD, Nancy, France Wolfgang Grechenig, MD, Prof., University Hospital, Graz, Austria Jouni Heikkilä, MD, Hospital Mehiläinen, Turku, Finland Eero Hirvensalo, MD, Helsinki University Central Hospital, Helsinki, Finland Markku Härkönen, MD, Koskiklinikka, Tampere, Finland Juha Kalske, MD, HUCH, Jorvi Hospital, Espoo, Finland Veikko Kiljunen, MD, Helsinki University Central Hospital, Helsinki, Finland Franz Kralinger, MD, Medical University Innsbruck, Innsbruck, Austria Jan Lindahl, MD, Helsinki University Central Hospital, Helsinki, Finland, Mikko Manninen, MD Kymenlaakson keskussairaala, Kotka, Finland Oliver Michelsson, MD, HUCH, Peijas Hospital, Vantaa, Finland Gerolf Peicha, MD, University Hospital, Graz, Austria Jochen Müller-Stromberg, MD,Gemeinschaftskrankenhaus St. Elisabeth, St. Petrus, Bonn, Germany Kia Pelto-Vasenius, MD, Helsinki University Central Hospital, Helsinki, Finland Matti Seppänen, MD, Turku University Hospital, Turku, Finland Stefan Sundelin, MD, Arthro Clinic, Stockholm, Sweden Jarkko Vasenius, MD, Hospital Dextra, Finland Kaisa Virtanen, MD, Helsinki University Central Hospital, Helsinki, Finland Petri Virolainen, MD, Turku University Hospital, Turku, Finland Markus Wambacher, MD, Medical University Innsbruck, Innsbruck, Austria Finnish Orthopaedic Association Finnish Trauma Association XV Finnish-Austrian Orthopaedic Trauma Meeting January 24 – 31, 2009, Hotel Montana, Oberlech, Austria Scientific Program Jan Lindahl, MD Wolfgang Grechenig, MD Sunday, January 25, 2009 12.00-18.00 Registration 18.30-19.00 Welcome – Jan Lindahl, Chairman of the Organizing Committee Monday, January 26, 2009 08.00 SESSION I – Hip arthroscopy Chairmen: Juha Kalske, MD and Mikko Manninen, MD 08.00 The role of hip arthroscopy - Patient selection, indications, setup and porthole placement Gemeinschaftskrankenhaus St. Elisabeth, St. Petrus, Bonn, Germany Jochen Müller-Stromberg, MD 08.30 Arthroscopy of the dysplastic hip HUCH, Jorvi Hospital, Espoo, Finland Juha Kalske, MD 08.45 Arthroscopic diagnosis and repair of labral tears in the hip Gemeinschaftskrankenhaus St. Elisabeth, St. Petrus, Bonn, Germany Jochen Müller-Stromberg, MD 09.05 Lateral compartment in hip arthroscopy Turku University Hospital, Turku, Finland Matti Seppänen, MD 09.20 Coffee and technical exhibition 09.40 SESSION II – Knee and ankle Chairmen: Jouni Heikkilä, MD and Jan Lindahl, MD 09.40 Swedish ACL registry Arthro Clinic, Stockholm, Sweden Stefan Sundelin, MD 10.10 Double bundle ACL reconstruction using hamstring autografts and bioabsorbable interference screw fixation – Surgical technique Koskiklinikka, Tampere, Finland Markku Härkönen, MD 10.25 Double bundle ACL reconstruction Arthro Clinic, Stockholm, Sweden Stefan Sundelin, MD 10.55 Saphenous nerve lesion as a complication during autogenous hamstring harvesting: nerve anatomy, surgical technique and two clinical cases Hospital Mehiläinen, Turku, Finland Jouni Heikkilä, MD 11.10 Surgical anatomy of the ankle and syndesmosis University Hospital, Graz, Austria Gerolf Peicha, MD 11.25 Discussion Faculty 11.30 Lunch and technical exhibition 16.00 Discussion in groups (case presentations) I: Hip arthroscopy, knee Tuesday, January 27, 2009 08.00 SESSION III – Shoulder and upper extremity Chairmen: Wolfgang Grechenig, MD and Jarkko Vasenius, MD 08.00 Compartment syndrome of the upper extremity University Hospital, Graz, Austria Wolfgang Grechenig, MD, Prof., 08.25 Complex distal radius fractures Hospital Dextra, Helsinki, Finland Jarkko Vasenius, MD, 08.50 CRPS Kia Pelto-Vasenius, MD, HUCH, Helsinki, Finland 09.15 Coffee and technical exhibition 09.35 SESSION IV – Pelvis and lower extremity Chairmen: Wolfgang Grechenig, MD and Eero Hirvensalo, MD 09.35 Lumbopelvic fixation for sacral fracture-dislocations Helsinki University Central Hospital, Helsinki, Finland Jan Lindahl, MD 10.00 Surgical treatment of acetabular fractures Veikko Kiljunen, MD, Jan Lindahl, MD and Eero Hirvensalo, MD Helsinki University Central Hospital, Helsinki, Finland 10.30 MIPO of the tibia and fibula University Hospital, Graz, Austria Wolfgang Grechenig, MD, Prof. 10.50 Surgical approaches for im-nailing – anatomical considerations University Hospital, Graz, Austria Wolfgang Grechenig, MD, Prof. 11.10 Discussion Faculty 11.30 Lunch and technical exhibition 16.00 Discussion in groups (Case presentations) II: Shoulder, upper extremity, pelvis and lower extremity Wednesday, January 28, 2009 08.00 SESSION V and VI –Shoulder arthroplasty and fractures and clavicle Chairmen: Jan-Magnus Björkenheim, MD and Franz Kralinger, MD 08.00 Development of shoulder arthroplasty in fracture surgery. Pittfalls in shoulder arthroplasty Helsinki University Central Hospital, Helsinki, Finland Jan-Magnus Björkenheim, MD 08.40 Anatomy of the proximal humerus and implications for prosthetic design Medical University Innsbruck, Innsbruck, Austria Markus Wambacher, MD 09.10 Preoperative planning Medical University Innsbruck, Innsbruck, Austria Franz Kralinger, MD 09.25 Coffee and technical exhibition 09.45 Arthroplasty for fractures Medical University Innsbruck, Innsbruck, Austria Franz Kralinger, MD 10.10 Arthroplasty for posttraumatic conditions Medical University Innsbruck, Innsbruck, Austria Markus Wambacher, MD 10.35 Treatment of acute clavicle fractures: systematic review Helsinki University Central Hospital, Helsinki, Finland Kaisa Virtanen, MD, Ville Remes, MD, Antti Malmivaara, MD, Pekka Paavolainen, MD, Mika Paavola, MD 11.00 "Round table" discussion Faculty 11.30 Lunch and technical exhibition 16.00 Workshops Thursday, January 29, 2009 08.00 SESSION VII – Foot Chairmen: Eero Hirvensalo, MD and Oliver Michelsson, MD 08.00 Hallux valgus – Indications, contraindications and technique for scarf osteotomy Nancy, France Patrice Diebold, MD 08.30 Ankle arthroplasty HUCH, Finland Oliver Michelsson, MD 08.50 Digitus malleiformis – Weil osteotomy – When and how? Nancy, France Patrice Diebold, MD 09.15 Compartment syndrome of the foot – anatomy, diagnosis and therapy University Hospital, Graz, Austria Wolfgang Grechenig, MD, Prof. 09.35 Coffee and technical exhibition 09.55 SESSION VIII – Infection after arthroplasty – how to treat? Chairmen: Mikko Manninen, MD and Petri Virolainen, MD 09.55 Incidence, classification and diagnosis of deep infection in joint replacement surgery Mikko Manninen, MD Kymenlaakso Central Hospital, Kotka, Finland 10.25 Surgical treatment and results of treatment of deep infections in joint replacement surgery Turku University Hospital, Turku, Finland Petri Virolainen, MD 10.55 Cases Mikko Manninen, MD and Petri Virolainen, MD 11.30 Lunch and technical exhibition 16.00 Discussion in groups (Case presentations) III: Hip, knee, ankle and foot Friday, January 30, 2009 08.00 SESSION IX – Free papers Chairmen: Jan Lindahl, MD and Jan-Magnus Björkenheim, MD 09.20 Coffee and technical exhibition 09.40 SESSION X – Free papers Chairmen: Veikko Kiljunen, MD and Ville Alanen, MD 11.30 END OF MEETING Sponsors: Synthes Oy Johnson-Johnson Finland Articular Ab Kir-Fix Oy Boehringer Ingelheim Finland Ky Bayer Oy Smith & Nephew Oy Zimmer Finland Stryker Ab, Finland Endomed Oy Biomet Finland Oy Link Finland Oy Finnish-Austrian Orthopaedic Trauma Meetings: Schruns 1981, Bad Hofgastein 1983, Oberlech 1985, Ischgl 1987, Oberlech 1989, Obergurgl 1991, Obergurgl 1993, Oberlech 1995, Ischgl 1997, Ischgl 1999, Oberlech 2001, Oberlech 2003, Obertauern 2005, Serfaus 2007.
This copy is for your personal, noncommercial use only. You can order presentation-ready copies for distribution to your colleagues, clients or customers here or use the "Reprints" tool that appears next to any article. Visit www.nytreprints.com for samples and additional information. Order a reprint of this article now. January 17, 2009 Weighing Crimes and Ethics in Urban Warfare By STEVEN ERLANGER JERUSALEM — Your unit, on the edges of the northern Gaza town of Jabaliya, has taken mortar fire from the crowded refugee camp nearby. You prepare to return fire, and perhaps you notice — or perhaps you don't, even though it's on your map — that there is a United Nations school just there, full of displaced Gazans. You know that international law allows you to protect your soldiers and return fire, but also demands that you ensure that there is no excessive harm to civilians. Do you remember all that in the chaos? You pick GPS-guided mortars, which are supposed to be accurate and of a specific explosive force, and fire back. In the end, you kill some Hamas fighters but also, the United Nations says, more than 40 civilians, some of them children. Have you committed a war crime? Whatever the military and political results of Israel's 21-day war against Hamas in Gaza, Israel is again facing serious accusations and anguished questioning over the legality of its military conduct. As in Israel's 2006 war against Hezbollah in Lebanon, the popular perception abroad of how Israel fights, and hence of Israelis, may prove to be more lasting than any strategic gains or losses. The televised images of devastation in the crowded Gaza Strip and the large asymmetry in deaths, especially of civilians, have created an uproar in the Arab world and the West reminiscent of 2006. A plethora of Western foreign ministers, United Nations officials and human rights groups, both Israeli and foreign, have expressed shock and disgust; some have called for investigations into possible war crimes. Such groups also say Hamas is clearly violating the rules of war. More than 1,100 Palestinians have died in Gaza, according to the Hamas-run Ministry of Health, which estimates that 40 percent are women and children under 18. Israel estimates that only a quarter of the dead are civilians. Israel, which has suffered 13 dead, 3 of them civilian, is being accused of a disproportionate use of force. Death tolls in warfare may carry a moral weight, but not a legal one. Question of Proportionality Under international law, proportionality is defined as a question of judgment, not of numbers: Is the potential risk to civilians excessive in relationship to the anticipated military advantage? That puts the weight on military advantage, since civilian risk is a given and must only not be "excessive." Even if the target is legitimate, was the right weapon used to try to minimize civilian damage? The key is the expected damage the commander anticipated from the use of a certain weapon, and not what actually happened when it was fired. http://www.nytimes.com/2009/01/17/world/middleeast/17israel.html?th=&emc=th&pagew... 1/17/2009 The other key legal principle is discrimination: has a military struggled hard enough to hit only military targets and combatants, while trying to avoid purely civilian targets and noncombatants? Deciding requires an investigation into battlefield circumstances that cannot be carried out while the fighting rages, and such judgments are especially difficult in urban guerrilla warfare, when fighters like Hamas live among the civilian population and take shelter there. While Israel is the focus of most criticism, legal experts agree that Hamas, a radical Islamic group classified by the United States and Europe as terrorist, violates international law. Shooting rockets out of Gaza aimed at Israeli cities and civilians is an obvious violation of the principle of discrimination and fits the classic definition of terrorism. Hamas fighters are also putting civilians at undue risk by storing weapons among them, including in mosques, schools and allegedly hospitals, too, making them potential military targets. While urban and guerrilla warfare is not illegal, by fighting in the midst of civilians, often in civilian clothing, Hamas may also bring risk to noncombatants. But Hamas's violations tend to be treated as a given and criticized as an afterthought, Israeli spokesmen and officials say. They say that Israel has never sought to hit civilians, medical workers or United Nations facilities or personnel. "The rules of engagement are very clear," said Mark Regev, the government spokesman. "Not to target civilians, not to target U.N. people, not to target medical staff. All this is very clear in Israeli military doctrine." Asa Kasher, 69, has a chair in ethics at Tel Aviv University and helped write the Israeli military's ethical code. He still teaches in the army's College of Command and General Staff. He said that the Israeli Army's ethical and legal standards were high and that he believed they were conscientiously taught to its military. But as for what happens on the ground, he said, "I have a general confidence in their attitudes and decency, but who knows?" A senior lawyer for the United Nations, who was authorized to speak only if she remained anonymous, agreed that the Israeli code was excellent, but said that the military was not doing enough to protect neutrals or to provide havens for civilians. "A proper weighing of proportionality on the battlefield is just not happening as it should," she said. Israel's chief army legal officer, whose name cannot be published under censorship rules, called the charges "deeply unfair and unjust," and spoke of the horrible realities of war and compared Israel's behavior favorably to that of the American military in Iraq, Afghanistan and Kosovo. The most intense criticism of Israel's behavior has centered on how it has conducted the war and weighed risks to civilians, access of medical personnel to the wounded and provision of vital supplies to civilians in Gaza who cannot escape the sealed territory. A few events encapsulate the arguments and are fiercely disputed. The Fakhura School One of the touchstones of the war so far has been the fate of a group of Palestinian civilians fleeing the fighting who were lining up to enter a United Nations school. They were killed on Jan. 6 in an exchange of http://www.nytimes.com/2009/01/17/world/middleeast/17israel.html?th=&emc=th&pagew... mortar fire between Hamas fighters and Israeli troops. The facts are disputed; John Ging, the Gaza director of the United Nations Relief and Works Agency, said that 43 people died and that no militants fired from inside the school grounds or were harbored there. The Israeli military first said that it had returned fire at a Hamas mortar team inside the school and killed two fighters. Then the army briefed diplomats to say that the Hamas men were firing next to the school, and that one mortar shell, equipped with a guidance system, had gone off target. But after completing its initial inquiry, the army now has returned to its first version — that Hamas militants fired from inside the school compound. The army has also questioned the figure of 43 dead, saying that it was manipulated by Hamas and is too high, given the limited explosive power of a mortar shell. The director of the Palestinian human rights group Al-Haq, Shawan Jabarin, said in an interview that the Israelis knew that the school was sheltering civilians. "While they did not attack the school directly, they have to take into account civilians there. Because they didn't take that into account, and they knew the shells would fragment, they didn't take care with civilian lives," he said. "They bear the responsibility. Under international law, if you don't take all measures to respect civilians, you bear responsibility." Witnesses, including Hanan Abu Khajib, 39, said that Hamas fired just outside the school compound, probably from the secluded courtyard of a house across the street, 25 yards from the school. Israeli return fire, some minutes later, also landed outside the school, along the southwest wall, killing two Hamas fighters. Nearly all the casualties were in the street outside the compound, with only three people wounded from shrapnel inside the walls. The United Nations relief agency takes great care not to harbor militants in its buildings in order to protect civilians and their children, said the agency's spokesman, Christopher Gunness. The agency normally deals with as much as half of Gaza's population of 1.5 million, and it is eager to make clear that its workers are neutral and not to be fired upon. Mr. Gunness and other agency officials say that they do not want to get into a fight with Israel over allegations of war crimes, though they stress that they had provided the map coordinates of all agency schools, shelters and buildings to the Israeli military. But they are troubled by regular Israeli allegations, most recently by the Foreign Ministry and by Avi Dichter, Israel's minister of public security and former head of the Shin Bet counterterrorism agency, that the agency has been infiltrated by Hamas partisans and fighters, which may, Mr. Gunness said, lead young Israeli soldiers to believe that the agency is a justifiable target. Israel, too, has tried to avoid a public fight with the agency, sending a senior Defense Ministry official to express his regrets for the death of an agency driver — whose killing the United Nations attributed to Israel but Israel denied it — and to say that Israel appreciates the work the agency does in Gaza, diplomats and Israeli officials said. But the legal question of war crimes is different. First, if Hamas fired from inside or even next to the United Nations school, knowing that it was an agency building and thus trying to use its neutrality for protection, endangering civilians, then the Hamas fighters are potentially guilty of a crime, according to B'Tselem, an Israeli human rights group. They also, by firing, http://www.nytimes.com/2009/01/17/world/middleeast/17israel.html?th=&emc=th&pagew... turned the place from which they fired into a legitimate military target — as mosques became legitimate targets because Hamas stored large caches of rockets and weaponry inside them. Investigators would then have to decide if Israeli troops fired back with appropriate weapons, and with the appropriate balancing of military benefit for the entire operation against potential civilian harm. "The important issue is how the Israeli forces balanced the military benefit of hitting the target with the expected collateral damage to civilians," said the Israeli army chief legal officer. "As I understand it, I don't think they expected this number of casualties. When you look at mortar fire, you don't expect 43 casualties — if in fact there were 43 casualties. We think a wall collapsed or there was another explosion. It's not clear." The Israeli mortars had GPS guidance, the army said. But a commander must also consider the probability that it might miss. "If it is rare to go off target, then it's not something you have to take into account," the legal officer said. "But I don't know how much the soldiers were aware of who was inside the building — maybe they should have known better, but getting information to forces in a firefight on the ground is a problem. But if the firing was from outside and they didn't expect the building to be hit, then that affects the judgment." There is a "field debriefing" going on, the officer said. But it is not clear when the investigation will be completed or whether it will be made public. Usually field investigations are internal, with only conclusions revealed, unlike criminal investigations and courts-martial. The Samouni Clan The Israeli ground invasion began Jan. 3, and in the early hours of Jan. 4, the International Committee of the Red Cross began hearing of a large clan, the Samounis, who were wounded and trapped by the fierce fighting around Zeitoun, in eastern Gaza City. The Red Cross began asking the Israeli Army for access to the wounded. The Samouni clan said it was moved by Israeli soldiers from house to house, but the Israeli military denies it. The last house was shelled, and some 30 members of the extended family died, raising the question of whether the Israeli Army targeted a house where it knew refugees were sheltering. The Red Cross was not granted access to the area to reach the Samounis and others until Jan. 7, when four children were found emaciated, next to their dead mothers. It was not clear why the house was shelled, but Maj. Jacob Dallal of the Israeli Army said an investigation showed that no specific buildings in Zeitoun had been chosen as targets that day, and that the army only heard later about the family's plight. He said that an inquiry showed that the army had not moved the Samouni family from house to house, though they may have done so themselves in response to Israeli calls to leave the battlefield. The Red Cross, which normally works quietly, issued a rare public statement rebuking Israel, charging that the Israeli military had failed to meet its obligation under international humanitarian law to care for and evacuate the wounded in a timely way. Anne-Sophie Bonefeld, a Red Cross spokeswoman based in Jerusalem, said, "We were really, really shocked http://www.nytimes.com/2009/01/17/world/middleeast/17israel.html?th=&emc=th&pagew... by the delay." The aim of going public, she said, "was to try to ensure that we never have such a situation again." The Red Cross statement also shocked the Israelis, who work well with the Red Cross and trust it, Mr. Regev said. "We found it very troubling, because we take them very seriously," he said. "It is incumbent on us in difficult situations to help the I.C.R.C. to do its job." Maj. Peter Lerner, spokesman for the Defense Ministry's coordination office for Gaza, said that access to the battlefield "is severely influenced by the combat going on," adding that "tactical coordination was there from the start and worked in many cases, and sometimes due to intense fighting it didn't work as well." But Israel then moved to set up an additional special joint operations room with the main humanitarian agencies near Tel Aviv. Hamas has misused ambulances and Red Crescent and United Nations symbols in the past and is doing so during this conflict, Major Lerner charged. "We've had gunmen coming out of ambulances and taking up positions here in the last week; my people saw it," he said. "So of course this makes the troops in the field very wary about any vehicles approaching them, and why coordination has to be from the top to the very bottom, all the way down the line to the unit in the field." The army's chief lawyer said about the Samounis: "There was at no stage a policy to not take care of the wounded. We're trying to improve coordination. But there can be no high intensity fighting in such a densely populated place without mistakes. I'm sure there are mistakes." Since then, the Red Cross has noted improvements, even praising Israel for trying to avoid civilian casualties and provide humanitarian assistance in a briefing for Europeans in Tel Aviv, according to a European diplomat who attended the briefing. Pierre Wettach, head of the organization in Israel and the Palestinian territories, said of the Israel Defense Forces in an interview: "I believe there is a true concern on the part of the I.D.F. to address these things, which are extremely complicated to organize." Targets Challenged Human rights groups are also troubled by Israel's strikes on buildings they believe should be classified as civilian, like the parliament, police stations and the presidential palace. "Some of the targets are government offices of Hamas and the civilian authorities," said Jessica Montell of B'Tselem. Unless used for military purposes, she said, "these are not legitimate targets," and added, "we have suspicions that the I.D.F. does not respect these regulations." The army attacked "both aspects of Hamas — its resistance or military wing and its dawa, or social wing," a senior intelligence officer said. He argued that Hamas was all of a piece and in a war, its instruments of political and social control were as legitimate a target as its rocket caches. Since June 2007 and the Hamas takeover of Gaza in a brief war with its secular rival Fatah, both Israel and Egypt have tried to seal the http://www.nytimes.com/2009/01/17/world/middleeast/17israel.html?th=&emc=th&pagew... territory. But there has been an active smuggling trade through tunnels from Egypt, and a year ago, Hamas blew open the Egyptian border, letting Gazans go to Egypt and shop for food, cooking oil, medicines, refrigerators and the like. But Hamas also used the open border to smuggle in large rockets and other weapons, Israeli officials say. To try to stop rocket attacks from Gaza, Israel halted normal trade with Gaza and kept it on a much reduced diet for electricity, gasoline, diesel and cooking oil, wheat flour and many other items. The idea was a form of economic sanction, Mr. Regev, the government spokesman, said, a reminder that Israel would not let life be normal under Hamas. But many human rights groups banded together to sue the government in the Supreme Court, alleging violation of international law and "collective punishment of civilians." The Israeli government argued that there was no humanitarian crisis in Gaza, that basic necessities were provided — using the United Nations' figure for the minimum calories required daily for subsistence — and the court generally agreed. But the rockets did not stop. The effective closure continued through a six-month cease-fire with Hamas that ended last month, and the shortage of diesel oil for Gaza's only power generator, for example, meant many hours a day without electricity. That put a strain on hospitals, generators and on the water supply and sewage system, which depend on electric pumps. Nine Israeli human rights groups charged that the fighting had caused a crisis in the health and sanitation systems and have petitioned the Supreme Court again. Sari Bashi, of the human rights group Gisha, said the current lack of electricity had limited the access to potable water to more than 500,000 people; she said that there was sewage in the streets and that hospitals were running on generators missing spare parts. Ms. Montell of B'Tselem said that even though Israel pulled out of Gaza in 2005, "there is no legal vacuum" and it retains responsibility for basic needs and trade. "The argument that it's collective punishment of civilians I find very compelling," she said. Replacement for Sanctions But since the war began, fighting has replaced sanctions as a means for stopping the rockets, Mr. Regev said. Philippe Lazzarini, head of the United Nations Office for the Coordination of Humanitarian Affairs, said that since the war started, "The number of trucks Israel has allowed into Gaza is much higher than during the blockade." But he laughed and said, "Anything seems like a big increase when you compare it to practically nothing." Major Dallal said that "people lose sight of the context of a war zone in a densely populated area, where every time a door is pulled open, a soldier wonders who is behind it." The Palestinian Center for Human Rights said the Israeli military had acted with "total disregard for the lives of Palestinian civilians." Major Dallal, however, said the fundamental question, and not just for Israel, was, "How does an army fight a terrorist group?" http://www.nytimes.com/2009/01/17/world/middleeast/17israel.html?th=&emc=th&pagew... 1/17/2009 "If we," he added, meaning the world, "just see the pictures and don't use our heads, then the terrorists will always win these public opinion battles." Taghreed El-Khodary contributed reporting from Gaza, and Sabrina Tavernise from Jerusalem. Copyright 2009 The New York Times Company Privacy Policy Search Corrections RSS First Look Help Contact Us Work for Us Site Map http://www.nytimes.com/2009/01/17/world/middleeast/17israel.html?th=&emc=th&pagew...
This article identifies all of the people whose proper names occur in the Bible, excluding the deuterocanonical books. E The names are set out alphabetically as they are spelled in the King James Version, with variant spellings enclosed in brackets [ ]. The meaning of the name is then given in parentheses ( ). Under each entry, various individuals bearing this name are differentiated by boldface brackets, like this: [1]; [2]; and so on. Then follows a description of the character, with several Bible verses listed where the name occurs. (Not all verses could be given; so if the reader is considering a passage that is not cited in the section, he must choose the character that would most likely be identical with the person in his passage.) The meanings of the names are not infallibly accurate; they are simply interesting possibilities. These names are ancient and their history is obscure and uncertain. We have made no attempt to designate each person as a Palite, Harodite, Gileadite, and so on. Many of these designations refer to the ancestor of an individual; in other cases, they refer to the person's city, district, or distinctive clan. It is often a guess as to which meaning is intended. Many people in Scripture bear the same name. In dozens of cases, we cannot determine whether an individual in one book is identical with someone having the same name in another book. In the ancient world, a person was often called by more than one name. We find variant forms and contractions of names through the Bible. They probably presented little difficulty to an ancient reader. But this further complicates the identification problem for us. In the transmission of Scripture, copyists occasionally made errors. Surely Reuel was not also called Deuel, nor Jemuel called Nemuel, and so on. Yet which is original? Only in a few cases do we have any clues. The Hebrew genealogies are abbreviated at many points. At times it is difficult to distinguish a man from his ancestor. Consider also the problem of trying to match an abbreviated list with a fuller list. Either the names in the abbreviated list are independent of the longer list or they are already included in it. In other words, we may find the same person included in two lists or two different people in two lists. In a few cases, our English versions use the same word to transliterate several similar Hebrew names. In these instances, we have recorded a separate entry for each Hebrew name (e.g., Iddo). Ebal [Obal] ("bare"). [1] A son of Shobal the Horite (Gen. 36:23; 1 Chron. 1:40). [2] A son of Joktan, descendant of Shem (1 Chron. 1:22). He is called Obal ("naked") in Genesis 10:28. Ebed-Melech ("the king's servant"), an Ethiopian eunuch who rescued Jeremiah (Jer. 38:7-12; 39: 16). Ebed ("servant"). [1] A companion of Ezra on his return to Jerusalem (Ezra 8:6). [2] Father of Gaal who rebelled against Abimelech (Judg. 9:26-35). Eber [Heber] ("a shoot"). [1 ] A descendant of Shem and an ancestor of Christ (Gen. 10:21, 24-25; 11: 14-17; Luke 3:35). [2] Head of a family of Gad (1 Chron. 5: 13). [3], [4] Two descendants of Benjamin (1 Chron. 8: 12, 22). [5] Head of a priestly family (Neh. 12:20). Eden ("delight"). [1] A descendant of Gershorn (2 Chron. 29: 12). [2] A Levite in the time of Hezekiah (2 Chron. 31: 15). Ebiasaph. See Abiasaph. Eder (''flock"), a grandson of Merari, son of Levi (1 Chron. 23:23; 24:30); perhaps the same as Ader (q.v.). Eglah ("calf'), one of David's wives (2 Sam. 3:5; 1 Chron. 3:3). Edom ("red"), name given to Esau, the elder son of Isaac, because of his red skin (Gen. ·25:30). See Esau; Obed-Edom. Eglon ("circle"), a king of Moab who oppressed Israel in the days of the judges (Judg. 3:12-17). Ehud ("strong"). [1] A judge who delivered Israel from the oppression of Eglon of Moab (Judg. 3:15-30). [2] Great-grandson of Benjamin (1 Chron. 7: 10; 8:6); Ehi. See Ahiram. perhaps the same as [1]. Elah ("oak"). [1] A chieftain of Edom (Gen. 36:41; 1 Chron. 1:52). [2] Father of a commissary officer under Solomon (1 Kings 4: 18). [3] The son and successor of Baasha, king of Israel. He was murdered by Zimri (1 Kings 16:6-14). [4] The father of Hoshea, last king of Israel (2 Kings 15:30; 17:1). [5] A son of Caleb, son of Jephunneh (1 Chron. 4:15). [6] A descendant of Benjamin (1 Chron. 9:8). Eker ("root"), a descendant of Judah (1 Chron. 2:27). Eladah ("God is ornament"), a descendant of Ephraim (1 Chron. 7:20). Elam (a personification of the empire of south Iran, the Elamites). [1] A son of Shem (Gen. 10:22; 1 Chron. 1: 17). [2] A descendant of Benjamin (1 Chron. 8:22). [3] A descendant of Korah (1 Chron. 16:3). [4] A leader of the people who sealed the new covenant with God after the Exile (Neh. 10: 14). [5] A priest of Nehemiah's time who helped to cleanse Jerusalem (Neh. 12:42). [6] One whose descendants returned from the Exile (Ezra 2:7). [7] Another whose descendants returned from the Exile (Ezra 2:31). [8] Yet another whose descendants returned from the Exile (Ezra 8:7). [9] Ancestor of some who married foreign wives during the Exile (Ezra 10:2). Eliakim (''God is setting up''). [1] Successor of Shebna as master of Hezekiah' s household (2 Kings 18:18, 26; Isa. 22:20). [2] Original name of King Jehoiakim (q.v.). [3] A priest in Nehemiah's time (Neh. 12:41). [4] An ancestor of Christ (Matt. 1:13). Elasah ("God is doer"). [1] One who married a foreign wife (Ezra 10:22). [2] Ambassador of Zedekiah (Jer. 29:3). [3] See Eleasah. Eliam ("my God is a kinsman; God is founder of the people"). [1] Father of Bathsheba (2 Sam. 11:3). [2] One of David's mighty men (2 Sam. 23:34). Eldaah ("whom God calls"), a son of Midian (Gen. 25:4; 1 Chron. 1:33). Elead ("God is witness"), a descendant of Ephraim slain by invaders (1 Chron. 7:21). Eldad ("God is a friend"), one of two elders who received the prophetic powers of Moses (Num. 11:2627). Eleasah ("God is doer"). [1] A descendant of Judah (1 Chron. 2:39-40). [2] A descendant of King Saul (1 Chron. 8:37;9:43).See Elasah. (2 Sam. 23:9; 1 Chron. 11:12). [4] A descendant of Merari who had no sons (1 Chron. 23:21-22; 24:28). [5] A priest who accompanied Ezra when he returned to Jerusalem (Ezra 8:33). [6] A priest who assisted at the dedication of the walls of Jerusalem (Neh. 12:42); possibly the same as [5]. [7] An ancestor of Jesus (Matt. 1: 15). Eleazar ("God is helper"). [1] Third son of Aaron and successor to the high priest's office (Exod. 6:23; Num. 3:32; 20:28). [2] One sanctified to keep the ark of the covenant (1 Sam. 7: 1). [3] One of David's mighty men Elhanan ("whom God gave; God is gracious''). [1] The warrior who killed Lahmi, the brother of Goliath (1 Chron. 20:5; 2 Sam. 21:19). [2] One of David's mighty men (2 Sam. 23:24; 1 Chron. 11:26). Eliab ("God is father"). [1] A prince of Zebulun (Num. 1:9; 2:7; 7:24, 29; 10: 16). [2] Father of the wicked pair, Dathan and Abiram (Num. 16:1, 12; 26:8). [3] Son of Jesse and brother of David (1 Sam. 16:6); he is called Elihu in 1 Chronicles 27:18. [4] Ancestor of Samuel (1 Chron. 6:27); he is called Eliel in 1 Chronicles 6:34 and Elihu in 1 Samuel 1: 1. [5] A warrior of David (1 Chron. 12:8-9, 14). [6] A Levite musician in the time of David (1 Chron. 15: 18, 20; 16:5). [7] See Eliel. Eli ("Jehovah is high"), high priest at Shiloh and judge of Israel. He is remembered for his lack of firmness (1 Sam. 1-4). See also Heli. Eliada [Eliadah] ("God is knowing"). [1] A mighty man of Jehoshaphat (2 Chron. 17: 17). [2] Father of Rezon (1 Kings 11:23). [3] See Beeliada. Eliahba ("God hides"), one of David's 30-man guard (2 Sam. 23:32; 1 Chron. 11:33). Eliah. See Elijah. Eliasaph ("God is gatherer"). [1] Head of the tribe of Gad (Num. 1:14; 2: 14; 7:42, 47). [2] A prince of Gershon (Num. 3:24). Elias, Greek form of Elijah (q.v.). Eliashib ("God is requiter"). [1] A priest in the time of David (1 Chron. 24: 12). [2] A descendant of David (1 Chron. 3:24). [3] The high priest in Nehemiah's time (Neh. 3:1,20-21). [4], [5], [6] Three men who married foreign wives during the Exile (Ezra 10:24, 27, 36). [7] One who assisted Ezra in resolving the matter of the foreign wives (Ezra 10:6; Neh. 12:10); possibly the same as [3]. Elidad ("God is a friend"), a chief of the tribe of Benjamin (Num. 34:21). Eliathah ("God is come"), one appointed for the song service in the temple (1 Chron. 25:4,27). Eliel ("God, my God"). [1] Head of a family of the tribe of Manasseh (1 Chron. 5:24). [2] A descendant of Benjamin (1 Chron. 8:20). [3] Another descendant of Benjamin in Chronicles (1 Chron. 8:22). [4] A captain of David's army (1 Chron. 11:46). [5] One of David's mighty men (1 Chron. 11:47). [6] One who joined David at Ziklag (1 Chron. 12:11); perhaps the same as [4] or [5]. [7] A chief of Judah (1 Chron. 15:9); perhaps [4]. [8] A chief Levite whom David commissioned to bring the ark of the covenant to the temple (1 Chron. 15:11). [9] The Levite overseer of the dedicated things of the temple under Hezekiah (2 Chron. 31:13). [10] See Eliab. Eliezer ("God is help"). [1] Abraham's chief servant (Gen. 15:2). [2] The second son of Moses and Zipporah (Exod. 18:4; 1 Chron. 23:15, 17). [3] A descendant of Benjamin (1 Chron. 7:8). [4] A priest who assisted with bringing the ark of the covenant to the temple (1 Chron. 15:24). [5] A prince of Reuben in the time of David (1 Chron. 27:16). [6] A prophet who rebuked Jehoshaphat (2 Chron. 20:37). [7] A leader who induced others to return to Jerusalem (Ezra 8: 16). [8], [9], [10] Three men who took foreign wives during the Exile (Ezra 10:18,23,31). [11] An ancestor of Christ (Luke 3:29). Elienai ("unto God are my eyes"), a chief of Benjamin (1 Chron. 8:20). Elihoenai ("to Jehovah are my eyes"), ancestor of some returned exiles (Ezra 8:4). See also Elioenai. Elihoreph (" God of harvest grain "), a scribe of Solomon (1 Kings 4:3). Elihu ("God himself"). [1] One who joined David at Ziklag (1 Chron. 12:20). [2] A porter at the tabernacle at the time of David (1 Chron. 26:7). [3] The youngest "friend" of Job (Job 32:2,4-6). [4] See Eliab [3]. [5] See Eliab [4]. called Elphalet in 1Chronicles 14:5. [3] One of David's mighty men (2 Sam. 23:34). [4] A descendant of Benjamin and Saul (1 Chron. 8:39). [5] One who came back to Jerusalem with Ezra (Ezra 8: 13). [6] One who took a foreign wife during the Exile (Ezra 10:33). Eliphaz (" God is dispenser''). [1] The leader of Job's three "friends" who confronted him (Job 2: 11; 4: 1; 15:1). [2] A son of Esau (Gen. 36:4,10-12; 1 Chron. 1:35-36). Elika ("God is rejector"), one of David's warriors (2 Sam. 23:25). Elioenai ("to Jehovah are my eyes"). [1] A descendant of David (1 Chron. 3:23-24). [2] A chief of the tribe of Simeon (1 Chron. 4:36). [3] A chief of Benjamin (l Chron. 7:8). [4], [5] Two men who had married foreign wives during the Exile (Ezra 10:22, 27). [6] A priest in the days of Nehemiah (Neh. 12:41); possibly the same as [4]. [7] A doorkeeper of the temple (1 Chron. 26:3). [8] See Elihoenai. Elijah [Eliah; Elias] ("Jehovah is my God"). [1] A great prophet of God; he strenuously opposed idolatry and was caught up in a chariot of fire at death (1 Kings 17:1-2 Kings 2:11; Matt. 17:3). [2] A chief of the tribe of Benjamin (1 Chron. 8:27). [3] One who married a foreign wife during the Exile (Ezra 10:26). [4] Another who took a foreign wife during the Exile (Ezra 10:21). Elimelech ("my God is King"), the husband of Naomi and father-in-law of Ruth. He died in Moab (Ruth 1:2-3; 2:1, 3; 4:3, 9). Eliphal ("God is judge"), one of David's mighty men (1 Chron. 11:35). Eliphalet [Eliphelet; Elpalet] ("God is escape"). [1] The last of David's thirteen sons (2 Sam. 5:16; 1 Chron. 3:8; 14:7). [2] Another of David's sons (1 Chron. 3:6); Elipheleh ("Jehovah is distinction"), a Levite set over the choral service of the temple when the ark of the covenant was returned (1 Chron. 15:18, 21). Elisabeth ("God is swearer; oath of God"), the wife of Zacharias and mother of John the Baptist (Luke 1:5-57). Eliphelet. See Eliphalet. Eliseus, Greek form of Elisha (q. v.). Elishama ("God is hearer"). [1] Grandfather of Joshua (Num. 1:10; 2:18; 1 Chron. 7:26). [2] A son of King David (2 Sam. 5: 16; 1 Chron. 3:8). [3] Another son of David (l Chron. 3:6); also called Elishua ("God is rich") in 2 Samuel 5: 15and 1Chronicles 14:5. [4] A descendant of Judah (1 Chron. 2:41). [5] One of the "royal seed" and grandfather of Gedaliah (Jer. 41:1; 2 Kings 25:25). [6] A scribe or secretary of Jehoiakim (Jer. 36: 12, 20, 21). [7] A priest sent by Jehoshaphat to teach the Law (2 Chron. 17:8). Elisha [Elishah; Eliseus] ("God is Saviour"). [1] The disciple and successor of Elijah; he held the prophetic office for 55 years (1 Kings 19:16-17,19; 2 Kings 2-6; Luke 4:27). [2] Eldest son of Javan and grandson of Noah (Gen. 10:4). Elishaphat ("God is judge"), one of the captains of hundreds commissioned by Jehoiada (2 Chron. 23: 1). Enoch [Henoch] ("teacher"). [1] The eldest son of Cain (Gen. 4:17-18). [2] A son of Jared and an ancestor of Christ (Gen. 5:18-19, 21; 1 Chron. 1:3; Luke 3:37; Heb. 11:5). Elishua. See Elishama [3]. Elizaphan [Elzaphan] ("God is protector"). [1] A chief of the family of Kohath (Nurn, 3:30; 1 Chron. 15:8); he is also called Elzaphan (Exod. 6:22; Lev. 10:4). [2] A prince of the tribe of Zebulun (Num. 34:25). [3] An ancestor of some of the Levites who cleansed the temple in Hezekiah's time (2 Chron. 29:13). Elisheba ("God is swearer; God is an All the People of the Bible oath"), the wife of Aaron and mother of Nadab, Abihu, Eleazar, and Ithamar (Exod. 6:23). Eliud ("God my praise"), an ancestor of Jesus (Matt. 1:14-15). Elizur ("God is a rock"), a chief of the tribe of Reuben who assisted Moses in taking the census (Num. 1:5; 2:10; 7:30, 35). Elmodam ("measure"), an ancestor of Christ (Luke 3:28). Elkanah [Elkonah] ("God is possessing"). [1] Grandson of Korah (Exod. 6:24; 1 Chron. 6:23). [2] Father of the prophet Samuel and a descendant of [1] (1 Sam. 1:1-23; 2: 11, 20). [3] A descendant of Levi (1 Chron. 6:25, 36). [4] A descendant of Levi (1 Chron. 6:26, 35); perhaps the same as [3]. [5] A Levite ancestor of Berechiah (1 Chron. 9: 16). [6] One who joined David at Ziklag (1 Chron. 12:6). [7] A doorkeeper of the ark of the covenant (1 Chron. 15:23); perhaps the same as [6]. [8] An officer of King Ahaz (2 Chron. 28:7). Elnaam ("God is pleasant"), the father of two of David's warriors (1 Chron. 11:46). Elon ("oak; strong"). [1] Father of a wife of Esau (Gen. 26:34; 36:2). [2] A son of Zebulun (Gen. 46: 14; Num. 26:26). [3] A judge of Israel for ten years (Judg. 12:11-12). Elnathan ("God is giving"). [1] Father of Nehushta, Jehoiakim's queen (2 Kings 24:8; Jer. 26:22). [2], [3], [4] Three Levites in the time of Ezra (Ezra 8: 16). Elpaal (''God is working''), a descendant of Benjamin (l Chron. 8:11-12). Eluzai ("God is strong"), one who joined Elpalet. See Eliphalet [2]. David at Ziklag (1 Chron. 12:5). Elzabad ("God is endowing"). [1] One who joined David at Ziklag (1 Chron. 12: 12). [2] A descendant of Levi (1 Chron. 26:7). Elymas [Bar-jesus] ("a sorcerer"), a false prophet who opposed Saul and Barnabas at Paphos (Acts 13:8); he was also named Barjesus (v.6). Elzaphan. See Elizaphan. Emmor, Greek form of Hamor (q.v.). Enan ("eyes; fountain"), father of a prince of Naphtali (Num. 1:15; 2:29). Enos [Enosh] ("mortal"), son of Seth and ancestor of Enosh Christ (Gen. 4:26; 5:6-11; 1 Chron. 1: 1; Luke 3:38). Epaenetus ("praised"), a Christian at Rome to whom Paul sent greetings (Rom. 16:5). . SeeEnos. Epaphras (shortened form of Epaphroditus-"lovely"), a Christian worker with Paul who served as missionary to Colossae (Col. 1:7; 4:12; Philem. 23). Ephah ("obscurity"). [1] A concubine of Caleb (l Chron. 2:46). [2] A descendant of Judah (1 Chron. 2:47). [3] A grandson of Abraham (Gen. 25:4; 1 Chron. 1:33). * Epaphroditus ("lovely"), a Philippian Christian who worked so strenuously that he lost his health (Phil. 2:25; 4:18). Ephai ("obscuring"), one whose children were left in Judah after the Exile (Jer. 40:8). Ephlal ("judging"), a descendant of Pharez through Jerahmeel (1 Chron. 2:37). Epher ("calf; young deer"). [1] A grandson of Abraham and son of Midian (Gen. 25:4; 1 Chron. 1:33). [2] One of the descendants of Judah (1 Chron. 4: 17). [3] A chief of the tribe of Manasseh east of the Jordan River (l Chron. 5:24). Ephod ("oracular"), father of a prince of the tribe of Manasseh (Num. 34:23). Ephratah [Ephrath] ("fertility"), the second wife of Caleb (l Chron. 2: 19, 50; 4:4). Ephraim ("doubly fruitful"), the second son of Joseph by Asenath. Although Ephraim was the younger of the two sons of Joseph, he received the firstborn's blessing. He was an ancestor of one of the twelve tribes of Israel (Gen. 41:52; 46:20; 48; 50:23). Ephron ("strong"), a Hittite from whom Abraham bought a field with a cave, which became Sarah's burial place (Gen. 23:8, 10, 13-14; 49:30). Eran ("watcher; watchful"), the son of Ephraim's oldest son (Num. 26:36). Er ("watcher"). [1] Eldest son of Judah, slain by God (Gen. 38:3, 6-7; 1Chron. 2:3). [2] A son of Shelah (l Chron. 4:21). [3] An ancestor of Jesus (Luke 3:28). Erastus ("beloved"). [1] Christian sent with Timothy into Macedonia while Paul stayed in Asia (Acts 19:22). [2] An important person in Corinth sending greetings to Rome (Rom. 16:23). [3] One who remained at Corinth (2 Tim. 4:20). Perhaps some or all of the above are identical. Esaias, Greek form of Isaiah (q.v.). Eri ("watcher"), a son of Gad (Gen. 46: 16; Num.26:16). Esarhaddon ("Ashur has given a brother"), the son of Sennacherib and a powerful king of Assyria (2 Kings 19:37; Ezra 4:2; Isa. 37:38). Eubulus ("of good counsel"), one of the Roman Christians that remained loyal to Paul (2 Tim. 4:21). Esau ("hairy"), eldest son of Isaac and twin brother of Jacob. He is the progenitor of the tribe of Edom (Gen. 25:25). He sold his birthright to Jacob (Gen. 25:26-34; 27; 36). Esh-baal ("man or servant of Baal"), altered to a curse. See Ish-bosheth. Eunice ("conquering well"), the pious mother ofTimothy (2 Tim. 1:5; cf. Acts 16: 1). Esau's Wives: There are two lists of Esau's—wivesGenesis 26:34; 28:9 list them in this fashion: [1] Judith, the daughter of Beeri the Hittite. [2] Bashemath, daughter of Elon the Hittite and [3] Mahalath, the daughter of Ishmael, Abraham's son. The other list in Genesis 36:2-3 runs thus: [1] Aholibamah, the daughter of Anah the daughter of Zibeon. [2] Adah, the daughter of Elon the Hittite and [3] Bashemath, the daughter of Ishmael. Some scholars suppose we are dealing with six women, but this seems unlikely. In the ancient world, many women received new names at marriage and this fact would account for the different names. Thus, [1] Judith is Aholibamah, [2] Bashemath is Adah, and [3] Mahalath is Bashemath. As far as Judith is concerned, Beeri might be her father and Anah her mother; or perhaps Anah is another name of Beeri. Some even think Beeri ("man of the springs'') is a nickname rather than a proper name. Eshban ("man of understanding"), son of Dishon (Gen. 36:26; 1 Chron. 1:41). Eshek ("oppressor"), a descendant of King Saul (1 Chron. 8:39). Eshcol ("a cluster of grapes"), the brother of Mamre and Aner who helped Abraham defeat Chedorlaomer (Gen. 14: 13-24). Eshton ("rest"), a descendant of Judah through Caleb (1 Chron. 4:11-12). Esrom, Greek form of Hezron (q.v.). Esli ("reserved"), an ancestor of Christ (Luke 3:25). Esther ("star; [the goddess] Ishtar"), the Persian name of Hadassah, who was chosen by Ahasuerus to be his queen. The Book of Esther tells her story. Ethan ("ancient"). [1] A wise man in the days of Solomon (l Kings 4:31; Psa. 89 title). [2] A descendant of Judah (l Chron. 2:6, 8). [3] See Jeduthun. [4] A descendant of Levi (1 Chron. 6:42). Etam ("wild beast's lair"), a name occurring in Judah's genealogy list (l Chron. 4:3). It may be a place name. Ethbaal ("Baal's man; with Baal"), king of Sidon and father of Ahab's wife Jezebel (l Kings 16:31). Ethni ("my gift"), one whom David set over the song service of the temple (1 Chron. 6:41). Ethnan ("gift"), grandson of Ashur through Caleb, son of Hur (l Chron. 4:7). Eutychus ("fortunate"), a young man at Troas whom Paul restored to life (Acts 20:6-12). Euodias (''fragrant''), a Christian woman at Philippi (PhiI.4:2). The KJV is mistaken at this point, giving a man's name for a woman's. The name should read Euodia. Eve ("life; life-giving"), the first woman, Adam's wife (Gen. 3:20; 4:1; 2 Chron. 11:3). Evi ("desire"), one of the five kings of Midian slain by Israel (Num. 31:8; Josh. 13:21). Evil-merodach (Babylonian, Arvil-Marduk—"the man of [the god] Marduk"), the king of Babylon who released Jehoiachin from imprisonment. He succeeded his father, Nebuchadnezzar (2 Kings 25:27-30; Jer. 52:31). City of. Exile. An ancient clay tablet shows a map of Nippur, a city located along the Chebar River in Babylonia. Ezekiel and the other exiles of Judah were taken to cities like Nippur (Ezek. 1:1-3). However, the exact city where Ezekiel stayed is not known. Ezar. See Ezer [6]. David's mighty men (1 Chron. 11:37). Ezbai("shining; beautiful"), the father of one of Ezbon ("bright"). [1] A son of Gad (Gen. 46:16), called Ozni ("Jehovah hears") in Numbers 26: 16. [2] A descendant of Benjamin (1 Chron. 7:7). Ezekiel ("God strengthens"), a prophet of a priestly family carried captive to Babylon. He prophesied to the exiles in Mesopotamia by the river Chevar, and is the author of the book bearing his name (Ezek. 1:3; 24:24). Ezekias, Greek form of Hezekiah (q.v.). Ezer, English rendering of two Hebrew names: A. ("help") [1] A son of Ephraim slain by the inhabitants of Gath (1 Chron. 7:21). [2] A priest in Nehemiah's time (Neh. 12:42). [3] A descendant of Judah through Caleb (1 Chron. 4:4); perhaps the same as Ezra [2]. [4] A valiant man who joined David at Ziklag (1 Chron. 12:9). [5] A Levite who assisted in repairing the wall of Jerusalem (Neh. 3: 19). B. ("union"), a son of Seir (Gen. 36:21, 27, 30; 1 Chron. 1:42); he is also called Ezar (1 Chron. 1:38). See Abi-ezer; Romanti-ezer. Ezri ("my help"), one of David's superintendents of farm workers (1 Chron. 27:26). Ezra ("help"). [1] Head of one of the courses of priests that returned from the Exile (Neh. 12: 1). The full form of his name, Azariah , occurs in Nehemiah 10:2. [2] A descendant of Judah through Caleb (1 Chron. 4:17). See Ezer [3]. [3] A prominent scribe and priest descended from Hilkiah the high priest (Ezra 7:1-12; 10:1; Neh. 8:1-13). See Azariah. found under "H". * Article on The Herods can be End of the E's. Menu Click here to go to the Main
6. ISSUED BY CAGE CODE 2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 1300398894 5. PROJECT NO. (If applicable) 33 24-Nov-2014 N/A CODE N65236 7. ADMINISTERED BY (If other than Item 6) CODE S2404A SPAWAR-Systems Center Lant (CHRL) P.O. BOX 190022 North Charleston SC 29419-9022 email@example.com 843-218-5542 DCMA Manassas 14501 George Carter Way Chantilly VA 20151 8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State, and Zip Code) 9A. AMENDMENT OF SOLICITATION NO. SCIENCE APPLICATIONS INTERNATIONAL CORP 1710 SAIC Drive McLean VA 22102-3702 9B. DATED(SEE ITEM 11) 10A. MODIFICATION OF CONTRACT/ORDER NO. [X] N00178-04-D-4119-V708 10B. DATED (SEE ITEM 13) 6XWA8 FACILITY CODE 10-May-2010 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS [ ]The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers [ ] is extended, [ ] is not extended. Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods: (a) By completing Items 8 and 15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. 12. ACCOUNTING AND APPROPRIATION DATA (If required) 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS, IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14. () A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A. [ ] [X] B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.)SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b). [ ] C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF: [ ] D. OTHER (Specify type of modification and authority) E. IMPORTANT: Contractor[ X ]is not, [ ] is required to sign this document and return copies to the issuing office. 14. DESCRIPTION OF AMENDMENT/MODIFICATION(Organized by UCF section headings, including solicitation/contract subject matter where feasible.) SEE PAGE 2 15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print) JEFFREY R HARTER, Contracting Officer 15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED BY /s/JEFFREY R HARTER 01-Dec-2014 (Signature of person authorized to sign) (Signature of Contracting Officer) 1. CONTRACT ID CODE PAGE OF PAGES AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT U 1 2 NSN 7540-01-152-8070 PREVIOUS EDITION UNUSABLE 30-105 STANDARD FORM 30 (Rev. 10-83) Prescribed by GSA FAR (48 CFR) 53.243 GENERAL INFORMATION The purpose of this modification is to adjust the limitation of Liability table for cosmetic consistency - See Page 2 A conformed copy of this Task Order is attached to this modification for informational purposes only. The Line of Accounting information is hereby changed as follows: The total amount of funds obligated to the task is hereby increased from by The total value of the order is hereby increased from The Period of Performance of the following line items is hereby changed as follows: CLIN/SLIN From To LIMITATION OF LIABILITY - INCREMENTAL FUNDING (APR 1984) This is incrementally funded and the amount currently available for payment hereunder is limited to . It is estimated that these funds will cover the cost of performance through 9 May 2012. Subject to the provisions of the clause entitled “Limitation of Funds” (FAR 52.232-22) of the general provisions of this contract, no legal liability on the part of the Government for payment in excess of shall arise unless additional funds are made available and are incorporated as a modification to this \| CLIN \| Est. CPFF Total Order NTE \| Prior Funded Amount \| Increased Funded Amount \| Total Funded Amount \| \|---\|---\|---\|---\|---\| SECTION B SUPPLIES OR SERVICES AND PRICES CLIN - SUPPLIES OR SERVICES For Cost Type Items: Item PSC Supplies/Services Qty Unit Est. Cost Fixed Fee CPFF Item PSC Supplies/Services Qty Unit Est. Cost Fixed Fee CPFF 400023 R425 ACRN AY: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400024 R425 ACRN AZ: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400025 R425 ACRN BA: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400026 R425 ACRN BB: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400027 R425 ACRN BC: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400028 R425 ACRN BD: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400029 R425 ACRN BE: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400030 R425 ACRN BF: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400031 R425 ACRN BG: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400032 R425 ACRN BH: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400033 R425 ACRN BJ: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400034 R425 ACRN BK: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400035 R425 ACRN BL: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400036 R425 ACRN BM: INCREMENTAL FUNDING FOR PWS. (Fund Type - TBD) 400037 R425 PR# 1300190129 Doc# M6785410RC00485 Subtask# 8.1.6 Cost Code# 0RC00485502C NWA# 1000004226580010 (Fund Type -TBD) 400038 R425 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 1000004075230100 Subtask# 8.1.4 (Fund Type - TBD) 400039 R425 ACRN BQ: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC06M16 COST CODE: 1RC06M16502A NWA: 1000004731660010 (Fund Type -TBD) 400040 R425 ACRN BR: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 1000004683170010 (Fund Type -TBD) 400041 R425 ACRN BS: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 1000004731650010 (Fund Type TBD) 4100 R425 OPTION YEAR ONE (Fund Type - TBD) 410004 410005 410006 410009 410010 410011 410012 Item PSC Supplies/Services Qty Unit Est. Cost Fixed Fee CPFF 410001 R425 ACRN BT: LABOR FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA: 1000004743130010 (Fund Type TBD) 410002 R425 ACRN BU: LABOR FOR SUBTASK 8.1.6 PR:1300196909 DOC: MIPR0KDAVIBC06 NWA: 1000004345730010 (Fund Type - TBD) 410003 R425 ACRN BV: Labor for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 1000003892660009 (Fund Type -TBD) ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 1000004075230110 (Fund Type -TBD) ACRN BX: Labor for Subtask 8.1.6 PR: 1300204682 DOC: MIPR0KDAVIBC06 NWA: 1000004345730010 PROJECT ID: DR-008218 (Fund Type - TBD) ACRN BY: Labor for Subtask 8.1.6 PR: 1300204682 DOC: M6785411RC00268 NWA: 1000004731650010 PROJECT ID: DR-020998 (Fund Type - TBD) 410007 R425 ACRN BZ: Labor for Subtask 8.1.6PR: 1300204682 DOC: M6785411RC06M16 NWA: 100000473166 0010 PROJECT ID: DR-020998 (Fund Type - TBD) 410008 R425 ACRN CA: Labor for Subtask 8.1.2 PR: 1300204682 DOC: M6785410RC04591 NWA: 1000004166160050 PROJECT ID: DR-018286 (Fund Type - TBD) ACRN CB: Labor for Subtask 8.1.6 PR: 1300209797 DOC: M6785411RCOMFBB COST CODE: 1RCOMFBB50LD NWA: 1000004893440010 (Fund Type -TBD) ACRN CC: Labor for Subtak 8.1.6 PR: 1300209797 DOC: M6785411RC00472 COST CODE: 1RC00472501J NWA: 1000004903100010 (Fund Type TBD) ACRN CD: Labor for Subtask 8.1.4 PR: 1300209797 DOC: N0002511RC2094R COST CODE: 91U822521U82 NWA: 1000004907140010 (Fund Type -TBD) ACRN AE: Labor for PWS PR: 1300210869 DOC: MIPR1JDAVIBC20 COST CODE: S20113 NWA: 1000004913690010 (Fund Type - R425 R425 R425 R425 R425 R425 R425 Item PSC Supplies/Services Qty Unit Est. Cost Fixed Fee CPFF TBD) 410013 R425 ACRN CF: Labor for PWS Subtask 8.1.3 PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA: 1000004959870010 (Fund Type - TBD) 410014 R425 ACRN CG: Labor for PWS PR: 1300224702 DOC: M6785411RC00574 NWA: 1000004909760040 (Fund Type -TBD) 410015 R425 ACRN CH: Labor for PWS PR: 1300227709 DOC: M6785410RC00702 COST CODE: 502C 067443 NWA: 1000004072890040 (Fund Type - TBD) 410016 R425 ACRN CJ: Labor for PWS PR: 1300237770 DOC: M6785412RC00023 NWA: 1000004909760040 (Fund Type -TBD) For ODC Items: Item PSC Supplies/Services Qty Unit Est. Cost Item PSC Supplies/Services Qty Unit Est. Cost CODE:0RC95B54174H(Fund Type - TBD) 600014 R425 PR#: 1300169658 DOCUMENT#: M6785410MPF0207 NETWORK#: 100000429312 ACTIVITY#: 0020 SUBTASK 22.214.171.124 (Fund Type - TBD) 600015 R425 PR#: 1300169658 DOCUMENT#: M6785410MPF0208 NETWORK#: 100000429316 ACTIVITY#: 0020 SUBTASK 126.96.36.199 (Fund Type - TBD) 600016 R425 PR#: 1300169658 DOCUMENT#: M6785410RC06963 NETWORK#: 100000421780 ACTIVITY#: 0010 SUBTASK 188.8.131.52 COST CODE:0RC06963502A(Fund Type - TBD) 600017 R425 PR#: 1300169658 DOCUMENT#: M6785410RC00469 NETWORK#: 100000407772 ACTIVITY#: 0040 SUBTASK 184.108.40.206 COST CODE:0RC00469502C(Fund Type - TBD) 600018 R425 PR#: 1300169658 DOCUMENT#: M9545009RC00500 NETWORK#: 100000389257 ACTIVITY#: 0001 SUBTASK 220.127.116.11 (Fund Type - TBD) 600019 R425 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 18.104.22.168 COST CODE:0RC00468502C(Fund Type - TBD) 600020 R425 PR#: 1300169658 DOCUMENT#: F3QCDA009G001 NETWORK#: 100000407784 ACTIVITY#: 0030 SUBTASK 22.214.171.124 DODAAC F03000 (Fund Type - TBD) 600021 R425 PR#: 1300172224 DOCUMENT#: M6785410RC00702 NETWORK#: 100000407289 ACTIVITY#: 0040 COST CODE: 0RC00702502C SUBTASK 8.1.6 (Fund Type - TBD) 600022 R425 PR#: 1300172224 DOCUMENT#:M9545009RC00065 NETWORK#: 100000389111 ACTIVITY#: 0001 COST CODE:9RC0006515US SUBTASK 8.1.6 (Fund Type - TBD) 600023 R425 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE: 9RC0050150M2 SUBTASK: 8.1.6 (Fund Type - TBD) 600024 R425 PR# 1300175398 DOCUMENT#: MIPR0KDAVIBC06 NETWORK#: 100000434573 ACTIVITY#: 0010 SUBTASK: 8.1.6 (Fund Type - TBD) 600025 R425 PR#: 1300175398 DOCUMENT#:M6785410RCAAEV1 NETWORK#:100000418088 ACTIVITY#:0050 COST CODE:0RCAAEV150CH SUBTASK: 8.1.6 (Fund Type - TBD) 600026 R425 PR#: 1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#: 100000416221 ACTIVITY#: 0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 (Fund Type - TBD) 600027 R425 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 (Fund Type - TBD) 600028 R425 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 (Fund Type - TBD) 600029 R425 PR#:1300175398 DOCUMENT#: M6785410RC85J71 NETWORK#:100000407523 ACTIVITY#:0080 COST CODE:0RC85J7117WN SUBTASK: 8.1.4 (Fund Type - TBD) 600030 R425 PR#: 1300177894 DOCUMENT#: N6258310WXSS803 NETWORK#:100000414331 ACTIVITY#: 0020 COST CODE: 625830WRTCHW SUBTASK: 8.1.4 (Fund Type - TBD) 600031 R425 PR#: 1300177894 DOCUMENT#:M6785410RCAAGS0 NETWORK#:100000437764 ACTIVITY#:0050 COST CODE:0RCAAGS050CH SUBTASK: 126.96.36.199 (Fund Type - TBD) 600032 R425 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 188.8.131.52 (Fund Type - TBD) Item PSC Supplies/Services Qty Unit Est. Cost 600033 R425 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 184.108.40.206 (Fund Type - TBD) 600034 R425 PR#: 1300177894 DOCUMENT#: M6785410RCOMN22 NETWORK#: 100000437764 ACTIVITY#: 0030 COST CODE:0RCOMN2250CH SUBTASK: 220.127.116.11 (Fund Type - TBD) 600035 R425 PR#: 1300177894 DOCUMENT#: M6785410RCOMF30 NETWORK#: 100000437764 ACTIVITY#: 0010 COST CODE:0RCOMF3050LD SUBTASK: 18.104.22.168 (Fund Type - TBD) 600036 R425 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 1000004075230100 Subtask# 8.1.4 (Fund Type - TBD) 600037 R425 ACRN BQ: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC06M16 COST CODE: 1RC06M16502A NWA:100000473166 0010(Fund Type - TBD) 600038 R425 ACRN BR: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 1000004683170010 (Fund Type -TBD) 600039 R425 ACRN BS: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 1000004731650010 (Fund Type -TBD) 6100 R425 OPTION YEAR ONE (Fund Type - TBD) 610001 R425 ACRN BT: ODC FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA:100000474313 0010(Fund Type - TBD) 610002 R425 ACRN BU: ODC FOR SUBTASK 8.1.6 PR:1300196909 DOC: MIPR0KDAVIBC06 NWA: 1000004345730010 (Fund Type -TBD) 610003 R425 ACRN BV: ODC for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 1000003892660009 (Fund Type -TBD) 610004 R425 ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 1000004075230110 (Fund Type -TBD) 610005 R425 ACRN BX: ODC for Subtask 8.1.6 PR: 1300204682 DOC: MIPR0KDAVIBC06 NWA: 1000004345730010 PROJECT ID: DR-008218 (Fund Type - TBD) 610006 R425 ACRN BY: ODC for Subtask 8.1.6 PR: 1300204682 DOC: M6785411RC00268 NWA: 1000004731650010 PROJECT ID: DR-020998 (Fund Type - TBD) 610008 R425 ACRN CA: Labor for Subtask 8.1.2 PR: 1300204682 DOC: M6785410RC04591 NWA: 1000004166160050 PROJECT ID: DR-018286 (Fund Type - TBD) 610009 R425 ACRN CB: ODC for Subtask 8.1.6 PR:1300209797 DOC: M6785411RCOMFBB COST CODE: 1RCOMFBB50LD NWA:100000489344 0010(Fund Type - TBD) 610010 R425 ACRN CC: ODC for Subtak 8.1.6 PR: 1300209797 DOC: M6785411RC00472 COST CODE: 1RC00472501J NWA:100000490310 0010(Fund Type - TBD) 610011 R425 ACRN CD: Labor for Subtask 8.1.4 PR: 1300209797 DOC: N0002511RC2094R COST CODE: 91U822521U82 NWA: 1000004907140010 (Fund Type -TBD) 610012 R425 ACRN AE: Labor for PWS PR: 1300210869 DOC: MIPR1JDAVIBC20 COST CODE: S20113 NWA: 1000004913690010 (Fund Type - TBD) 610013 R425 ACRN CF: ODC for PWS Subtask 8.1.3PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA:100000495987 0010(Fund Type - TBD) Item PSC Supplies/Services Qty Unit Est. Cost 610014 R425 ACRN CG: ODC for PWS PR: 1300224702 DOC: M6785411RC00574 NWA: 1000004909760040 (Fund Type -TBD) 610015 R425 ACRN CH: Labor for PWS PR: 1300227709 DOC: M6785410RC00702 COST CODE: 502C 067443 NWA: 1000004072890040 (Fund Type - TBD) 610016 R425 ACRN CJ: ODC for PWS PR: 1300237770 DOC: M6785412RC00023 NWA: 1000004909760040 (Fund Type -TBD) 5252.216-9204 LEVEL OF EFFORT--FEE ADJUSTMENT FORMULA (MAR 1994) (a) Subject to the provisions of the "Limitation of Cost" or "Limitation of Funds" clause (whichever is applicable to this contract), it is hereby understood and agreed that the fixed fee is based upon the Contractor providing the following number of staff-hours of direct labor, hereinafter referred to as X, at the estimated cost and during the term of this contract specified elsewhere herein: [Contractor shall insert number of estimated direct labor staff hours] Total Staff-Hours (X)Total Prime Staff-HoursFixed Fee** (inclusive of Prime and any proposed Subcontractor(s)) Contractor is to identify basis for fixed fee amount: Prime Hours Only Total Staff-Hours The Contractor agrees to provide the total level of effort specified above in performance of work described in Sections "B" and "C" of this contract. (b) Of the total staff-hours of direct labor set forth above, it is estimated that _0_ staff-hours are competitive time (uncompensated overtime). Competitive time (uncompensated overtime) is defined as hours provided by personnel in excess of 40 hours per week without additional compensation for such excess work. All other effort is defined as compensated effort. If no amount is indicated in the first sentence of this paragraph, competitive time (uncompensated overtime) effort performed by the contractor shall not be counted in fulfillment of the level of effort obligations under this contract. (c) Effort performed in fulfilling the total level of effort obligations specified above shall only include effort performed in direct support of this contract and shall not include time and effort expended on such things as local travel from an employee's residence to their usual work location, uncompensated effort while on travel status, truncated lunch periods, or other time and effort which does not have a specific and direct contribution to the tasks described in Section B. (d) It is understood and agreed that various conditions may exist prior to or upon expiration of the term of the contract, with regard to the expenditure of labor staff-hours and/or costs thereunder which may require adjustment to the aggregate fixed fee. The following actions shall be dictated by the existence of said conditions: (1) If the Contractor has provided not more than 105% of X or not less than 95% of X, within the estimated cost, and at the term of the contract, then the fee shall remain as set forth in Section B. (2) If the Contractor has provided X-staff-hours, within the term, and has not exceeded the estimated cost then the Contracting Officer may require the Contractor to continue performance until the expiration of the term, or until the expenditure of the estimated cost of the contract except that, in the case of any items or tasks funded with O&MN funds, performance shall not extend beyond 30 September. In no event shall the Contractor be required to provide more than 105% of X within the term and estimated cost of this contract. The fee shall remain as set forth in Section B. (3) If the Contractor expends the estimated cost of the contract, during the term of the contract and has provided less than X staff-hours, the Government may require the Contractor to continue performance, by providing cost growth funding, without adjusting the fixed fee, until such time as the Contractor has provided X staff-hours. (4) If the Contracting Officer does not elect to exercise the Government's rights as set forth in paragraph (d)(2) and (d)(3) above, and the Contractor has not expended more than 95% of X staff-hours, the fixed fee shall be equitably adjusted downward to reflect the diminution of work. The total fee due the contractor shall be adjusted so as to be in direct proportion to the number of direct hours utilized in the same ration of fee to the estimated total hours then set forth in the contract. (5) Nothing herein contained shall, in any way, abrogate the Contractor's responsibilities, and/or the Government's rights within the terms of the contract provision entitled "Limitation of Cost" or "Limitation of Funds" as they shall apply throughout the term of the contract, based upon the total amount of funding allotted to the contract during its specified term. (e) Within 45 days after completion of the work under each separately identified period of performance hereunder, the Contractor shall submit the following information in writing to the Contracting Officer with copies to the cognizant Contract Administration Office and DCAA office to which vouchers are submitted: (1) The total number of staff-hours of direct labor expended during the applicable period. (2) A breakdown of this total showing the number of staff-hours expended in each direct labor classification and associated direct and indirect costs. (3) A breakdown of other costs incurred. (4) The Contractor's estimate of the total allowable cost incurred under the contract for the period. In the case of a cost under-run, the Contractor shall submit the following information in addition to that required above: (5) The amount by which the estimated cost of this contract may be reduced to recover excess funds and the total amount of staff-hours not expended, if any. (6) A calculation of the appropriate fee reduction in accordance with this clause. All submissions required by this paragraph shall separately identify subcontractor information, if any. ADDITIONAL SLINS Additional SLINs will be unilaterally created by the Contracting Officer during performance of this Task Order to accommodate the multiple types of funds that will be used under this order. LIMITATION OF LIABILITY - INCREMENTAL FUNDING (APR 1984) This is incrementally funded and the amount currently available for payment hereunder is limited to . It is estimated that these funds will cover the cost of performance through 9 May 2012. Subject to the provisions of the clause entitled "Limitation of Funds" (FAR 52.232-22) of the general provisions of this contract, no legal liability on the part of the Government for payment in excess of shall arise unless additional funds are made available and are incorporated as a modification to this \| CLIN \| Est. CPFF Total Order NTE \| Prior Funded Amount \| Increased Funded Amount \| Total Funded Amount \| \|---\|---\|---\|---\|---\| \| 4000 \| \| \| \| \| \| 4100 \| \| \| \| \| \| 6000 \| \| \| \| \| \| 6100 \| \| \| \| \| SECTION C DESCRIPTIONS AND SPECIFICATIONS C-302 SPECIFICATIONS/STATEMENT OF WORK (DEC 1998) Work under this contract shall be performed in accordance with the following Performance Work Statement (PWS): SECTION C – Performance Work Statement SPAWARSYSCEN-Atlantic, Code 531N, Rapid Capability Insertion (RCI) 1.0 Introduction The Department of Navy, Space and Naval Warfare System Center Atlantic is acquiring Program Management, Engineering, Logistics, Integration, and Test and Evaluation services for the Tactical Command and Control Division. 2.0 BACKGROUND Early 2004, SPAWAR SYSTEMS CENTER -Atlantic (SSC-LANT) developed a capability in Charleston SC to answer a growing demand for Command, Control, Communication, Computing, Information Surveillance and Reconnaissance (C4ISR) and Counter Improvised Explosive Devices (CIED) in vehicles to support Operation Iraqi Freedom (OIF) and Operation Enduring Freedom (OEF). The operation is known as Rapid Capability Insertion (RCI). RCI focuses on shortening the lead time of delivering C4ISR integrated vehicles to the war fighters. The RCI operation reduces vehicle lead time by consolidating the integration of multiple C4ISR, and CIED systems into one location and by one organization. This organization is led by a team of SSC-LANT engineers and program managers, and is supported by service oriented contracts. The RCI mission focuses on sound engineering practices to determine the optimal methodology to append C4ISR and CIED equipment into a variety of vehicles. A seamless transition of vehicles from prototyping state to delivery is important to the success and efficiency of this operation. RCI has successfully completed over 18,000 vehicles since 2004, most notably was the rapid response for Mine Resistant Ambush Protected (MRAP) vehicles. The RCI operation is used by the Army, Navy, USMC, Air force, and SOCOM. The following provides background information for each system / platform contained within the scope of this Performance Work Statement (PWS): a. Mobile Modular Command and Control (M2C2) M2C2 was originally an Advanced Concept Technology Demonstrations (ACTD) candidate from the Joint Early Entry Program (JEEP) in 2001 that was driven by a Marine Forces Pacific (MARFORPAC) requirement to provide a light weight, transportable communications vehicle for early entry expeditionary forces to provide reach back Defense Information Network Systems (DISN) connection for common tactical pictures to improve situational awareness and wireless collaboration between staff members while On-The-Move/On-The-Halt (OTM/OTH). Currently, M2C2 provides the following capabilities to Regiment and below: v Combat Operations Center (COC) on the move v High Satellite Communication (SATCOM) bandwidth data communications while On The Move (OTM) v SIPR, NIPR and Coalition networks access v Wireless Access to allow collaboration between command staff v Hosts Command and Control Personal Computer (C2PC) gateway v Voice Over Internet Protocol (VoIP) capabilities to allow Defense Information System Network (DISN) and commercial Plain Old Telephone Service (POTS) phone calls v Radio cross-banding and over IP capabilities v Quick power-on with minimal setup time b. Advanced Field Artillery Tactical Data System (AFATDS) - Mobile Tactical Shelter (MTS) The AFATDS Mobile Tactical Shelter (MTS) is a modified S-788 shelter mounted on a High Mobility Multipurpose Wheeled Vehicle (HMMWV) and is employed by the Battery Fire Direction Center (FDC), Liaison Section and Battery Operations Center (BOC) to provide environmental protection for the AFATDS, associated peripheral equipment, and personnel while operating in a tactical environment. It provides protections against wind driven sand, dust, and rain while operating both mobile and stationary. It permits the performance of required tasks at night without compromising light discipline. c. Logistics Vehicle System Replacement (LVSR) The LVSR series of vehicles will replace the current Marine Corps heavy-tactical Logistics Vehicle System (LVS). As the Marine Corps' heavy-tactical distribution system, the LVSR Cargo variant will transport bulk liquids (fuel and water); ammunition; Standardized containers; bulk, break-bulk, palletized cargo and, bridging equipment. The LVSR Wrecker variant will perform heavy wrecker/recovery missions, while the LVSR 5th Wheel or Tractor variant will tow heavy engineer equipment and combat vehicles with the M870A2 40 ton Medium Heavy Equipment Trailer (MHET). The LVSR will be employed throughout the Marine Air-Ground Task Force (MAGTF) in the Marine Logistics Group (MLGs), Marine Divisions (MAR DIVs), and Marine Aircraft Wings (MAWs). d. Medium Tactical Vehicle Replacement (MTVR) The MTVR is a six-wheel drive all-terrain vehicle used by the United States Marine Corps and United States Navy. It is designed to replace the old M900-series of tactical trucks, and was first fielded in 1998, after the contract was awarded to Oshkosh Truck Corporation. The MTVR comes in 9 variants, for a wide spectrum of tasks. The MTVR is often referred to as a 7-Ton as this denotes the vehicle's off-road cargo capacity. e. Up-Armored HMMWV (UAH) There are at least 17 variants of the HMMWV in service. HMMWVs serve as cargo/troop carriers, automatic weapons platforms, S250 shelter carriers, and other roles. In response to the vulnerability of HMMWVs operating in Iraq, "Up-Armor" kits were designed and installed on HMMWVs. These kits, of which there are several types and iterations, include armored doors with bullet-resistant glass, side and rear armor plates, and a ballistic windshield which offer greater protection from ballistic threats and simple IEDs. f. Mine Resistant Ambush Protected (MRAP) Vehicles The MRAP family of vehicles provides War fighters multi-mission platforms capable of mitigating Improvised Explosive Devices (IEDs), underbody mines and small arms fire threats, which are currently the greatest casualty producers in the Global War on Terror. Three vehicle categories (CATs) are being procured. v CAT I - Urban combat operations (ops), ambulance v CAT II - Multi-mission ops - convoy lead, troop transport, ambulance, utility vehicle v CAT III - Mine/IED clearance ops, explosive ordnance disposal g. Medium Mine Protected Vehicles (MMPV) The Medium Mine Protected Vehicle (MMPV) is a class of armored vehicles currently being procured by the US Army. Similar to the MRAP program, which is currently being pursued by the US Army as well as the US Marine Corps, the Army's MMPV executive summary states: "The Medium Mine Protected Vehicle (MMPV) is a blast protected, wheeled vehicle platform that will operate in explosive hazardous environments to support emerging Future Engineer Force (FEF) Clearance Companies in route and area clearance operations, Explosive Hazards Teams in explosive hazards reconnaissance operations, and EOD companies in Explosive Ordnance Disposal operations." There are 2 variants of the MMPV vehicle. 3.0 SCOPE The objective of this task is to provide engineering services in support of the prototyping and insertion of a variety of C4ISR and CIED systems into multiple vehicle platforms in accordance with this PWS. The scope of work includes prototyping, designing, fabricating, integrating, testing, preparing and producing associated documentation and technical drawings and appending the C4ISR and CIED systems on each Variant. The nature of this task shall require contractor's responsiveness to unanticipated requirements in an agile manner with the least impact to scheduled deliveries. The performance of this tasking includes numerous unknown factors such as: late or defective GFE, delayed ship arrivals, accelerated deployment schedules, unplanned materials, additional GFE systems, changes in configuration baselines, as well as other personnel directed to support this effort. The contractor shall support all aspects of logistics required for the coordination, receipt, inventory and movement of vehicles. The contractor shall also provide complete logistics support for all Government Furnished Equipment (GFE) to be integrated. The specific systems to be integrated are dependent on availability from the GFE provider. It is anticipated that all integration work shall be performed at SSC-LANT. Specifically this PWS covers the following C4ISR and CIED systems: a. Force XXI Battle Command, Brigade and Below (FBCB2) Blue Force Tracking (BFT) including but not limited to the Defense Advanced GPS Receiver (DAGR) c. Tactical Radios including but not limited to AN/VRC-110, AN/VRC-103, AN/VRC-104, Enhanced Position Location Reporting System (EPLRS), KU Band Satellite Communications (SATCOM) systems, Iridium systems b. CIED systems including, but not limited to, Crew Vehicle Receiver/Jammer (CVRJ), Mobile Multiband Jammer (MMBJ), Chameleon, and Hunter d. Satellite Communications on the Move systems f. Remote Weapons Station (RWS) e. Driver Vision Enhancement (DVE) g. M2C2 Components including, but not limited to, Panasonic Tough Books, Network Panels, Keyboard, Video, Mouse (KVM) switches, Routers, SECNET-11 Devices i. Air-Digger systems h. Intercom Systems including but not limited to Tactical Operations Center Intercommunications (TOCNET) and Vehicular Intercommunication Set (VIC) AN/VIC-3 j. Motorized Marine Corps Transparent Armor Gun Shield (MCTAGS) The contractor shall provide training for the integration or delivery of the C4ISR and CIED systems onto the vehicle platform. Contractor shall provide minimal on the job training for the operation of the C4ISR and CIED systems during turn-over to the end-user. Contractor shall assist in developing fielding plans for new systems and developing a capability for a Continuity of Operation Plans (COOP). 4.0 Place of Performance Work shall be performed at; a. SSC-LANT facilities at Charleston, SC c. Contractor Charleston, SC facility b. SSC-LANT Continuation of Operation Plan site currently at Orangeburg, SC. d. US Army, Warren MI, and other Army sites e. US Marine Corp, Albany, GA, Quantico, VA, other Marine sites 5.0 APPLICABLE DOCUMENTS (AND DEFINITIONS) All work shall be accomplished using the best commercial practices and current acceptable industry standards. The applicable references and standards invoked will vary within individual tasks and will be specifically called-out in each task order. In accordance with Defense Acquisition Policy changes, maximum utilization of non-Governmental standards shall be made wherever practical. Where backward compatibility with existing systems is required, selected interoperability standards will be invoked. For purposes of bidding, the following documents are not exclusive; however, all contractors shall be able to meet those cited when applicable to the task. 5.1 Military Standards and Specifications – Mandatory Compliance \| a. \| Document Number MIL-DTL-31000 \| \|---\|---\| \| b. \| MIL-DTL-64159 \| \| c. \| MIL-PRF-29612 \| \| d. \| MIL-STD-129 \| \| e. \| MIL-STD-461 \| \| f. \| MIL-STD-882 \| \| g. \| MIL-STD-961 \| \| h. \| MIL-STD-810G \| 5.2 Reference Documents – Guidance Only The following documents form a part of this PWS. They are included as guides / references for technical practices followed and relate to various deliverable formats. In the event of conflict between the applicable documents and this PWS, the PWS shall take precedence. All second tier and below references cited in mandatory compliance documents, shall be considered as guidance only. Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been obtained. \| \| Document Number \| \|---\|---\| \| a. \| MIL-HDBK-61 \| \| b. \| MIL-STD-810G \| 5.3 Other Government Documents Unless otherwise stated, the following documents may be obtained from the Document Automation and Production Service, Building 4/D, 700 Robbins Avenue, Philadelphia, PA 19111-5094 or visit http://dodssp.daps.mil. \| \| Document Number \| \|---\|---\| \| a. \| DoD 5220.22-M \| \| b. \| DoD 5220.22-M-Sup 1 \| \| c. \| DoDD 5220.22 \| \| d. \| DoD 5200.2-R \| \| e. \| DoD 4650.1 \| \| f. \| DoDD 8500.1 \| \| g. \| DoDI 8500.2 \| \| h. \| SECNAVINST 5510.30 \| \| i. \| DoDI 8500.2 EKMS 1 \| \| j. \| NTIA Manual \| \| k. \| DFARS 252.211-7003 \| 5.4 Non-Government Documents \| \| Document Number \| \|---\|---\| \| a \| ASME Y14.34 \| \| b \| ASME Y14.100 \| \| c \| ASTM F1166-07 \| \| d \| EIA-625 \| \| e \| EIA-649 \| \| f \| DD Form 1494 \| \|---\|---\| \| g \| ISO 9001:2000 \| \| h \| DD Form 250 \| 5.5 SOURCE OF DOCUMENTS Information on obtaining copies of Federal Specifications may be obtained from General Services Administration Offices in Washington, DC, Seattle, San Francisco, Denver, Kansas City, MO., Chicago, Atlanta, New York, Boston, Dallas and Los Angeles. Copies of military specifications may be obtained from the Commanding Officer, Naval Supply Depot, 3801 Tabor Avenue, Philadelphia, PA 19120-5099. Application for copies of other Military Documents should be addressed to Commanding Officer, Naval Publications and Forms Center, 5801 Tabor Ave., Philadelphia, VA 19120-5099. Copies of ASME documents are available from www.asme.org or American Society of Mechanical Engineers Information Central Orders/Inquiries, P.O. Box 2300, Fairfield, NJ 07007-2300. Copies of ASTM documents are available from www.astm.org or American Society for Testing and Materials International, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959. Copies of EIA documents are available from www.eia.org or Electronic Industries Alliance Corporate Engineering Department, 2500 Wilson Boulevard, Arlington, VA, 22201. All other commercial and industrial documents can be obtained through the respective organization's website. 6.0 SECURITY 6.1 ORGANIZATION Most of the work performed under this contract is "unclassified." 6.2 FACILITY CLEARANCE The contractor shall have at the time of Contract Award and prior to commencement of classified work, a SECRET facility clearance. 6.3 PERSONNEL The Contractor shall conform to the provisions of DOD 5220.22M, SECNAVINST 5510.30, and the Privacy Act of 1974. The Contractor shall employ personnel that possess and can maintain appropriate security clearances at the appropriate level(s). At a minimum, the contractor shall validate that the background information provided by their employees is correct. Cost to meet these security requirements is not directly chargeable to task order. Some key personnel associated with this contract shall possess a SECRET clearance. Some of the individual task orders issued against this contract shall require personnel having higher clearance levels such TOP SECRET. These programs/tasks include, as a minimum, contractor personnel having the appropriate clearances required for access to classified data as required. Prior to starting work on the task, contractor personnel shall have the required clearance granted by the Defense Industrial Security Clearance Office (DISCO) and shall comply with IT access authorization requirements. In addition, contractor personnel shall possess the appropriate IT level of access for the respective task and position assignment as required by DoDD 8500.1, Information Assurance and DoDI 8500.2, Information Assurance (IA) Implementation. Any future revision to the respective directive and instruction shall be applied to the PWS level as required. Contractor personnel shall handle and safeguard any unclassified but sensitive and classified information in accordance with appropriate Department of Defense security regulations. Any security violation shall be reported immediately to the respective Government Project Manager. . 6.3.1 Site Security The contractor shall comply with site security regulations. All persons engaged in work while on Government property shall be subject to inspection of their vehicles at any time by the Government, and shall report any known or suspected security violations to the Security Department at that location. Contractor Personnel located within government spaces shall be subject to Identification and badge requirements are specified under local clause H-323 (Contractor Picture Badge) and H-355 (Contractor Identification). 6.3.2 Accessing IT Systems If contractor personnel require access to any Navy IT system or resource at SSC-LANT (directly or indirectly), the contractor personnel assigned to the contract shall be required to obtain a Common Access Card (CAC) with Public Key Infrastructure (PKI) for access to Department of Defense facilities and websites. In addition, a hardware solution and software (e.g., ActiveGold) is required to securely read the card via a personal computer. Prior to receipt of a CAC, all contractor personnel shall be required to complete the mandatory annual IA training and submit a signed System Authorization Access Request Navy (SAAR-N) form to the contract's specified Contracting Officer's Representative (COR). 6.3.3 Security Training The contractor shall educate employees on the procedures for the handling and production of classified material and documents, and other security measures as described in the PWS in accordance with DoD 5220.22M. 6.3.4 Disclosure of Information Contractor employees shall not discuss or disclose any information provided to them in the performance of their duties to parties other than authorized Government and contractor personnel who have a "need to know". Any information or documentation developed by the contractor under direction of the government shall not be used for other purposes without the consent of the government KO. 6.3.4 Visit Request Contractor's request for visit authorization shall be submitted to the COR and in accordance with DoD Manual 5220.22M, Industrial Security Manual for Safeguarding Classified Information not later than one (1) week prior to visit. For visitation to SPAWARSYSYCEN Atlantic, Charleston, SC, a visit request shall be forwarded via Space and Naval Warfare Systems Center Atlantic, P.O. Box 190022, North Charleston, SC 29419-9022, Attn: Security Office, for certification of need to know by the specified COR/TOM. For visitation to all other govt. locations, Visit Request documentation shall be forwarded directly to the on-site facility's security office (to be identified at task order level) via /copy shall be forwarded to the TOM. 7.0 COR Designation/Task Order Manager The Task Order Manager (TOM) for this Task Order is: James Polk, Code 5316, firstname.lastname@example.org, 843 218-5699. 8.0 PERFORMANCE REQUIREMENTS The following paragraphs list all required support tasks that shall be required throughout the contract life. The contractor shall provide necessary resources and knowledge to support the listed tasks. Specific objectives shall be dependant on Task Order and the Performance Work Statement (PWS) written against the base contract. The contractor shall complete all required tasks while controlling and tracking performance and goals in terms of costs, schedules, and resources. 8.1 RCI Task Individual lines of accounting will be tied to one of the following vehicle platforms / paragraphs (8.1.1 through 8.1.7). All requirements listed in paragraphs 8.2 through 16.0 will be required for each platform/paragraph listed below (8.1.1-8.1.7): 8.1.1 Mobile Modular Command and Control (M2C2) (Procurement Marine Corps Funding) The contractor shall integrate one M2C2 suite of command and control equipment into a Force Protection Cat I MRAP vehicle. The equipment to be integrated may include but will not be limited to: a. Crew CVRJ c. AN/VRC-104 b. AN/VRC-103, 2 each d. AN/VRC-110 f. DAGRS, 2 each e. EPLRS g. FBCB2 h. Objective Gunner Protection Kit (OGPK) j. Panasonic Tough Books i. Tactical Operations Center Intercommunications system (TOCNET) k. Network Panels m. Routers, l. KVM switches n. SECNET-11 Devices Phase 1 – Critical design The contractor shall utilize 3D modeling to propose locations of equipment both inside and outside of the vehicle. RF specialists will look for optimum placement of antennas and equipment locations inside the vehicle. Network personnel shall recommend placement and routing of network components and cabling. Phase 2 – Design completion After approval of the Critical design by the Government, the contractor shall continue with design of metal work for items that are on hand. Metal work design shall be completed and metal work will be placed on order. Technicians shall start to install components that are on hand. Phase 3 - Integration The contractor shall continue integrating equipment into vehicle as the last equipment arrives. Tech writers shall finalize drawings and integration instructions. The contractor shall design and integrate an external network connection. The completed vehicle shall be taken to SSC-LANT's Poseidon Park for co-site testing. The contractor shall participate in the Final Design review. Phase 4 – Ship completed vehicle and assist in Testing The contractor shall assist in the shipment of the completed vehicle to Marine Corps Tactical Systems Support Activity (MCTSSA), Camp Pendleton, CA. Contractor personnel shall support testing at MCTSSA. Contractor personnel shall finalize the Document package. 8.1.2 Advanced Field Artillery Tactical Data System (AFATDS) - Mobile Tactical Shelter (MTS) (Procurement Marine Corps Funding) This PWS establishes the work efforts requested by SSC-LANT, for the Advanced Field Artillery Tactical Data System (AFATDS) Project Office (PO to proto-type, integrate, and test, up to two hundred (200) AFATDS Mobile Tactical Shelter (MTS) systems. The contractor shall prepare associated documentation; provide logistics support (technical manual and provisioning); provide systems engineering for system integration; provide technical support, and provide new equipment training and training material. The contractor shall support the proto-typing of three (3) Production representative models and oversee required testing. Two additional production representative models shall be completed prior to the commencement of full rate production. Production representative models shall be refurbished and fielded at the conclusion of full rate production (FRP). Included are the associated Program and Data Management, Government Furnished Equipment, Meeting and Reviews, System Engineering, Testing and Verification, Configuration Management, Item Unique Identification, and Integrated Logistics Support. The scope of the work includes performing and supporting MTS testing. Test events may include the Government conducted Functional Qualification Test / Independent Verification & Validation, Initial Operational Test & Evaluation (IOT&E), Transportability testing, Mobility Testing, Power System Testing, and Cooperative Engagement Capability developmental testing. 8.1.3 Logistics Vehicle System Replacement (LVSR) - (Procurement Marine Corps Funding) This PWS establishes the criteria for managing the proto-typing, integration logistic and life cycle support needs of the LVSR for C4ISR development and integration efforts. Initially it is expected that the contractor shall integrate a combination of the following C4ISR Systems into 80 LVSR Cargo variant and develop preliminary layouts for the Tractor and Wrecker variants. a. Blue Force Tracker (BFT) c. Tactical Radio AN/VRC-110 b. Counter-RCIED Electronic Warfare (CREW) Vehicle Receiver/ Jammer (CVRJ) d. Motorized Marine Corps Transparent Armor Gun Shield (MCTAGS) Additional pieces of equipment that may require integration which could increase the scope of this PMP are: a. Driver's Vision Enhancement (DVE) c. Vehicle Intercom System b. Light Bar (both white and infrared lights) d. Embedded Platform Logistics System (EPLS) 8.1.4 Medium Tactical Vehicle Replacement (MTVR) (PMC) The contractor shall undertake the integration of government furnished equipment (GFE) into the different variants of the Medium Tactical Vehicle Replacement (MTVR). This scope of work includes: Developing a comprehensive integration approach and methodology to enable all GFE currently integrated or planned to be integrated on the MTVR that accounts for space, weight, and power constraints of the vehicle and GFE (Prototyping). This approach shall focus on efficiently mounting GFE such that all GFE can be accommodated on the vehicle with due attention to operator and vehicle safety. This approach shall take into account the primacy of approved armor upgrades installed to protect personnel. The approach shall facilitate "plug and play" GFE additions and removals over the life of the vehicle. Preparing and producing associated documentation accounting for all known GFE that is currently installed or planned to be installed on the MTVR. Some GFE is already installed on vehicles per an existing modification instruction (MI). As part of the total GFE integration effort, the contractor may determine that changes to existing MIs are required. SSC-LANT, PM MTVR and MI stake-holder shall review proposed changes for the existing MI. The contractor shall be required to develop all of the following information: a. Technical drawings, material callouts, bills of material. c. Documenting weight, vertical center of gravity (CG), longitudinal CG, lateral CG, b. Develop 3-D GFE integration configuration control CAD models. space, and power demands of GFE equipment and added equipment, structure, and items necessary to support GFE integration. Overall the contractor is tasked with the prototyping, fabricating, integrating, testing, and integrating the necessary modifications to support GFE delivery on the MTVR. This is to include cable transit system(s) and floorboard cable duct(s) to route cables into the cab at approved locations and inside the cab. This is to include the provision of internal cab and external cab power distribution boxes with circuit breaker protection for a range of expected power draws to accommodate known integrated GFE and provide a source of power hookup for in-the-field additions of external powered systems. Mission requirements, security constraints, equipment availability, production schedules, and shipping schedules will determine whether modifications to support GFE are to be integrated in Charleston, CONUS, or OCONUS facilities. Known GFE currently integrated or planned to be integrated shall include: a. Blue Force Tracker (BFT) c. Driver's Vision Enhancement System - (DVE) b. Counter RCIED Electronic Warfare Receiver/ Jammer d. Tactical Radio Communication System f. Embedded Platform Logistics System (EPLS) e. Vehicle Intercommunication System (cab and troop carrier if equipped g. LW155 Howitzer - M777A2 Digital Fire Control System (DFCS) Prime Mover Integration Kits (Specific designated vehicles) i. Route Clearance Blade (Must be able to support as needed) h. Counter IED Mine Roller (Must be able to support as needed) The following equipment may be integrated by others in the future: a. Remote Weapon System (RWS) c. Cab Fire Suppression System b. Marine Corps Transparent Armored Gunner's Shield (MCTAGS) with power assist d. High intensity floodlighting system for target identification. 8.1.5 Up-Armored HMMWV (UAH) (Procurement Marine Corps Funding) SSC-LANT currently anticipates the need to integrate a variety of electronic systems and equipment mounts in several variants into approximately 2000 UAH vehicles. Possible systems and mounts to be integrated into the UAH vehicles include: a. Counter IED system c. SINCGARS b. Blue Force Tracker d. MRC-145 equipment suite f. Crew served weapons, including M2, MK197, M240G, MK193, MK19, and MK64 e. MRC- 138 equipment suite g. Motorized Marine Corps Transparent Armor Gun Shield (MCTAGS) The contractor is tasked with the prototyping, fabricating, integrating, testing, and delivering the necessary modifications to support GFE integrations on the UAHs. This is to include cable transit system(s) and floorboard cable duct(s) to route cables into the cab at approved locations and inside the cab. This is to include the provision of internal cab and external cab power distribution boxes with circuit breaker protection for a range of expected power draws to accommodate known integrated GFE and provide a source of power hookup for in-the-field additions of external powered systems. Mission requirements, security constrains, equipment availability, production schedules, and shipping schedules will determine whether modifications to support GFE are to be integrated in Charleston, CONUS, or OCONUS facilities. 8.1.6 Mine Resistant Ambush Protected (MRAP) Vehicles 22.214.171.124 Army MRAP (OPA) 126.96.36.199 USMC MRAP (PMC) 188.8.131.52 AF MRAP (OPAF) 184.108.40.206 Navy (OPN) 220.127.116.11 MRAP tasks below apply to all services MRAP vehicles (18.104.22.168 through 22.214.171.124) The contractor shall provide the C4ISR and CIED proto-typing, engineering for integration, integration, and testing services for the USMC, US Navy, US Army, US Air Force, and SOCOM MRAP vehicles. The contractor shall prototype and shall provide the necessary engineering for the C4ISR and CIED equipment locations both inside and outside the vehicles. The contractor shall document the designs in integration level drawing packages. Additionally the contractor shall integrate all required C4ISR and CIED equipment into and onto the vehicles in accordance with the integration drawings and perform quality assurance and final test and checkout. The contractor shall coordinate with SSC-LANT for shipping of completed vehicles. An overall MRAP master schedule is published and will evolve as additional resources are provided by Congress. The contractor shall integrate vehicles in accordance with the master schedule currently published by the MRAP Joint Program Office (JPO) and its future perturbations. Currently the JPO or other organizations that the JPO may designate will provide the C4ISR and CIED Government Furnished Equipment (GFE) to SSC-LANT in accordance with the integration level drawing packages. Additionally, the Joint Program Office stood up a GFE Integrated Products Team (IPT) to support the C4ISR and CIED configuration management of all MRAP vehicles. The war fighter will receive fully integrated C4ISR capable MRAP vehicles rapidly after OEM deliveries to SSCC. As a result of controlled and repeatable processes the USA, Navy, Air Force, and SOCOM MRAP vehicles will be consistent in quality and function thus improving supportability and maintainability. Vehicles will be fielded with the below GFE integrated on the vehicle. a OGPK c Duke Jammer b. Blue Force Tracker d. DAGR f. Driver Vision Enhancement e. VIC-3 g. SINCGARS i. PWSCNET h. CREW 2.1 j. SATCOMM on the Move l. PWSW ITAS k. LRAS 3 m. Movement Tracking System (MTS) 8.1.7 Medium Mine Protected Vehicles (MMPV) (OPA) The contractor shall provide C4ISR prototyping, engineering for proto-typing, integration, and testing services for one hundred and ninety-four US Army Medium Mine Protected Vehicles (MMPV), and additional quantities of like vehicles as determined by follow up requirements provided by SSC-LANT. The contractor shall prototype and shall provide the necessary engineering for the C4ISR equipment locations both inside and outside the vehicles. The contractor shall document the designs in integration level drawing packages, and provide them to SSC-LANT. The contractor shall design and manufacture any additional brackets, mounting hardware and cabling required by the integration drawings. The contractor shall also make any necessary modifications to brackets, hardware and cables as required by the integration drawings. Additionally the contractor shall integrate all required C4ISR equipment into and onto the vehicles in accordance with the integration drawings and perform quality assurance and final test and checkout. The contractor shall provide assistance in the storage for MMPV vehicles and GFE equipment. The contractor shall assist during functional testing of all integrated A-kits, and perform Electro Magnetic Interference (EMI) testing on 1st variants of vehicles. The contractor shall coordinate with SSC-LANT for shipping of completed vehicles. The following GFE will be integrated or planned to be integrated on MMPV vehicles: a. DVE A Kit - AN/VAS-5A c. DUKE/CREW A Kit - AN/VLQ-13(V)1 b. SINGCARS A Kit - AN/VRC-91F d. FBCB2 A Kit - AN/UYK-128(V)5 f. VIC-3 System (A & B Kits) e. DAGR A Kit - AN/PSN-13A 8.2 TECHNICAL REQUIREMENTS 8.2.1 Systems and Equipment The contactor shall provide functional and technical expertise supporting the integration of C4ISR and CIED systems into Up-Armored HMMWV (UAH), MTVR, LVSR, LVS, and MRAP vehicles. Such C4ISR and CIED systems include, but are not limited to: a. FBCB2 Blue Force Tracking (BFT) including but not limited to the DAGR c. Tactical Radios including but not limited to AN/VRC-110, AN/VRC-103, b. CIED systems including but not limited to CVRJ, MMBJ, Chameleon, and Hunter AN/VRC-104, EPLRS, KU SATCOM systems, Iridium systems e. Driver Vision Enhancement (DVE) d. Satellite Communications on the Move systems including but not limited to f . Remote Weapons Station (RWS) h. Intercom Systems including but not limited to PWSCNET and VIC-3 g. M2C2 Components including but not limited to Panasonic Tough Books, Network Panels, KVM switches, Routers, SECNET-11 Devices i. Air-Digger systems j. Motorized Marine Corps Transparent Armor Gun Shield (MCTAGS) 8.2.2 Programs and Initiatives The contractor shall demonstrate expertise in supporting and complying with DoN and DoD enterprise initiatives. Such programs and initiatives include, but are not limited to: a. Lean Six Sigma Initiative 8.3 PROGRAM MANAGEMENT The contractor shall require a contractor to work closely with the government project manager and support at the sponsor level and at the contract level. Regardless of the level of support, the ultimate objective is ensuring the government's requirements are met on schedule and within budget. 8.3.1 Contract Liaison The contractor shall assign a technical single point of contact, also known as the Program Manager (PM) who shall work closely with the government Contracting Officer, Contracting Officer's Representative (COR), and if assigned, the TOM. Located in the local facility, the PM shall be ultimately responsible for ensuring that the contractor's performance meets all government contracting requirements within cost and schedule. PM shall have the requisite authority for full control over all company resources necessary for contract performance. The PM shall have authority to approve task order proposals in emergent situations. Responsibilities shall also include, but not be limited to, the following: personnel management; management of government material and assets; and personnel and facility security. In support of open communication, the Contractor shall have, unless otherwise directed, monthly meetings with the COR and periodic reviews with the Project Engineer (PE). 8.3.2 Program Support 126.96.36.199 Program Support Documentation The PM shall be responsible for ensuring that all program management contract deliverables are tracked and submitted on time throughout the life of contract. At a minimum, the following documents will be requested: Statement of Work or Performance Work Statement (CDRL A012) Meeting Agenda and Minutes (CDRL A010) Cost Estimation (CDRL A005) Plans of Action and Milestone (CDRL A006) Work Breakdown Structure (WBS) (CDRL A011) 8.3.3 Contract Administration During urgent situations, the contractor shall have processes established in order to provide all necessary resources and documentation any time during the day in order to facilitate a timely PWS award or modification. The contractor shall be responsible for providing any required support documentation in a timely manner so as to not disrupt the contract award process. 188.8.131.52 Contract Administration Documentation Various types of contract administration documents are required throughout the life of the contract. The contractor shall provide the following documentation, but not limited to: 184.108.40.206.1 PWS Status Report PWS Status Reports (CDRL A001) shall be developed and submitted monthly and/or weekly depending on the requirements of the COR. The prime shall be responsible for collecting, integrating, and reporting all subcontractor reports. (a) Monthly, PWS – A monthly PWS status report shall be provided to the applicable government Project Engineer or COR. Commencing one full month after the PWS award date, PWS status reports shall be posted no later than the 15 th of each month. For every active PWS, the monthly progress report shall include, as a minimum, the following items and data: 1. PWS number & title 3. Period of reporting 2. Period of performance 4. The Not-to-Exceed PWS amount and the funds received to date balance 5. List all PWS level Modifications, date of modification, sentence summary, and if applicable, list the total modification funding amount 7. List total labor cost (current and cumulative) per company 6. List total labor hours expended (current and cumulative) per company 8. List total Other Direct Costs (ODCs) expended (current and cumulative) per company 10. List total Material expended (current and cumulative) per company 9. List total Travel expended (current and cumulative) per company 11. List total Fee expended (current and cumulative) per company 13. List total remaining PWS ceiling amounts: labor hours, costs, fee, and total NTE 12. List total PWS ceiling amounts: labor hours, costs, fee, and total NTE 14. List quantity of hours charged per employee (current and cumulative) 16. Estimated total cost to complete; noting shortages or overages 15. List of all companies that have charged to the PWS, the company's charging period, and the cost, the total number of hours charged (current and cumulative) 17. Identification when obligated costs have exceeded 75% of the amount authorized (Note: Identifying cost overruns in the monthly status reports does not preclude a Contractor from the 75% notification requirement in clause H-344 or for immediate notification to the government when all funds have been expended prior to work being completed on a task order 18. Summary of work performed (includes meeting specified milestones and action items; identification of new problems areas including technical issues, cost increases or schedules slippage; status of previously identified problems; listing of all CDRL ordered and status of deliverables; effort to be completed during next reported period (b) Data Calls – As required, a status report shall be emailed to the PWS Originator and the COR within two days of the request. All information provided shall be the most current. Cost and funding data shall reflect real-time balances. Report shall account for all planned, obligated, and expended charges and hours. The report shall include, as a minimum, the following items and data: 1. Percentage of work completed (by contract and task order level) 3. Updates to the POA&M and narratives to explain any variances 2. Percentage of funds expended (by contract and task order level) 4. List of personnel (by location, security clearance, quantity) 220.127.116.11.2 Task Order Closeout Report Every Task Order (PWS) shall require a PWS Closeout Report (CDRL A002), which is due no later than 30 days after the PWS completion date. The Report shall be submitted electronically as an e-mail attachment; hard copies are required only upon request. Government compatible Microsoft Office Package software shall be used and the form shall be easy to follow. The report shall include, as a minimum, the following information: (a) Financial data – Breakdown of all costs (labor, travel, material, fee) per invoice, all key personnel that were utilized/charged on the job, specify all work yet to be charged, all remaining funds, and balances available, if any, for return (de-obligation), etc. (b) Deliverable status -- Percentage job complete, any outstanding issues, CDRL status, list of any items/services under workmanship/manufacturer warranty, etc. (c) Government Property – All Contractor-acquired Property and Government-furnished Property provided on PWS shall either be consumed or returned to the government. A final PWS Inventory list shall be required accounting for all PWS government property. Contractor shall incorporate information and receipts obtained from the initial disposition inventory list. For property being returned, the contractor shall include on the inventory list the following minimum information: part numbers, NSN nomenclature, quantity, and condition of each item (i.e., Condition A, F, etc.). Paperwork validating official receipt by government is required for returned items. (d) Cost Analysis Report –A Cost Analysis shall be required for all PWSs when the final cost deviated (overrun or under run) from the budgeted [target] cost over five percent (5%). At a minimum, the report shall include the following issues: 1. When the final cost under runs the budgeted [target] cost, the report shall explains the innovations used to allow for the cost savings. If analysis reveals task order target cost overestimated and/or unsubstantiated, Contractor has option to request reduction in budgeted [target] cost/fee. 2. When the final cost overruns the budgeted [target] cost, the report shall explain failures leading to cost growth and recommended corrective actions for future similar situations. This report does not alleviate the responsibility of the contractor to notify the PCO and COR upon discovery of any potential situation where the cost will exceed the budgeted [target]. 18.104.22.168.3 Contractor Census Report For work performed in Iraq or Afghanistan, in accordance with Clause 952.225-0005, a monthly Contractor Census Report (CDRL A004) shall be submitted to the COR addressing the number of personnel employed under the base contract. Specifics are addressed within the clause. 22.214.171.124.4 Daily Queue count/Status Report (CDRL A016) As required, a status report of the number of vehicles on hand and the status of each. The report shall include as a minimum the following: 1. Number of vehicles on hand by vendor, category, type, and service. 3. Number ready for integration 2. Number received not ready for integration 4. Number work in process 5. Number in Prototype 6. Number with integration complete but have Original Equipment Manufacturer problems 8. Number complete and ready to ship 7. Number held for Government Furnished Equipment shortages 9. Number staged for shipment 10. Total number at SSC-LANT 126.96.36.199.5 Presentations Briefs (CDRL A017) Contractor shall develop draft presentations for Project management reviews as required. 8.4. TECHNICAL SUPPORT 8.4.1 Material and Equipment supply support The Contractor shall provide acquisition support in accordance to the Defense Acquisition Program Procedures (DoD 5000.2). They shall be familiar with Operational Requirements Documents (ORDs), Test and Evaluation Master Plans (TEMPs), specifications, and writing documents for procurement of systems and services. Deliverables, if any, will vary and will be specified per in each PWS, if applicable. 8.4.2 Warranty Manager The Contractor shall serve as the warranty manager by tracking the correct receipt dates against the serial number of each lowest replaceable unit (LRU). As warranty manager, the Contractor shall use a government owned or government approved data base to maintain and track warranty life spans for all Government or Contractor furnished system and/or equipment or all items acquired (procured) under contract. The warranty tracking log shall track items by task order (if applicable), serial numbers, and shall be updated monthly to identify the time left on the original warranty. When an item has failed, the contractor shall determine if the item is still under warranty. If the item is under warranty, the contractor shall obtain a Return for Maintenance Authorization (RMA) number and instructions on how to get the product repaired or replaced. The contractor shall provide the government a copy of the warranty information tracking log as an attachment to the monthly status report (A001). As required a Warranty and Non-Warranty Failure Status Repair Report (CDRL A007) shall be submitted to the COR on all warranty and non-warranty actions taken during the preceding quarter and collected cumulatively. The Reports shall be submitted within fifteen (15) days of the completion of the quarter. Quarters shall be based on the fiscal year beginning in the month of October. 8.4.3 Help Desk/Customer Support SSC-LANT maintains a help desk for the Field Service Representative to utilize to report problems and ask for assistance with problems for C4ISR equipment installed in vehicles. The help desk can be accessed by phone, email, or online through Remedy system for individuals that have Remedy access. Contractor shall provide personnel to support the SSC-LANT RCI Remedy Help Desk. The help desk shall provide telephone help desk support within 2 hours of notification of a problem. The Help desk shall be available 24/7 if "in-theater" operations require, with a minimum of the following days of the week / operational hours: Monday-Friday 0700-1700 Eastern Standard Time Contract may be required to provide query reports on statistical data from the Remedy Database as required. Contractor shall have technical personnel available to provide technical guidance for reported problems. 8.4.4 On-Site Technical Assist The Contractor shall provide technical assistance directly for resolution, fault analysis, testing, and/or repair of various SSC-LANT installed systems and equipment, to restore the units to operational status. The Contractor shall be prepared to commence travel for onsite assistance within 24 hours of notification. These personnel shall be technically knowledgeable and capable of analyzing system problems and implementing corrective actions without direct assistance or support from SSC-LANT personnel if and when required. Technical assistance may also involve collecting additional information for SSC-LANT, such as design, operation and equipment conditions, training and skill levels of site operators, engineering change status, initial calibration, recalibration, and maintenance problems. The Contractor shall report findings, analysis results and corrective action taken associated with technical assistance provided, using the Government provided database/format/workspace. 8.4.5 Equipment/system Disposal If equipment is declared to be obsolete, unfit for performance or unserviceable through no specific cause or as a consequence of normal use, then form DD 1348-IA will be used. If equipment is damaged but not through normal use or the assets cannot be found because of loss or destruction, then DD200 shall be used. If the equipment or materials are to be recycled or salvaged, SSC-LANT will provide instructions for this procedure. 8.5. SYSTEM IMPLEMENTATION 8.5.1 Prototyping, Modeling and Simulation, System Design and Documentation, and Configuration Management 188.8.131.52 Prototyping The Contractor shall develop various technical designs, specification, and drawing documents to support the integration of C4ISR and CIED into all the vehicles within the scope of the PWS. Cost effectiveness, reduction of risks, constraints, and schedules shall be considered and documented as a part of every prototype. All documentation shall be prepared using government-provided information, as necessary, and formatting it into prescribed government structure corresponding to the requiring agency, Department of Defense (DoD) and Navy instructions, standards, and specifications. All designs and engineering decisions shall be presented to the respective Government Lead. RCI will maintain a list of the lead engineers for respective engineering decisions. Prototyping and design documents provide the detailed plan for system design, integration, and delivery. They include integration design, system interfaces, roles and responsibilities. Documents will vary depending on the system, integration and vehicle complexity and the users' requirements. The contractor shall maintain a detailed Cost and Schedule Milestone Plan (A008) including all prototyping efforts. Some of the particular documentation requirements are the TDP (CDRL A013) which includes, but not limited to the following,: Integration Manual Birds-eye View (Top down) Drawings 3-D Modeling and Analysis 2-D drawings 184.108.40.206 Modeling & Simulation The contractor shall apply a standardized, rigorous, structured methodology to create and validate a physical, mathematical, or otherwise logical representation of a system entity, phenomenon, or process. The contractor shall be able to use models, including emulators, prototypes, simulators, and stimulators, either statically or overtime, to develop data as a basis for making managerial, technical, strategic, or tactical decisions. 220.127.116.11 System Design & Documentation The contractor shall be able to support the engineering effort required to prepare and assure that the detailed technical data documentation that is necessary to support system development reflects the latest design, configuration, integration, and delivery concepts. Technical documentation shall be in a form of paper, electronic (digital) or interactive computer systems. The Integration Design Package (IDP) (CDRL A014) is the drawing package detailing the proposed integration, which includes, but is not limited to, fabrication details, moving of equipment, integration, and all materials provided by Contractor and government. IDPs are based upon approved guidance documents that utilize good engineering practices and state-of-the-art techniques. Drawings, data and other work products shall be completely and thoroughly checked and reviewed by the Contractor for technical accuracy and completeness, within the provisions of each PWS issued against the contract to such an extent that checking and a detailed review by SSC-LANT will not be necessary. The Contractor shall provide five copies of the IDP for use during integration. Two sets will be working copies; one for the lead integration Contractor, and one for the Government Project Engineer. The remaining three copies will be updated with the consolidated red-line corrections and updates. The Contractor shall develop the IDP in accordance with MIL-DTL-31000. 8.5.2 Integration The Contractor shall perform the following integration support functions: a. Identify the key technical requirements. c. Identify the various support elements required to complete the integration. b. Recommend the best approach for performing the integration. d. Develop the best procedures for end-to-end integration. When required, drafting support shall be required to support the documentation. f. Determine interfaces required with installation site personnel including planning, e. Propose a detailed Plan of Action and Milestone schedule (CDRL A006) staging of equipment, site access, coordination of daily integration activities with site operational activities, access/integration/test/acceptance liaison points of contact, and other necessary interfaces. h. Plan for and facilitate Government inspection of integration progress. g. Oversee the integration. Analyze the integration process and its effectiveness. i. Recommend solutions for resolving deficiencies identified during inspections. k. Provide installation status reports as required. (CDRL A015) j. Collect data and determining if the integration is on schedule. l. Provide technical data package. (CDRL A013) including integration instructions for electronic systems and complete associated As-Built drawings m. The Contractor shall deliver a proposed Integration Schedule (CDRL A003), recommended support equipment, PWS/Contract Status Report (CDRL A001), as specified in the PWS. ) 8.5.3 Documentation / Technical Data Package (TDP 18.104.22.168 Technical Manuals Contractor shall develop Technical Manuals prior to commencement of fielding. The Technical Manual will include instruction regarding installation and operation. 22.214.171.124 Change Pages/Modifications Instructions Contractor shall provide change pages/modification instructions to the manuals as a result of approved changes to the baseline system. SSC-LANT requires notification of all changes and revisions to the manuals for the duration of this contract. Notice of new models/equipment, when they are available, is also required for SSC-LANT information. Contractor shall develop change pages/modification instructions in accordance with Technical Manual Contract Requirements. 126.96.36.199 Commercial Manuals Contractor shall provide Commercial Off-The-Shelf (COTS) manual(s), to include supplemental data as necessary. The manual(s) shall contain integration, operation, troubleshooting and maintenance instructions. The manual(s) shall include a complete repair parts lists (including exploded views of all assemblies and subassemblies) and special tools lists. COTS manuals shall be included as references in the appropriate Technical Manual (TM). 188.8.131.52 Copyright Release Contractor shall identify copyrighted material, if any, and shall request written approval of the copyright owner. Contractor shall furnish any available and appropriate copyright release provided to them, giving the Program Office permission to reproduce and use copyrighted information. When contractor uses a manual which covers a vendor's component(s) or a portion thereof, and the vendor's manual contains copyrighted material, contractor shall be responsible for requesting a copyright release from the vendor and providing the copyright release to SSC-LANT. Contractor is in no way responsible for the copyright owner's decision to release or not release their copyright for reproduction. 184.108.40.206 Technical Manual Validation/Verification SSC-LANT will verify that the manuals are accurate during Verification. SSC-LANT will perform verification concurrently with contractor's validation effort. Contractor shall provide technical/engineering support and facilities, as required, to aid SSC-LANT in the performance of the verification effort. Contractor shall provide the technical manuals on CD ROM for each verification participant no less than 21 calendar days prior to the scheduled validation / verification effort. Contractor shall incorporate all SSC-LANT comments from specification compliance reviews, technical accuracy reviews and verification reviews into the final submission of manuals. 220.127.116.11 Two Dimensional (2-D) Technical Data Package (TDP) Contractor shall provide a 2D TDP to SSC-LANT. The 2D TDP shall be of detail or content sufficient for the support production, engineering and logistics support based on 2D engineering drawings. 2D engineering drawings can be manually generated or generated in a digital form. 18.104.22.168 Three Dimensional (3-D) Technical Data Package (TDP) Contractor shall provide a 3D TDP to the SSC-LANT. The 3D TDP shall be of detail and content sufficient for the support of production, engineering and logistics support, and be based on fully parametric, computer based solid model and capable of generating, when specified, 2D engineering drawings. 22.214.171.124 Technical Data Package Details (TDP) Contractor shall develop a complete product TDP (CDRL A013). This shall consist of a 2-Dimensional TDP and 3-Dimensional TDP. This process may require the revision and update of existing drawings, and/or development of new drawings to meet the requirements of product drawings/models and associated lists. Revised and newly created drawings shall be developed to document any design change and shall reflect all changes resulting from approved Engineering Change Proposals (ECPs). Existing, revised, and new product drawings/models and associated lists shall be used as the engineering data for procuring, controlling, and using materials, parts, and assemblies whether produced in-house or supplied by the vendor. The drawings/models shall be used for the manufacture, assembly, provisioning, inspection, testing, and configuration management of the materials, parts, modules, subassemblies, and assemblies of the equipment covered under this contract. The drawings/models and associated lists shall not carry any proprietary markings and provide the necessary design, engineering, manufacturing, and quality assurance requirements information necessary to enable the procurement or manufacture of an interchangeable item duplicating the physical and performance characteristics of the original product, without additional design engineering effort or recourse to the original design activity. The product drawings shall also include control drawings for all commercial off the shelf (COTS) items that do not conform to recognized SSC-LANT or industry specifications, non-developmental items (NDI) and items developed at private expense for which SSC-LANT had not acquired unlimited rights. These control drawings shall provide the applicable performance specification of form, fit, and function and provide interface information needed for competitive re-procurement of that item or and interchangeable item. New product drawings/models shall conform to ASME Y14.100 and ASME Y14.34. The TDP's shall be provided to SSC-LANT in accordance with the program schedule. The TDP shall contain the following elements: 126.96.36.199.1 Conceptual design drawings/models Conceptual design data shall be prepared to define design concepts in graphic form and include appropriate textual information required for analysis and evaluation of those concepts. 188.8.131.52.2 Developmental design drawings/models and associated lists Developmental design drawings/models and associated lists shall be prepared to provide sufficient data to support the analysis of a specific design approach and fabrication of prototype material for test or experimentation. Data and lists required to present a design approach may vary from simple sketches to complex drawings, or may be a combination of both. 184.108.40.206.3 Product drawings/models and associated lists Product drawings/models and associated lists shall be prepared to provide the design, engineering, manufacturing, and quality assurance requirements information necessary to enable the procurement or manufacture of an item essentially identical to the original item. The product shall be defined to the extent necessary for a competent manufacturer to produce an item, which duplicates the physical, interface, and functional characteristics of the original product, without additional design engineering effort or recourse to the current design activity. Product data shall reflect the approved, tested, and accepted configuration of the defined delivered item. 220.127.116.11.4 Commercial drawings/models and associated lists Commercial drawings/models and associated lists shall provide engineering and technical information in support of end products, or designated portions thereof, which are commercially developed items, commercial off-the-shelf items (COTS), or items not developed at Government expense. These data and lists shall be in accordance with the commercial design documentation practices of the contractor or supplier of the item. 18.104.22.168.5 Special inspection equipment (SIE) drawings /models and associated lists SIE drawings/models and associated lists shall be prepared to provide the data required to manufacture or assemble SIE, which is mandatory to successfully produce the item. The SIE shall be defined in detail to the extent necessary for a competent manufacturer to manufacture or assemble SIE, which duplicates the performances characteristics of the original SIE. 22.214.171.124.6 Special tooling drawings/models and associated lists Special tooling drawings/models and associated lists shall be prepared to provide the data required to manufacture special tooling which is mandatory to successfully produce the item. The special tooling shall be defined in detail to the extent necessary for a competent manufacturer to produce tooling which duplicates the performance characteristics of the original tooling. 126.96.36.199.7 Specifications Specifications shall be prepared as performance specifications or detail specifications as required: 1. Defense Specification – Defense specifications, performances or detail, shall be prepared in accordance with MIL-STD-961 as coordinated, limited coordinated or "USED IN LIEU OF" limited coordinated specifications. 2. Program-unique specifications – Program-unique specifications, performance or detail, shall be prepared in accordance with MIL-STD-961 as item, material, process, software, item or system specifications. 3. Commercial Item Descriptions (CIDs) – CID's shall be prepared in accordance with the Federal Standardization Manual to describe, by functional, performance, or essential physical requirements, available commercial products or services. 4. Special packaging instructions (SPI) drawings/models and associated lists – Special Packaging requirements and associated lists shall be prepared to provide the data requirement to manufacture special packaging which is mandatory to successfully produce and transport the item. The special packaging shall be defined in detail to the extent necessary for a competent manufacturer to produce packaging which duplicates the performance characteristics of the original packaging. 8.6 TESTING AND EVALUATION 8.6.1 First Article Test (FAT) Contractor shall conduct FAT of no less than one and no more than three production representative models. Contractor shall prepare a FAT test plan and test procedures which will focus on capturing specific data to verify and validate the system design and will obtain approval from SSC-LANT. SSC-LANT will witness testing and review test procedures and documentation. FAT results shall be documented and provided to SSC-LANT. Contractor shall notify the SSC-LANT fifteen (15) calendar days prior to conducting the formal FAT. SSC-LANT will determine the required tests to be conducted during the FAT. The required tests will be identified in the Test and Evaluation Strategy (TES). The TES will be provided to contractor. The following test may be considered for the FAT: Ground Mobility Testing, Environmental Testing as detailed in MIL-STD-810G, Antenna Pattern Testing, Transportability Testing, and Electrical Component Testing. In support of required tests, contractor may be required in conjunction with SSC-LANT to prepare test plan and procedures, conduct data collection, conduct TRR, develop formal test reports, coordinate test events, and execute test procedures. 8.6.2 Support to Government Testing Contractor shall support test efforts including DTs, IOT&E, and Transportability Assessments by providing on-site personnel and in-house support. Contractor shall support each test by providing on-site maintenance, logistics, and technical support for the period of the test. Test support requirements will be tailored to the test being conducted. 8.6.3 Test Readiness Reviews Contractor shall host a Test Readiness Review (TRR) prior to commencing the FAT or any other identified testing. The purpose of the TRR is for SSC-LANT to review the test plans and assess the test objectives, test methods and procedures, scope of tests, and safety and to confirm that required test resources have been properly identified and coordinated to support the test. 8.7 LIFE-CYCLE LOGISTICS SUPPORT The contractor shall be able to apply engineering and analytical disciplines required to implement life-cycle (acquisition) logistics as a multi-functional technical management discipline associated with the experimental development, design, development, test, production, fielding, sustainment, and improvement modifications of cost effective systems that achieve the warfighter's peacetime and wartime readiness requirements. The principal objective of lifecycle (acquisition) logistics are to ensure that support considerations are an integral part of the system's design requirements, that the system can be cost effectively supported through its life-cycle, and that the research and development facilities and infrastructure elements necessary to the design, development, initial fielding, and operational support of the system are identified, developed, acquired, and supported. 8.7.1 Integrated Logistics Support (ILS) Contractor shall provide Integrated Logistic Support for inventory control, configuration control, material receipts, GFE and material kitting, shipments, and vehicle staging/movements. Contractor shall provide a Transportation Report (CDRL# A018) that shall list all vehicles received, and their current status. 188.8.131.52 Inventory control Contractor shall receive all government furnished equipment (GFE), government furnished materials (GFM), contractor furnished material (CFM), and vehicles. Contractor shall utilize RCI provided database to maintain accountability of all materials and equipment. Logistics personnel shall receive and inventory all material and equipment. 184.108.40.206 Configuration Management and Control Contractor shall utilize the RCI provided database to record all equipments installed in each vehicle with serial number of serialized components. The contractor shall apply engineering analytical disciplines to identify, document, and verify that functional, performance, and physical characteristics of systems, to control changes and non-conformance, and to track actual configurations of systems and platforms. 220.127.116.11 Material receipts Contractor shall receive all GFE, GFM, CFM, and vehicles. All items shall be entered into the RCI database with part numbers, Federal Stock Numbers, and serial numbers. 18.104.22.168 GFE and Material kitting Contractor shall assemble all of the GFE and material for a specific vehicle into a kit which shall be delivered to the integration area at or before the integration starts on that vehicle. 22.214.171.124 Shipments Contractor shall plan and coordinate all shipments of vehicles and materials as directed by SSC-LANT. Contractor shall prepare all shipping documentation and custody transfer documents. Contractor shall move material and vehicles to local shipping pick up points. 126.96.36.199 Vehicle movement and staging Contractor shall be responsible for movement of vehicles including unloading from delivery trucks, movement with in SSC-LANT compound transferring vehicle to storage areas over public highways, and movement into and out of the integration areas. Personnel driving vehicles shall maintain a valid drivers license. Some of the larger vehicles require a commercial driver's license for public road operation. Contractor shall develop their own driver training for all drivers of tactical vehicles. 8.7.2 Training The contractor shall be able to apply the engineering and analytical disciplines required to ensure that the war fighter and technical support community is provided with adequate instruction including applied exercises resulting in the attainment and retention of knowledge, skills, and attitudes regarding the platforms, systems, and warfighting capabilities they operate and maintain. 8.8 QUALITY ASSURANCE 8.8.1 QUALITY ASSURANCE SYSTEM In accordance with the provisions of FAR 52.246-11, the following requirements for contractor maintenance of "quality assurance and control (inspection) system" are incorporated in this contract. Upon award, the Prime Contractor shall provide and maintain a quality/inspection system that, as a minimum, adheres to the requirements of ANSI/ISO Q9001 (Quality Systems-Model for Quality Assurance in Design/Development, Production, Installation, and Servicing) and supplemental requirements imposed by this contract. The quality system shall be documented and contain procedures, planning, and all other documentation and data necessary to provide an efficient and effective quality system based on their internal auditing system. At all times, the quality system shall be made available to the government for review at both a program and worksite services level. Existing quality documents that meet the requirements of this contract may continue to be used. The Contractor shall also require all subcontractors to possess a quality assurance and control program commensurate with the services and supplies to be provided as determined by the Prime's internal audit system. The Government reserves the right to disapprove the Contractor's and/or subcontractor's quality system or portions thereof when the quality system(s) fails to meet contractual requirements at either the program or worksite services level. 8.8.2 QUALITY MANAGEMENT PROCESS COMPLIANCE At a minimum, due to existing Program requirements, the quality system for all services provided under this contract shall conform to the standards of Software Engineering Institute's Capability Maturity Model (CMM) and/or Capability Maturity Model Integration (CMMI) in the relevant profession, trade, or field of endeavor. The Prime Contractor shall be CMM/CMMI SE/SW Level II certified at their local facility at time of contract award. The Contractor shall provide evidence of said certifications upon request. The documented quality system shall be used to ensure that the end product of each task conforms to contract requirements whether produced by the Contractor or provided by approved subcontractors or vendors. The quality system shall provide for control over all phases of the various types of tasks, from initial manning and material ordering to completion of final tasking, before offering to the government for acceptance as specified in this contract or task orders Performance Work Statement (PWS). All services shall be rendered according to the documented quality system and directly supervised by individuals qualified in the relevant profession or trade. 8.8.3 QUALITY CONTROL Unless otherwise directed, the Contractor is responsible for all quality control inspections necessary in the performance of the various tasks as assigned and identified by the respective WBS, POA&M or procedural quality system document. The Government reserves the right to perform any inspections deemed necessary to assure that the Contractor provided services, documents, and material meet the prescribed requirements and to reject any or all services, documents, and material in a category when nonconformance is established. 8.8.4 QUALITY MANAGEMENT DOCUMENTATION In support of the Contractor Performance Assessment Reporting System (CPARS) the contractor shall provide the following documents: Cost and Schedule Milestone Plan (CDRL A008) submitted 10 days after Task Order award, and Contractor CPARS Draft Approval Document (CDAD) Report (CDRL A009) 10 days after Task Order Completion. The Contractor shall be responsible for ensuring the safety of all company employees, other working personnel, and Government property. The Contractor is solely responsible for compliance with the Occupational Safety and Health Act (OSHA) (Public Law 91-596) and the resulting standards, OSHA Standard 29 CFR 1910 (general), 1915 (shipboard/submarine) and 1926 (shore), and for the protection, safety and health of their employees and any subcontractors assigned to the respective task orders under this contract. It is the Contractor's sole responsibility to make certain that all safety requirements are met and are documented as part of their quality management system. For performance of work at government facilities, the Contractor shall adhere to local clause C-324 Occupational Safety and Health Requirements. Contractor shall immediately report any accidents involving government or contractor personnel injuries or property/equipment damage to the contracting officer and TOM. Additionally, the Contractor is responsible for securing the scene and impounding evidence/wreckage until released by the contracting officer. 8.9.1 SAFETY EQUIPMENT All personnel safety equipment required to perform work under this contract shall be provided by the Contractor and must be in satisfactory working order. Personal safety equipment shall include, but not be limited to -- hard-hats, safety shoes, safety gloves, goggles, hearing protection, non-flammable clothing for hot work personnel, gas/oxygen detectors for confined spaces, face shields, and other types of safety equipment required to assure a safe work environment and compliance with applicable federal, state and local safety regulations. 8.9.2 SAFETY TRAINING The Contractor shall be responsible to train all personnel that require safety training. Specifically, where Contractors are performing work at Navy shore installations, that requires entering manholes or underground services utility the Contractor shall provide a qualified person as required in 29 CFR 1910 or 29 CFR 1926 or as recommended by the National Institute for Occupational Safety and Health (NIOSH) Criteria Document for Confined Spaces. Also, when contractors are required to scale a tower, all applicable personnel shall have Secondary Fall Protection and Prevention training. 8.10 DATA HANDLING AND USER CONTROLS 8.10.1 Data Handling At a minimum, the contractor shall handle all data received or generated under this contract as For Official Use Only (FOUO) material. Any classified information received or generated shall be handled in accordance with the attached DD Form 254 and in shall be in compliance with all applicable PWS references and to other applicable Government policies and procedures that include DOD/Navy/SPAWAR. 8.10.2 Effective Use of Controls The contractor shall screen all electronic deliverables or electronically provided information for malicious code using DoD approved anti-virus software prior to delivery to the Government. The contractor shall utilize appropriate controls (firewalls, password protection, encryption, digital certificates, etc) at all times to protect contract related information processed, stored or transmitted on the contractor's and Government's computers/servers to ensure confidentiality, integrity, availability, authentication and non-repudiation. This includes ensuring that provisions are in place that will safeguard all aspects of information operations pertaining to this contract in compliance with all applicable PWS references. 8.11 GOVERNMENT FACILITIES As specified in the Task order, Government facilities (i.e., office space, computer hardware/software, or lab space) will be provided to those labor categories that would otherwise adversely affect the work performance if they were not available on-site. All Contractor personnel with supplied government facilities shall be located at SSC-LANT in Charleston, SC. The labor rate for those contractor personnel designated as "on-site" shall be adjusted to show a decreased overhead rate. 8.12 CONTRACTOR FACILITIES A significant portion of this work will require close liaison with the government. The Contractor shall be prepared to establish a local facility within a thirty (30)-mile radius of SSC-LANT. Close proximity allows for proper COR/TOM maintenance duties. The contractor's facility is not necessary for the exclusive use of this contract and can be utilized on a shared basis. For proposal estimating purposes the Contractor shall have at least 2,500 sq ft for use on this contract; however, no more that 1,000 sq ft shall be used for admin purposes." The Charleston local facility shall include sufficient physical security to protect government assets. The Contractor's facility shall meet all location and size requirements as specified 30 days after contract award. Facility space shall include offices, conference rooms, lab work, and a staging area for materials and equipment. 9.0 Government Furnished Information a. RCI Integration Instructions b. RCI Technical Data Packages 10.0 Government Furnished Material In accordance to FAR 45.102, all government furnished property shall be specified in this Task Order as shown below in paragraph 11. (see clause 5252.245-9201) In addition, GFP shall be added by modification to this Task Order. Contractors shall not take receipt or transfer custody of any government property without having contractual authority and having the proper paperwork – Requisition and Invoice/Shipping Document (DD1149). The contractor is responsible for internally tracking all equipment, material, tools, equipment, and "facilities" (i.e., government owned computer). All items tracked shall reference the Task Order and the completion date of the Task Order. The contractor shall be responsible for notifying the Project Engineer and the contracting officer within one week after the occurrence if any government furnished property is missing, stolen, or recovered. Failure to disclose lost or stolen property within the allotted timeframe shall make the contractor ultimately responsible for its immediate replacement. Unless otherwise directed, disposition of government property shall be in accordance to local contract clause C-314. When not specified, all government property shall be returned to the designated government representative upon completion of the task order. Final reporting shall be part of PWS Closeout Report (CDRL A002). Proper procedures for accepting government property shall be followed. Providing GFP through other means places the government at risk in areas such as contractor liability and government accountability. Both government and contractor personnel are responsible for following proper GFP procedures; otherwise, serious consequences may result. Non-compliance with the contract's GFP terms and conditions shall be considered in the CPARS assessment process. 11.0 Government Furnished Equipment (GFE) 11.1 GFE for M2C2 a. Crew CVRJ c. AN/VRC-104 b. AN/VRC-103, 2 each d. AN/VRC-110 f. DAGRS, 2 each e. Enhanced Position Location Reporting System (EPLRS) g. Force XXI Battle Command, Brigade and Below (FBCB2) i. Tactical Operations Center Intercommunications system (TOCNET) h. Objective Gunner Protection Kit (OGPK) j. Panasonic Tough Books l. KVM switches k. Network Panels m. Routers, n. SECNET-11 Devices 11.2 GFE for LVS a. Blue Force Tracker (BFT) c. Tactical Radio AN/VRC-110 b. Counter-RCIED Electronic Warfare (CREW) Vehicle Receiver/ Jammer (CVRJ) d. Motorized Marine Corps Transparent Armor Gun Shield (MCTAGS) f. Light Bar (both white and infrared lights) e. Driver's Vision Enhancement (DVE) g. Vehicle Intercom System h. Embedded Platform Logistics System (EPLS) 11.3 GFE for MTVR a. Blue Force Tracker (BFT) c. Driver's Vision Enhancement System - (DVE) b. Counter RCIED Electronic Warfare Receiver/ Jammer d. Tactical Radio Communication System f. Embedded Platform Logistics System (EPLS) e. Vehicle Intercommunication System (cab and troop carrier if equipped) g. LW155 Howitzer - M777A2 Digital Fire Control System (DFCS) Prime Mover h. Counter IED Mine Roller (Must be able to support as needed) Integration Kits ( Specific designated vehicles) i. Route Clearance Blade (Must be able to support as needed) 11.4 GFE for UAH a Counter IED system c. SINCGARS b. Blue Force Tracker d. MRC-145 equipment suite f. Crew served weapons, including M2, MK197, M240G, MK193, MK19, and MK64 e. MRC- 138 equipment suite g. Motorized Marine Corps Transparent Armor Gun Shield (MCTAGS) 11.5 GFE for MRAP a. OGPK c. Duke Jammer b. Blue Force Tracker d. DAGR f. Driver Vision Enhancement e. VIC-3 g. SINCGARS i. PWSCNET h. CREW 2.1 j. SATCOMM on the Move l. PWSW ITAS k. LRAS 3 m. Movement Tracking System (MTS) 11.6 GFE for MMPV a. DVE A Kit - AN/VAS-5A c. DUKE/CREW A Kit - AN/VLQ-13(V)1 b. SINGCARS A Kit - AN/VRC-91F d. FBCB2 A Kit - AN/UYK-128(V)5 f. VIC-3 System e. DAGR A Kit - AN/PSN-13A g. OGPK (Engineer Vehicle only) h. Gunner Restraint (Engineer Vehicle only) 12.0 Contractor Furnished Material The contractor is responsible for acquiring and delivering all material to complete all tasks described in this PWS. The contractor is responsible for the proper disposal of all removed material. 13.0 Contractor Furnished Equipment The contractor is responsible for acquiring and delivering all equipment to complete all tasks described in this PWS. The contractor is responsible for the proper disposal of all removed equipment. 14.0 Travel The majority of the work under this contract shall be performed at the SSC-LANT (Contractor and Government facilities). Travel shall be performed in accordance with local contract clause H-350. In support of various tasks specified in this PWS, the contractor shall be required to travel to these typical, but not limited to, Navy, Army, Air Force and Marine Corps facilities (CONUS) Estimated annual travel \| Location \| # Trips \| # Travelers \| \|---\|---\|---\| \| Quantico VA \| 4 \| 2 \| \| Warren MI \| 6 \| 2 \| \| Albany GA \| 4 \| 4 \| \| Camp Pendleton CA \| 3 \| 3 \| \| Kaneohe Bay HI \| 2 \| 2 \| 15.0 DOCUMENTATION AND DELIVERBALES 15.1 CONTRACT DATA REQUIREMENT LISTINGS (CDRLs) The following CDRL listing identifies the data item deliverables required under this contract and the applicable section of the PWS for which they are required. Section J includes the DD Form 1423s that itemize each Contract Data Requirements List (CDRL) required under the base contract. The contractor shall establish a practical and cost-effective system for developing and tracking the required CDRLs generated under each task. \| A001 \| PWS/Contract Status Reports \| \|---\|---\| \| A002 \| PWS Closeout Reports \| \| A003 \| Integration Schedule \| \| A004 \| Contractor Census Report \| \| A005 \| Cost Estimation \| \| A006 \| Plan of Action And Milestone Plan \| \| A007 \| Warranty and Non-Warranty Failure Status Repair Report \| \| A008 \| Cost and Schedule Milestone Plan \| \| A009 \| Contractor CPARS Draft Approval Document (CDAD) Report \| \| A010 \| Meeting Agendas and Minutes \| \| A011 \| Work Breakdown Structure \| \| A012 \| Statement of Work /Performance Work Statement \| \| A013 \| Technical Data Package \| \| A014 \| Integration Design Package \| \| A015 \| Integration Status Report \| \| A016 \| Daily Queue count/Status Report \| \| A017 \| Presentation Briefs \| 15.2 ELECTRONIC FORMAT At a minimum, the deliverables shall be provided electronically by email; hard copies are only required if requested by the government. To ensure information compatibility, the contractor shall guarantee all deliverables (i.e., CDRLs), data, correspondence, and etc., are provided in a format approved by the receiving government representative. All data shall be provided in an editable format compatible with SSC-LANT corporate standard software configuration as specified below. Contractor shall conform to SSC-LANT corporate standards within 30 days of contract award unless otherwise specified. The initial or future upgrades costs of the listed computer programs are not chargeable as a direct cost to the government. \| a. \| Deliverable Word Processing \| Software to be used Microsoft Word \| \|---\|---\|---\| \| b. \| Technical Publishing \| PageMaker/Interleaf/SGML/ MSPublisher/PDF \| \| c. \| Spreadsheet/Graphics \| Microsoft Excel \| \| d. \| Presentations \| Microsoft PowerPoint \| \| e. \| 2-D Drawings/ Graphics/Schematics (new data \| PDF, AutoCAD, Solidworks \| \| \| Deliverable products) \| Software to be used \| \|---\|---\|---\| \| f. \| 2-D Drawings/ Graphics/Schematics (existing data products) \| Raster (CALS Type I, TIFF/BMP, JPEG, PNG), PDF AutoCAD Solidworks \| \| g. \| 3D Drawings/Models \| Solidworks, Pro-E, .stp files, PDF \| \| h. \| Scheduling \| Microsoft Project \| \| i. \| Computer Aid Design (CAD) Drawings \| AutoCAD/Visio \| \| j. \| Geographic Information System (GIS) \| ArcInfo/ArcView \| 15.3 INFORMATION SYSTEM The contractor shall have broadband Internet connectivity and an industry standard email system for communication with the government. The contractor shall be capable of Public Key Infrastructure client side authentication to DOD private web servers. Unless otherwise specified, all key personnel on contract shall be accessible by email through individual accounts during all working hours. 16.0 Workload Estimate The following workload data is provided for informational purposes only to assist you in estimating the price of this Task Order. 17.0 Work in Iraq/Afghanistan The following Joint Contracting Command – Iraq/afghanistan (JCC-I/A) requirements apply to work requiring delivery of material to or performance of services in Iraq/Afghanistan: 952.222-0001, PROHIBITION AGAINST HUMAN TRAFFICKING, INHUMANE LIVING CONDITIONS, AND WITHHOLDING OF EMPLOYEE PASSPORTS (JUL 2009) (a) All contractors ("contractors" refers to both prime contractors and all subcontractors at all tiers) are reminded of the prohibition contained in Title 18, United States Code, Section 1592, against knowingly destroying, concealing, removing, confiscating, or possessing any actual or purported passport or other immigration document, or any other actual or purported government identification document, of another person, to prevent or restrict or to attempt to prevent or restrict, without lawful authority, the person's liberty to move or travel, in order to maintain the labor or services of that person, when the person is or has been a victim of a severe form of trafficking in persons. (b) Contractors are also required to comply with the following provisions: (1) Contractors shall only hold employee passports and other identification documents discussed above for the shortest period of time reasonable for administrative processing purposes. (2) Contractors shall provide all employees with a signed copy of their employment contract, in English as well as the employee's native language that defines the terms of their employment/compensation. (3) Contractors shall not utilize unlicensed recruiting firms, or firms that charge illegal recruiting fees. (4) Contractors shall be required to provide adequate living conditions (sanitation, health, safety, living space) for their employees. Fifty square feet is the minimum acceptable square footage of personal living space per employee. Upon contractor's written request, contracting officers may grant a waiver in writing in cases where the existing square footage is within 20% of the minimum, and the overall conditions are determined by the contracting officer to be acceptable. A copy of the waiver approval shall be maintained at the respective life support area. (5) Contractors shall incorporate checks of life support areas to ensure compliance with the requirements of this Trafficking in Persons Prohibition into their Quality Control program, which will be reviewed within the Government's Quality Assurance process. (6) Contractors shall comply with international laws regarding transit/exit/entry procedures, and the requirements for work visas. Contractors shall follow all Host Country entry and exit requirements, including requirements for visas and work permits. (c) Contractors have an affirmative duty to advise the Contracting Officer if they learn of their employees violating the human trafficking and inhumane living conditions provisions contained herein. Contractors are advised that contracting officers and/or their representatives will conduct random checks to ensure contractors and subcontractors at all tiers are adhering to the law on human trafficking, humane living conditions and withholding of passports. (d) The contractor agrees to incorporate the substance of this clause, including this paragraph, in all subcontracts under his contract. 952.223-0001, REPORTING KIDNAPPINGS, SERIOUS INJURIES AND DEATHS (MAR 2009) Contractors shall notify the Contracting Officer, as soon as practicable, whenever employee kidnappings, serious injuries or deaths occur. Report the following information: Contract Number: Contract Description & Location: Company Name: Reporting party - Name: Phone number: e-mail address: Victim - Name: Gender (Male/Female): Age: Nationality: Country of permanent residence: Incident - Description Location Date and time Other Pertinent Information: 952.225-0001, ARMING REQUIREMENTS AND PROCEDURES FOR PERSONAL SECURITY SERVICES CONTRACTORS AND FOR REQUESTS FOR PERSONAL PROTECTION (MAR 2009) contract agree to obey all laws, regulations, orders, and directives applicable to the use of private security personnel in Iraq and Afghanistan, including U.S. CENTCOM, MultiNational Force Commander and Multi-National Corps Commander orders, instructions and directives. Contractors will ensure that all employees, including employees at any tier of subcontracting relationships, armed under the provisions of this contract, comply with the contents of this clause and with the requirements set forth in the following: DODI 3020.41, Program Management for Acquisition and Operational Contract Support in Contingency Operations; DFARS 252.225-7040, Contractor Personnel Supporting a Force Deployed Outside the United States; Class Deviation 2007-O0010, Contractor Personnel in the United States Central Command Area of Responsibility CPA Order #17, Registration Requirements for Private Security Companies, dated 27 Jun 04; U.S. CENTCOM Policy Letter, Mod 1, Personal Protection and Contract Security Service Arming, dated 7 Nov 2006 Required Government Documentation. The unit requesting the contractor security shall provide a description of the following to the arming approval authority and to the contracting officer: The specific location where the PSC will operate; The persons and/or property that require protection; The anticipated threat; The required weapon types; and The reason current security/police forces are inadequate. Required Contractor Documentation. Contractors and their subcontractors at all tiers that require arming approval shall provide the following to the contracting officer representative (COR): Documentation that each employee who will be armed under the contract received the following training— Weapons Qualification/Familiarization. All employees must meet the qualification requirements established by any DoD or other U.S. government agency Law of Armed Conflict (LOAC); Rules for the Use of Force (RUF), as defined in the U.S. CENTCOM Policy, dated 23 December 2005; and Distinction between the above-prescribed RUF and the Rules of Engagement (ROE), which are applicable only to military forces. Completed DD Form 2760 (or equivalent documentation) for each armed employee, indicating that the employee is not otherwise prohibited under U.S. law from possessing the required weapon or ammunition. One (1) copy of a business license from the Iraqi or Afghani Ministry of Trade or Interior; One (1) copy of an operating license (or a temporary operating license) from the Ministry of Interior; A communications plan that, at a minimum, sets forth the following: The contractor's method of notifying military forces and requesting assistance where hostilities arise or combat action is needed; How relevant threat information will be shared between contractor security personnel and U.S. military forces; and How the contractor will coordinate transportation with appropriate military authorities. An acceptable plan for accomplishing background checks on all contractor and subcontractor employees who will be armed under the contract. The contractor shall, at a minimum, perform the following (which will be specifically addressed in its plan and which will be documented and furnished to the COR upon completion): Use one or more of the following sources when conducting the background checks: Interpol, FBI, Country of Origin Criminal Records, Country of Origin U.S. Embassy Information Request, CIA records, and/or any other records available; Verify with MNC-I or Afghanistan RCE – CG Provost Marshal that no employee has been barred by any commander within Iraq or Afghanistan; and Certify, after completing all checks, that all persons armed under this contract are not prohibited under U.S. law from possessing a weapon or ammunition. Required Contractor Acknowledgements. Contractors and their subcontractors at all tiers that require arming approval will provide written acknowledgement of the following to the COR: Penalties for Non-Compliance. Failure of contractor or subcontractor employee(s) to comply with the laws, regulations, orders, and rules (including those specified herein) governing the use of force may result in the revocation of weapons authorization for such employee(s). Where appropriate, such failure may also result in the total revocation of weapons authorization for the contractor (or subcontractor) and sanctions under the contract, including termination. Criminal and Civil Liability. Arming of contractor or subcontractor employees under this contract may subject the contractor, its subcontractors, and persons employed by the same, to U.S. and Host Nation prosecution and civil liability. "Host Nation" refers to the nation or nations where services under this contract are performed. Lapses in Training. Failure to successfully retrain an employee who is armed under this contract within twelve (12) months of the last training date will constitute a lapse in the employee's authorization to possess and carry the weapon. All unauthorized employees will immediately surrender their weapon to the contractor and will remain unarmed until such time as they are retrained and the COR determines that the retraining is sufficient. Authorized Weapon & Ammunition Types. Unless DCDRUSCENTCOM (or a designee) provides otherwise, all arming requests and authorizations for contractor or subcontractor employees under this contract shall be limited to U.S. Government approved weapons and ammunition. This restriction applies to all weapons in the possession of contractor employees, even if such weapons are required for personal protection. The following weapons and ammunition are currently authorized by the U.S. Government for use in Iraq and Afghanistan: The M9, M4, M16, or equivalent (e.g. .45 CAL, AK-47). The M9 or equivalent sidearm will be the standard personal protection weapon unless other weapons are specifically requested and approved. U.S. government Ball ammunition is the standard approved ammunition. Requirements for Individual Weapons Possession. All employees of the contractor and its subcontractors at all tiers who are armed under this contract must: Possess only those U.S. Government-approved weapons and ammunition for which they are qualified under the training requirements of section (c); Carry weapons only when on duty or at a specific post; Not conceal any weapons, unless specifically authorized; Carry proof of authorization to be armed. Employees not possessing such proof will be deemed unauthorized and must surrender their weapon to their employer; and IAW USCENTCOM G.O. #1, consumption of alcohol in Iraq or Afghanistan is prohibited. In the event of a suspension or and exception to G.O. #1, employees shall not consume any alcoholic beverage while armed or within eight (8) hours of the next work period where they will be armed. Weapons/Equipment Restrictions and Responsibilities. Unless otherwise provided, the U.S. Government will not provide any weapons or ammunition to contractors, their subcontractors, or any employees of the same. The Contractor will provide all weapons and ammunition to those employees that will be armed under the contract. The contractor and its subcontractors at all tiers will also provide interceptor body armor, ballistic helmets, and the Nuclear, Biological, and Chemical (NBC) protective masks to those employees that require such equipment in the performance of their duties. Rules for the Use of Force (RUF). In addition to the RUF and ROE training referenced in paragraph (c), the contractor and its subcontractors at all tiers will monitor and report all activities of its armed employees that may violate the RUF. Prompt reporting demonstrates a desire by the contractor and its subcontractors to minimize the impact of any violations and, therefore, will be given favorable consideration. Violations of the RUF include, though are not limited to: Taking a direct part in hostilities or combat actions, other than to exercise self-defense; Failing to cooperate with Coalition and Host Nation forces; Using deadly force, other than in self-defense where there is a reasonable belief of imminent risk of death or serious bodily harm; Failing to use a graduated force approach; Failing to treat the local civilians with humanity or respect; and Detaining local civilians, other than in self-defense or as reflected in the contract terms. Retention and Review of Records. The Contractor and all subcontractors at all tiers shall maintain records on weapons training, LOAC, RUF and the screening of employees for at least six (6) months following the expiration (or termination) of the contract. The Contractor and its subcontractors at all tiers shall make these records available to the Contracting Officer or designated representative, at no additional cost to the government, within 72 hours of a request. Contractor Vehicles. Vehicles used by contractor and subcontractor personnel in the course of their security duties shall not be painted or marked to resemble U.S./Coalition or host nation military and police force vehicles. Quarterly Reporting. The prime contractor will report quarterly (i.e. NLT 1 January, 1 April, 1 July and 1 October for each quarter of the calendar year) to the Contracting Officer responsible for this contract, and any other organization designated by the Contracting Officer, the following information under this contract: The total number of armed civilians and contractors; The names and contact information of its subcontractors at all tiers; and A general assessment of the threat conditions, adequacy of force numbers, and any problems that might require a change to force levels. Note: this information is in addition to the information the contractor promises to immediately provide under the communications plan referenced at paragraph (c)(5). 952.225-0002, ARMED PERSONNEL INCIDENT REPORTS (MAR 2009) (a) All contractors and subcontractors in the Multi-National Forces-Iraq (MNF-I) or Combined Joint Task Force (Afghanistan) theater of operations shall comply with and shall ensure that their personnel supporting MNF-I or CJTF forces are familiar with and comply with all applicable orders, directives, and instructions issued by the respective MNF-I or CJTF Commanders relating to force protection and safety. (b) IRAQ: Contractors shall provide all incidents and use of weapons firing incidents to the MNC-I Contractor Operations Cell (CONOC) as soon as practical, based upon the situation, and submit a written report to CONOC within 4 hours. The initial report shall include the name of the company, location of the incident, time when the incident occurred, a brief description of the events leading up to the incident, and a company point of contact. A follow-up, comprehensive written report shall be provided to the CONOC within 96 hours of the incident. Reports shall be submitted to CONOC at: email@example.com;, DSN 318-435-2369; Iraqna 0044 203 286 9851 or 0044 203 239 5894; or Skype: MNCICONOC. (c) AFGHANISTAN: Contractors shall report all incidents and use of weapons through their Contracting Officers who will notify the JOC Watch at Bagram AB. (JOC SHIFT DIRECTOR, DSN: 318-431-4116; SVOIP: 431-7108) Information should include: the name of the company, where the incident occurred, time when the incident occurred, a brief description of the events leading up to the incident, and a point of contact for the company. The JOC Watch duty officer will issue guidance for further reporting requirements. (d) Contractors shall provide first aid and request MEDEVAC of injured persons, and remain available for U.S. or Coalition response forces, based upon the situation. In the event contractor personnel are detained by U.S. or Coalition Forces, prolonged detention due to lack of proper identification can be alleviated by contractor personnel possessing on their person information that includes the contractor's name, the contract number, a contractor management POC, and the phone number of the CONOC/JOC Watch. 952.225-0003, FITNESS FOR DUTY AND MEDICAL/DENTAL CARE LIMITATIONS (MAR 2009) (1) The contractor shall perform the requirements of this contract notwithstanding the fitness for duty of deployed employees, the provisions for care offered under this section, and redeployment of individuals determined to be unfit. The contractor bears the responsibility for ensuring all employees are aware of the conditions and medical treatment available at the performance. The contractor shall include this information and requirement in all subcontracts with performance in the theater of operations. (2) The contractor shall not deploy an individual with any of the following conditions unless approved by the appropriate CENTCOM Service Component (ie. ARCENT, AFCENT, etc.) Surgeon: Conditions which prevent the wear of personal protective equipment, including protective mask, ballistic helmet, body armor, and chemical/biological protective garments; conditions which prohibit required theater immunizations or medications; conditions or current medical treatment or medications that contraindicate or preclude the use of chemical and biological protectives and antidotes; diabetes mellitus, Type I or II, on pharmacological therapy; symptomatic coronary artery disease, or with myocardial infarction within one year prior to deployment, or within six months of coronary artery bypass graft, coronary artery angioplasty, or stenting; morbid obesity (BMI >/= 40); dysrhythmias or arrhythmias, either symptomatic or requiring medical or electrophysiologic control; uncontrolled hypertension, current heart failure, or automatic implantable defibrillator; therapeutic anticoagulation; malignancy, newly diagnosed or under current treatment, or recently diagnosed/treated and requiring frequent subspecialist surveillance, examination, and/or laboratory testing; dental or oral conditions requiring or likely to require urgent dental care within six months' time, active orthodontic care, conditions requiring prosthodontic care, conditions with immediate restorative dentistry needs, conditions with a current requirement for oral-maxillofacial surgery; new onset (< 1 year) seizure disorder, or seizure within one year prior to deployment; history of heat stroke; Meniere's Disease or other vertiginous/motion sickness disorder, unless well controlled on medications available in theater; recurrent syncope, ataxias, new diagnosis (< 1year) of mood disorder, thought disorder, anxiety, somotoform, or dissociative disorder, or personality disorder with mood or thought manifestations; unrepaired hernia; tracheostomy or aphonia; renalithiasis, current; active tuberculosis; pregnancy; unclosed surgical defect, such as external fixeter placement; requirement for medical devices using AC power; HIV antibody positivity; psychotic and bipolar disorders. (Reference: Mod 8 to USCENTCOM Individual Protection and Individual/Unit Deployment Policy, PPG-Tab A: Amplification of the Minimal Standards of Fitness for Deployment to the CENTCOM AOR). (3) In accordance with military directives (DoDI 3020.41, DoDI 6000.11, CFC FRAGO 09-1038, DoD PGI 225.74), resuscitative care, stabilization, hospitalization at Level III (emergency) military treatment facilities and assistance with patient movement in emergencies where loss of life, limb or eyesight could occur will be provided. Hospitalization will be limited to emergency stabilization and short-term medical treatment with an emphasis on return to duty or placement in the patient movement system. Subject to availability at the time of need, a medical treatment facility may provide reimbursable treatment for emergency medical or dental care such as broken bones, lacerations, broken teeth or lost fillings. (4) Routine and primary medical care is not authorized. Pharmaceutical services are not authorized for routine or known, routine prescription drug needs of the individual. Routine dental care, examinations and cleanings are not authorized. (5) Notwithstanding any other provision of the contract, the contractor shall be liable for any and all medically-related services or transportation rendered. In accordance with OUSD(C) Memorandum dated 4 June 2008, the following reimbursement rates will be charged for services at all DoD deployed medical facilities. These rates are in effect until changed by DoD direction. (a) Inpatient daily rate: $2,041.00. Date of discharge is not billed unless the patient is admitted to the hospital and discharged the same day. (b) Outpatient visit rate: $195.00. This includes diagnostic imaging, laboratory, pathology, and pharmacy provided at the medical facility. 952.225-0004, COMPLIANCE WITH LAWS AND REGULATIONS (MAR 2009) (a) The Contractor shall comply with, and shall ensure that its employees and its subcontractors and their employees, at all tiers, are aware of and obey all U.S. and Host Nation laws, Federal or DoD regulations, and Central Command orders and directives applicable to personnel in Iraq and Afghanistan, including but not limited to USCENTCOM, Multi-National Force and Multi-National Corps operations and fragmentary orders, instructions, policies and directives. (b) Contractor employees shall particularly note all laws, regulations, policies, and orders restricting authority to carry firearms, rules for the use of force, and prohibiting sexual or aggravated assault. Contractor employees are subject to General Orders Number 1, as modified from time to time, including without limitation, their prohibition on privately owned firearms, alcohol, drugs, war souvenirs, pornography and photographing detainees, human casualties or military security measures. (c) Contractor employees may be ordered removed from secure military installations or the theater of operations by order of the senior military commander of the battle space for acts that disrupt good order and discipline or violate applicable laws, regulations, orders, instructions, policies, or directives. Contractors shall immediately comply with any such order to remove its contractor employee. (d) Contractor employees performing in the USCENTCOM Area of Operations (AOR) may be subject to the jurisdiction of overlapping criminal codes, including, but not limited to, the Military Extraterritorial Jurisdiction Act (18 U.S.C. Sec. 3261, et al) (MEJA), the Uniform Code of Military Justice (10 U.S.C. Sec. 801, et al)(UCMJ), and the laws of the Host Nation. Non-US citizens may also be subject to the laws of their home country while performing in the USCENTCOM AOR. Contractor employee status in these overlapping criminal jurisdictions may be modified from time to time by the United States, the Host Nation, or by applicable status of forces agreements. (e) Under MEJA, a person who engages in felony misconduct outside the United States while employed by or accompanying the Armed Forces is subject to arrest, removal and prosecution in United States federal courts. Under the UCMJ, a person serving with or accompanying the Armed Forces in the field during a declared war or contingency operation may be disciplined for a criminal offense, including by referral of charges to a General Court Martial. Contractor employees may be ordered into confinement or placed under conditions that restrict movement within the AOR or administratively attached to a military command pending resolution of a criminal investigation. (f) Contractors shall immediately notify military law enforcement and the Contracting Officer if they suspect an employee has committed an offense. Contractors shall take any and all reasonable and necessary measures to secure the presence of an employee suspected of a serious felony offense. Contractors shall not knowingly facilitate the departure of an employee suspected of a serious felony offense or violating the Rules for the Use of Force to depart Iraq or Afghanistan without approval from the senior U.S. commander in the country. 52.225-0005, MONTHLY CONTRACTOR CENSUS REPORTING (MAR 2009) Contractor shall provide monthly employee census information to the Contracting Officer, by province, for this contract. Information shall be submitted either electronically or by hard-copy. Information shall be current as of the 25th day of each month and received by the Contracting Officer no later than the first day of the following month. The following information shall be provided for each province in which work was performed: (1) The total number (prime and subcontractors at all tiers) employees. (2) The total number (prime and subcontractors at all tiers) of U.S. citizens. (3) The total number (prime and subcontractors at all tiers) of local nationals (LN). (4) The total number (prime and subcontractors at all tiers) of third-country nationals (TCN). (5) Name of province in which the work was performed. (6) The names of all company employees who enter and update employee data in the Synchronized Predeployment & Operational Tracker (SPOT) IAW DFARS 252.225-7040 or DFARS DOD class deviation 2007-O0010. 952.225-0006, CONTRACT DELIVERY REQUIREMENTS (MAR 2009) (a) REQUIRED DELIVERY DATE: (b) CONTRACTOR DELIVERY LOCATION: (c) POINT-OF-CONTACT RESPONSIBLE FOR INSPECTION & ACCEPTANCE: Name: Phone No.: email: (d) FINAL DELIVERY DESTINATION: (e) POINT-OF-CONTACT AT FINAL DESTINATION: Name: Phone No.: email: (f) REQUIRING ACTIVITY: CONTRACT NO. N00178-04-D-4119 DELIVERY ORDER NO. V708 AMENDMENT/MODIFICATION NO. 33 PAGE 54 of 131 FINAL 952.225-0007, MANDATORY SHIPPING INSTRUCTIONS (IRAQ) (JUL 2009) (a) Multi-National Transition Command- Iraq (MNSTC-I) is required to track supplies and materiel shipped into Iraq. Prompt notification of shipment movements and compliance with information requirements will assist in providing advance notice to the point of entry for all inbound shipments. (b) In accordance with the U.S./Iraq Security Agreement, no taxes shall be imposed on goods and services purchased. (c) Upon contract award, the contractor/consignor shall provide the necessary logistical information required by 595th Transportation Group. STEP 1: -- Upon contract award go to the following JCCS website: -- https://www.jccs.gov/ STEP 2: -- Select the ?Logistics? and then the ?Customs? radio buttons. -- Select and complete the ?Customs Levy Waiver Form? . STEP 3: -- Select the ?Logistics? and then the ?Logistics Information Requirements? radio buttons. -- Select and complete the ?Logistics Information Requirements Form? . STEP 4: (a) Email the (1) completed ?Customs Levy Exemption Form?, (2) a copy of the front page of the signed contract; and (3) the pages from the contract that describe the required supplies, equipment or end product to the 595th Transportation Group at firstname.lastname@example.org. If there are any issues with this administrative process the MCB can be contacted by telephone at VOIP: (001) 281 669 2372 DSN: (318) 239-4331 Iraqna: +(964) 0790 192 4129 (b) The ?Customs Levy Exemption Form? will be reviewed by a Government of Iraq representative. If the shipment qualifies for a levy exemption, the ?Customs Levy Exemption Form? will be stamped and emailed back to the contractor. The stamped form must accompany every shipment for which a levy exemption is desired. (c) Complete a Form DD-250 form, Material Inspection and Receiving Report, and provide it and the invoice for the shipment with the cargo. (d) Commercial Air Shipments require (1) airway bills and (2) the ?Customs Levy Exemption? form to be emailed to Agility at email@example.com at least 7 days prior to the arrival of the cargo at the port of entry. Agility can be contacted at +Itisaluna +964 7400 239 354 AsiaCell +964 7710 551 729 Iraqna +964 7903 572 295. It is the contractor's responsibility to provide all the requested information in sufficient time to allow coordination of required delivery. Failure to comply with these instructions may result in delaying the arrival of supplies and materiel at their final destinations. HIRED EMPLOYEES (MAR 2009) (a) Contractors, and subcontractors at any tier shall ensure and provide satisfactory evidence that all locally hired employees, including Local National (LN), Third Country National, and U.S. employees, working on military have been screened for and do not currently have active tuberculosis (TB). (1) Contractors may utilize a testing method of either a chest x-ray or TB skin test (TST). (i) Chest x-rays shall be taken and TBTs administered within 90 days prior to the start of employment. (ii) Screening may be performed either by a licensed medical provider from the local economy or by contractors' licensed medical staffs. Contractors shall maintain medical screening documentation and make it available to the Contracting Officer upon request. (2) TB screening documentation will be required by the responsible Base Defense Operations Center (BDOC) prior to issuance of base access badges. (b) Contractor employees, including subcontractors at any tier, who work in positions where they are working with food or water production and distribution shall have current Typhoid and Hepatitis "A" (full series) vaccinations, in addition to the TB tests required above. (a) At least the first inoculation in the Hepatitis "A" series must be given prior to the start of employment, with continuation and completion of the inoculation series. The Typhoid inoculation must be completed within two years prior to the date of employment in the food and water service capacity. (i) Once the complete Hepatitis "A" vaccination series is completed, it does not have to be repeated. The Typhoid vaccination requires a booster immunization every three years. (ii) Proof of individual employee vaccinations shall be provided to the Contracting Officer and maintained by the Contractor for examination by the Contracting Officer. The following have been added by reference: 252.225-7040 Contractor Personnel Authorized to Accompany JUL 2009 States U.S. Armed Forces Deployed Outside the United C-313 SECURITY REQUIREMENTS (DEC 1999) The work to be performed under this contract as delineated in the DD Form 254, Attachment No. 2 involves access to and handling of classified material up to and including Secret. In addition to the requirements of the FAR 52.204-2 "Security Requirements" clause, the Contractor shall appoint a Security Officer, who shall (1) be responsible for all security aspects of the work performed under this contract, (2) assure compliance with the National Industry Security Program Operating Manual (DODINST 5220.22M), and (3) assure compliance with any written instructions from the Security Officer Code OA1, SPAWAR Systems Center Charleston, P.O. Box 190022, North Charleston, SC 29419-9022. C-315 WORKWEEK (DEC 1999) (a) All or a portion of the effort under this contract will be performed on a Government installation. The normal workweek for Government employees at SPAWAR Systems Center Charleston and its Detachments is Monday through Friday 0730 to 1600. Work at this Government installation, shall be performed by the contractor within the normal workweek unless differing hours are specified on the individual task orders. Following is a list of holidays observed by the Government: Name of Holiday Time of Observance New Year's Day 1 January Martin Luther King Jr. Day Third Monday in January President's Day Third Monday in February Memorial Day Last Monday in May Independence Day 4 July Labor Day First Monday in September Columbus Day Second Monday in October Veteran's Day 11 November Thanksgiving Day Fourth Thursday in November Christmas Day 25 December (b) If any of the above holidays occur on a Saturday or a Sunday, then such holiday shall be observed by the Contractor in accordance with the practice as observed by the assigned Government employees at the using activity. (c) If the Contractor is prevented from performance as the result of an Executive Order or an administrative leave determination applying to the using activity, such time may be charged to the contract as direct cost provided such charges are consistent with the Contractor's accounting practices. (d) This contract does not allow for payment of overtime during the normal workweek for employees who are not exempted from the Fair Labor Standards Act unless expressly authorized by the Ordering Officer. Under Federal regulations the payment of overtime is required only when an employee works more than 40 hours in a normal week period. C-317 NOTICE TO CONTRACTOR OF CERTAIN DRUG DETECTION PROCEDURES (DEC 1999) (a) Pursuant to Navy policy applicable to both Government and contractor personnel, measures will be taken to prevent the introduction and utilization of illegal drugs and related paraphernalia into Government Work areas. (b) In furtherance of the Navy's drug control program, unannounced periodic inspections of the following nature may be conducted by installation security authorities: (1) Routine inspection of contractor occupied work spaces. (2) Random inspections of vehicles on entry or exit, with drug detection dog teams as available, to eliminate them as a safe haven for storage of or trafficking in illegal drugs. (3) Random inspections of personnel possessions on entry or exit from the installation. (c) When there is probable cause to believe that a contractor employee on board a naval installation has been engaged in use, possession or trafficking of drugs, the installation authorities may detain said employee until the employee can be removed from the installation, or can be released to the local authorities having jurisdiction. (d) Trafficking in illegal drug and drug paraphernalia by contract employees while on a military vessel/installation may lead to possible withdrawal or downgrading of security clearance, and/or referral for prosecution by appropriate law enforcement authorities. (e) The contractor is responsible for the conduct of employees performing work under this contract and is, therefore, responsible to assure that employees are notified of these provisions prior to assignment. (f) The removal of contractor personnel from a Government vessel or installation as a result of the drug offenses shall not be cause for excusable delay, nor shall such action be deemed a basis for an equitable adjustment to price, delivery or other provisions of this contract. C-325 KEY PERSONNEL (a) The offeror agrees to assign to this contract those key personnel listed in paragraph (d) below. No substitutions shall be made except in accordance with this clause. (b) The offeror agrees that during the first 60 days of the contract performance period no personnel substitutions will be permitted unless such substitutions are necessitated by an individual's sudden illness, death or termination of employment. In any of these events, the contractor shall promptly notify the Contracting Officer and provide the information required by paragraph (c) below. After the initial 60 day period, all proposed substitutions must be submitted in writing, at least fifteen (15) days (thirty (30) days if a security clearance is to be obtained) in advance of the proposed substitutions to the contracting officer. These substitution requests shall provide the information required by paragraph (c) below. (c) All requests for approval of substitutions under this contract must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute or addition, and any other information requested by the Contracting Officer or needed by him to approve or disapprove the proposed substitutions. All substitutions proposed during the duration of this contract must have qualifications of the person being replaced. The Contracting Officer or his authorized representative will evaluate such requests and promptly notify the contractor of his approval or disapproval thereof in writing. (d) List of Key Personnel NAME CONTRACT LABOR CATEGORY Dave Greenburg Program Manager Ernest Roberson Logistician 3 Pete Lombardo Project Manager Engineer/Scientist 4 William Jonnson (e) If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. In addition, if the Contractor is found at fault for the condition, the Contracting Officer may elect to equitably decrease the contract price or fixed fee to compensate the Government for any resultant delay, loss or damage. (f) If the offeror wishes to add personnel to be used in a labor category he shall employ the procedures outlined in paragraph (c) above. Adding personnel will only be permitted in the event of an indefinite quantity contract, where the Government has issued a delivery order for labor hours that would exceed a normal forty hour week if performed only by the number of employees originally proposed. C-719 EXEMPTION FROM ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILITY REQUIREMENTS (JUN 2001) (a) The Government has determined that the following exemption(s) to the Electronic and Information Technology (EIT) Accessibility Standards (36 C.F.R. § 1194) are applicable to this procurement: ____ The EIT to be provided under this contract has been designated as a National Security System. __X__ The EIT acquired by the contractor is incidental to this contract. ____ The EIT to be provided under this contract would require a fundamental alteration in the nature of the product or its components in order to comply with the EIT Accessibility Standards. ____ The EIT to be provided under this contract will be located in spaces frequented only by service personnel for maintenance, repair, or occasional monitoring of equipment. ____ Compliance with the EIT Accessibility Standards would impose an undue burden on the agency. ____ The EIT to be provided under this contract is purchased in accordance with FAR Subpart 13.2 prior to January 1, 2003. (b) Notwithstanding that an exemption exists, the Contractor may furnish supplies or services provided under this contract that comply with the EIT Accessibility Standards (36 C.F.R. § 1194). C-720 PERFORMANCE BASED REVIEW AND ACCEPTANCE PROCEDURES This is a performance based order, as defined in FAR Part 37.6. Contractor performance will be reviewed in accordance with the Quality Assurance Plan as follows: QUALITY ASSURANCE PLAN (1) Objective: The purpose of this plan is to provide a quality assurance plan for the services contracted under this Task Order. This plan provides a basis for the Task Order Manager (TOM) to evaluate the quality of the contractor's performance. The oversight provided for in this plan, and the remedy established, will help ensure that service levels are of high quality throughout the task order term. (2) Performance Standards: a. The deliverables under this task order will be consistently technically accurate. b. The services delivered under this task order will be consistently of high quality. c. The contractor's cost control efforts under this task order will be consistently effective (applicable to cost reimbursement task orders). d. The contractor will be consistently responsive to Government customers in its performance of this task order. e. For the purposes of this plan, "consistently" is defined as "generally holding true", "persistently over time", and/or "overall uniformly". (3) Evaluation Methods: The TOM will conduct performance evaluations based on the standards in paragraph 2 above using the following technique: a. During the performance period of the task order, the TOM will continually and proactively monitor contractor efforts and obtain input from other Government personnel with performance oversight functions to ascertain the level of compliance with the Performance Standards. b. Every 12 months after the effective date of the task order, the TOM will prepare a Task Order Performance Evaluation (TOPE) documenting the results of the efforts performed under paragraph 3.a. above. c. The TOM will upload the TOPE to the SeaPort Portal. (4) Remedy a. If the annual Performance Evaluation indicates that the contractor has not met one or more of the Performance Standards, the following negative remedy becomes effective: the TOM will submit a negative TOPE on the SeaPort Portal for the applicable Performance Standard. b. This is a significant negative remedy as the TOPE is a key part of the Performance Monitoring process which: i. Provides input to the annual Contractor Performance Assessment Report (CPAR); and ii. Determines the contractor's ability to earn term extensions to its basic SeaPort-e contract in accordance with the Award Term provisions contained therein. SUP 5252.237-9401 PERSONNEL QUALIFICATIONS (MINIMUM) (JAN 1992) Personnel assigned to or utilized by the Contractor in the performance of this contract shall, as a minimum, meet the experience, educational, or other background requirements set forth below and shall be fully capable of performing in an efficient, reliable, and professional manner. If the offeror does not identify the labor categories listed below by the same specific title, then a cross-reference list should be provided in the offeror's proposal identifying the difference. a. If the Ordering Officer questions the qualifications or competence of any person performing under the contract, the burden of proof to sustain that the person is qualified as prescribed herein shall be upon the Contractor. c. The Government will review resumes of contractor personnel proposed to be assigned, and if personnel not currently in the employ of Contractor, a written agreement from potential employee to work will be part of the technical proposal. b. The Contractor must have the personnel, organization, and administrative control necessary to ensure that the services performed meet all requirements specified in delivery orders. The work history of each Contractor employee shall contain experience directly related to the tasks and functions to be assigned. The Ordering Officer reserves the right to determine if a given work history contains necessary and sufficiently detailed, related experience to reasonably ensure the ability for effective and efficient performance. d. 1. Program Manager Key Education: Bachelor's degree in Engineering, Physical Sciences, Mathematics, Management Information Systems, or Business. Experience: Fifteen (15) years of technical experience in support of systems engineering of C4I programs to include: Equipment Support, System Support, and Programmatic Support. Eight (8) years Program Management Experience, to include: Technology Assessments, Systems Design, Systems Analysis, Programmatic Support, Acquisition Planning, and Budget Planning. Five (5) years as manager of C4I and GCCS Programs. Knowledge of Federal Acquisition Regulation (FAR) and DoD procurement policies and procedures. Specific experience in : supervising employees, knowledge of Navy's system acquisition regulations, and presenting analysis results to "high Level" managers. 2. Project Manager Key Education: BS degree in Engineering, Physical Sciences, Mathematics, Management Information Systems, or Business. Experience: Ten (10) years of direct work experience with systems engineering of C4I programs. Eight (8) years of direct work experience, to include: Design, Development, Production, Installation, and Test & Evaluation of C4I systems or equipment. Four (4) years as manager of C4I projects, to include: Supervising Project Personnel, Scheduling Work, Writing Proposals and Preparing Bids, and Equipment and Material Logistics Control. Knowledge of Federal Acquisition Regulation (FAR) and DoD procurement policies and procedures. 3. Engineer/Scientist 4 Key Education: BS degree in Electrical, Mechanical, Electronic, Industrial, or Computer Engineering. Experience: Ten (10) years of experience in with systems engineering of C4I programs to include: Technology Analysis and Assessment, Design Definition, Development of Systems Specification, Systems Analysis, Systems Architecture, Systems/Equipment Integration, Test & Evaluation Criteria, and Logistics support of C4ISR requirements. Five (5) years of technical experience in leading and directing C4I engineering staff. 4. Engineer/Scientist 3 Education: BS degree in Electrical, Mechanical, Electronic, Industrial, or Computer Engineering. Experience: Six (6) years of experience in systems engineering of C4I, to include: Systems Analysis, Systems Architecture, Systems/Equipment Support, Test and Evaluation, and Logistics support of C4ISR requirements. Three (3) years of technical experience in support of C4I integration and testing. 5. Engineer/Scientist 2 Education: BS degree in Electrical, Mechanical, Electronic, Industrial, or Computer Engineering. Experience: Three (3) years of experience in systems engineering of C4I, to include: Systems/Equipment Support, and Test and Evaluation support of C4ISR requirements. One (1) year of technical experience in support of C4I integration and testing. 6. Engineer/Scientist 1 Education: BS degree in Electrical, Mechanical, Electronic, Industrial, or Computer Engineering. Experience: One (1) years of experience in systems engineering of C4I, to include: Systems/Equipment Support, and Test and Evaluation support of C4ISR requirements. 7. Junior Engineer/Scientist Education: BS degree in Electrical, Mechanical, Electronic, Industrial, or Computer Engineering. Experience: None. * IMPORTANT NOTE ** DAWIA Certification for Contractors – Contractor personnel that do not have government DAWIA certification courses may demonstrate an equivalency in terms of academic degrees, courses completed, and experience as that of their counterparts in the DAWIA workforce. Equivalency for the following classes must be provided as follows: Level 1 - (1) Fundamentals of Systems Acquisition Management, (2) Acquisition Logistics Fundamentals, (3) Systems Sustainment Management; Level 2 – (1) Level 1 classes, (2) Intermediate Systems Acquisition, (3) Intermediate Acquisition Logistics, (4) Performance Based Logistics; Level 3 – (1) Level 1 and 2 Classes, (2) Executive Life Cycle Logistics Management, (3) Reliability and Maintainability. Additional explanation of courses or requirements can be found at the Defense Acquisition University web site (http://www.dau.mil/). Requirements identified are minimum requirements for both education and experience and should be augmented with "specific requirements" according to requirements identified in Statements of Work (SOW), Performance Work Schedules (PWS), or Task Orders (TO). 8. Logistician 3 Key Education: Bachelor's degree plus individual shall possess a Professional certification – i.e., Defense Acquisition Workforce Improvement Act (DAWIA) certified in Lifecycle [Acquisition] Logistics – Level 1 OR have equivalent logistics training (resume to specify all equivalent training) OR possess an additional two (2) years working in direct support of defense life-cycle logistics. Experience: Six (6) years experience in defense life-cycle (acquisition) logistics support (or 8 years if not DAWIA Level 1 certified) of electronic systems, to include: logistics management, principles, practices, and processes. Of the required 6 years, individual shall have four (4) years support of C4ISR systems. Demonstrated skills, to include: Analyzing Engineering/Systems Management Data, Developing Logistics Plans and Procedures, and Developing Logistics Management Plans and Guidelines. 9. Logistician 2 Education: Bachelor's degree plus individual is working towards Professional certification –i.e., Defense Acquisition Workforce Improvement Act (DAWIA) in Lifecycle [Acquisition] Logistics - Level 1 OR have equivalent logistics training (resume to specify all equivalent training) OR possess an additional one (1) year working in direct support of defense life-cycle logistics. Experience: Three (3) years experience in defense life-cycle (acquisition) logistics support of electronic systems, to include: logistics principles, practices, and processes. Of the required 3 years, individual shall have one (1) year support of C4ISR systems. Demonstrated skills, to include: Analyzing Engineering/Systems Management Data, and Developing Logistics Plans and Procedures. 10. Logistician 1 Education: Bachelor’s degree. Experience: One (1) year experience in defense life-cycle (acquisition) logistics support of electronic systems, to include: logistics principles, practices, and processes. 11. Junior Logistician Education: Bachelor's degree in Engineering, Mathematics, Business, or Management Information Systems. Experience: None. 12. Management Analyst 3 Education: Bachelor's degree in Business Management or other management fields. Experience: Six (6) years Contract Management experience, to include: Development of Program Acquisition Documentation, Development of Testing Criteria, Development of Corrective Action Systems, Development of Program Monitoring Approach (e.g. PERT, CPM, EVM), Analysis of Programs Health, Data Collection and Analysis, Development of Cost Estimates, and Development of Program Status Reports. Comprehensive knowledge of Federal Acquisition Regulation (FAR) and DoD procurement policies and procedures. 13. Management Analyst 2 Education: Bachelor's degree in in Business Management or other management fields. Experience: Two (2) years Contract Management experience, to include: Development of Program Acquisition Documentation, Data Collection and Analysis, Development of Cost Estimates, and Development of Program Status Reports. Knowledge of Federal Acquisition Regulation (FAR) and DoD procurement policies and procedures. 15. Technical Analyst 2 Education: BS degree in Physical Sciences, Mathematics, or Engineering Technology. Experience: Three (3) years of experience in technical specifications development, process analysis and design, technical problem solving, and analytical/logical thinking. 16. Technical Analyst 1 Education: BS degree in Physical Sciences, Mathematics, or Engineering Technology. Experience: One (1) year of experience in technical specifications development, process analysis and design, technical 17. Safety Specialist 2 Education: Associate's Degree. Experience: Three (3) years experience working with safety principles/practices/ procedures, and occupational health policies/programs/practices. 18. Training Specialist 2 Education: Bachelor's degree in Education, English, Psychology, Engineering Technology. Working towards Training Certification Experience: Five (5) years of experience in the development and providing technical training to include: establishing training needs, developing goals and objectives, developing training programs, and applying the instructional system development (ISD) process. 19. Technical Writer/Editor 2 Education: BA degree in English, Journalism, or Technical Writing. Experience: Five (5) years of experience in the preparation of technical documentation to include: writing technical documentation, procedures and guidelines for C4ISR systems or equipment. 20. Technical Writer/Editor 1 Education: BA degree in English, Journalism, or Technical Writing. Experience: Three (3) years of experience in the preparation of technical documentation to include: writing technical documentation, procedures and guidelines for C4ISR systems or equipment. 21. Subject Matter Expert (SME) 2 Education: Technical Training in electronics, radio communications, or other communications equipment. Experience: Ten (10) years of hands-on experience with a C4I system or family of systems to include three (3) of the following four (4) areas: Systems Requirements, Operational Requirements, Test & Evaluation, and Training. An expert who is recognized that has demonstrated industry and public service leadership in a C4I system. 22. Subject Matter Expert (SME) 1 Education: Technical Training in electronics, radio communications, or other communications equipment. Experience: Eight (8) years of hands-on experience with a C4I system or family of systems to include three (3) of the following four (4) areas: Systems Requirements, Operational Requirements, Test & Evaluation, and Training. An expert who is recognized that has demonstrated industry and public service leadership in a C4I system. 23. Management and Program Technician 3 Education: High School diploma or GED. Experience: Ten (10) years of direct work experience with the use of advanced information technology to develop and/or integrate complex data to include: requirements analysis; project management procedures including out year budgeting for programs involving OMN, FMS, OPN, SCN, and RDT&E monies; development of contract schedules, out year planning and POM budgets, compliance planning and program planning. Must have knowledge of DoD standards and regulations like the FAR, DFAR, OPM requirements, and other business related regulations. 24. Management and Program Technician 2 High School diploma or GED. Education: Experience: Six (6) years of direct work experience with the use of advanced information technology to develop and/or integrate complex data to include: requirements analysis; project management procedures including out year budgeting for programs involving OMN, FMS, OPN, SCN, and RDT&E monies; development of contract schedules, out year planning and POM budgets, compliance planning and program planning. Must have knowledge of DoD standards and regulations like the FAR, DFAR, OPM requirements, and other business related regulations. 25. Management and Program Technician 1 Education: High School diploma or GED. Experience: Three (3) years of direct work experience with the use of advanced information technology to develop and/or integrate complex data to include: requirements analysis; project management procedures including out year budgeting for programs involving OMN, FMS, OPN, SCN, and RDT&E monies; development of contract schedules, out year planning and POM budgets, compliance planning and program planning. Must have knowledge of DoD standards and regulations like the FAR, DFAR, OPM requirements, and other business related regulations. 26. Accounting Clerk II (SCA 01012) Education: High School Diploma or GED. Experience: Two (2) years of clerical accounting experience to include: double entry bookkeeping, posting actions to journals, making debit/credit entries. Performing one (1) or more accounting tasks such as; verifying mathematical accuracy of accounting documents; examining and verifying clerical accuracy of various types of reports, lists, calculations, etc.; or making entries or adjustments to accounts. Demonstrated knowledge and understanding of the established and standardized bookkeeping and accounting procedures and techniques used in an accounting system. Knowledge and understanding of the terminology, codes, and processes used in automated accounting systems. 28. Administrative Assistant (SCA 01020) Education: Associate's Degree in Business or Computer Science. Experience: Four (4) years experience, to include: word processing, spreadsheet development, documenting management issues, financial analysis, data collection, report processing, brief preparation, read milestone schedules and send and receive emails. Two (2) years work experience shall be within DoD. OR High School Diploma or GED. Education: Experience: Eight (8) years experience to include: word processing, spreadsheet development, documenting management issues, financial analysis, data collection, report processing, brief preparation, read milestone schedules and send and receive emails. Two (2) years work experience shall be within DoD. 29. General Clerk II (SCA 01112) Education: High School Diploma or GED. Experience: Two (2) years of general clerical experience. Experience with Microsoft Office Tools. OR One (1) year of government or military experience in clerical functions. Experience with Microsoft Office Tools. 30. Personnel Assistant II (SCA 01262) Education: High School Diploma or GED. Experience: Two (2) years of experience in the area of civilian or military personnel support (human resources) to include: personnel procedures, guides, precedents, and job classifications. 31. Personnel Assistant I (SCA 01261) Education: High School Diploma or GED. Experience: One (1) year of experience in the area of civilian or military personnel support (human resources). 32. Secretary II (SCA 01312) Education: High School Diploma or GED. Experience: Two (2) years experience in the compilation of data/information for management use. 33. Supply Technician (SCA 01410) Education: High School diploma or GED. Experience: Five (5) years experience, to include: supervisory or warehouse lead at a DoD facility; financial management; logistics support for projects involving electronic/ electrical repair and installation, ordering, acquisition, distribution of material, equipment and resources. 34. Word Processor II (SCA 01612) Education: High School Diploma or GED. Experience: Two (2) year experience with Microsoft Word. 35. Illustrator I (SCA 13041) Education: Associate's degree in Electronic Technology, Engineering Technology, Engineering Design Graphics. Experience: Two (2) years of practical experience in graphic arts and a demonstrated knowledge of graphic production equipment. Experience, to include: generating electrical / electronic drawings and diagrams utilizing AutoCAD 2000 or higher. 36. Illustrator II (SCA 13042) Education: Associate's degree in Electronic Technology, Engineering Technology, Engineering Design Graphics. Experience: Four (4) years of practical experience in graphic arts and a demonstrated knowledge of graphic production equipment. One (1) year of the last two (2) years experience, to include: preparing electrical/electronics drawings in support of engineering functions using AUTOCAD 2000 or higher software tools. 37. Illustrator III (SCA 13043) Education: Associate's degree in Electronic, Engineering Technology, Engineering Design Graphics. Experience: Eight (8) years of drafting experience and complete familiarity with official drawing guidelines, specifications, and procedures. Six (6) years of experience, to include: utilizing AutoCAD 2000 or later Computer Aided Design (CAD) software. Six (6) years experience developing Military specific drawing packages, to include: Ships Installation Drawings (SIDs), Ship Alterations (ShipAlts), Temporary Alterations (TempAlts), Installation Control Drawings (ICDs), Installation Design Packages (IDPs), Basic Electronic Systems Engineering Plans (BESEP's) or As-Built drawings. 38. Technical Instructor (SCA 15090) Education: High School Diploma or GED. Training Certification Experience: Five (5) years of experience as instructor of mechanical skills, electronics, safety or other technical skills. Experience, to include: developing appropriate course material, hands on practical experience with techniques being taught, and researching latest technical discipline practices. 39. Machine – Tool Operator (SCA 19010) Education: High School Diploma or GED. Completion of Machine-Tool Operator apprenticeship training program. Experience: Six (6) years experience, to include: specialist in one or more than one type of machine tool used to machine metal for use in shaping metal or nonmetallic material; planning and performing difficult machining operations which require complicated setups or a high degree of accuracy; determining proper feeds, speeds, tooling, and operation sequence. 40. Material Expediter (SCA 21040) Education: High School diploma or GED. Experience: Two (2) experience, to include: facilitating and expediting the flow of materials to and from various departments, dealing directly with vendors to ensure prompt and accurate delivery of goods to appropriate locations, and inspecting goods upon delivery to verify delivered goods match order specifications. 41. Material Handling Laborer (SCA 21050) Education: High School diploma or GED. Experience: None. 42. Shipping and Receiving Clerk (SCA 21130) Education: High School diploma or GED. Experience: Two (2) years experience, to include: assembling orders and preparing goods for shipment; recording shipment data, including weight, charges, and space availability; receiving, unpacking materials/supplies and reporting damages and discrepancies for accounting, reimbursement and record-keeping purposes; and completing shipping and receiving reports. 43. Warehouse Specialist (SCA 21410) Education: High School diploma or GED. Experience: Two (2) year of warehouse duties experience, to include: performing inventory, staging, packing, storage and shipping of electronic equipment and related material; operating motor vehicles and material handling equipment; and utilized a computer-based inventory and bar coding system for entry, identification and tracking of material. 44. Electronics Technician I (SCA 23181) Education: High School diploma or GED. Formal electronics training from: Technical School, or Class A or B military school in electronics or communications, or four (4) year electronics apprentice program. Formal electronics training, to include: Installation Tasks, Soldering, Cable Dressing, Cable Tray, Conduit, and Making/Repairing Connectors. Experience: Two (2) years of practical experience, to include: electronics repair, maintenance and checkout. 45. Electronics Technician II (SCA 23182) Education: High School diploma or GED. Formal electronics training from: Technical School, or Class A or B military school in electronics or communications, or four (4) year electronics apprentice program. Formal electronics training, to include: Installation Tasks, Soldering, Cable Dressing, Cable Tray, Conduit, and Making/Repairing Connectors. Experience: Four (4) years of practical experience, to include: electronics repair, maintenance and checkout. One (1) year practical experience in electronics installation. 46. Electronics Technician III (SCA 23183) Education: High School diploma or GED. Formal electronics training from: Technical School, or Class A or B military school in electronics or communications, or four (4) year electronics apprentice program. Formal electronics training, to include: Installation Tasks, Soldering, Cable Dressing, Cable Tray, Conduit, and Making/Repairing Connectors. Experience: Eight (8) years of practical experience, to include: Electronics Repair, Maintenance, Installation and Checkout. Two (2) years experience, to include: supervision, and shop practices. Three (3) years practical experience, to include: electronics repair and installation, and six (6) years with the "Specific Projects" 47. General Maintenance Worker (SCA 23370) Education: High School diploma or GED. Experience: Two (2) experience, to include: performing maintenance and repair of equipment and buildings requiring practical skills in such trades as painting, carpentry, plumbing, masonry, and electrical work. 48. Laborer (SCA 23470) Education: High School Diploma or GED. Experience: Experience: none required. Shall perform tasks that require mainly physical abilities and effort involving little or no specialized skill. The following tasks are typical of this occupation: Loads and unloads trucks, and other conveyances; moves supplies and materials to proper location by wheelbarrows or hand trucks; stacks materials for storage or binning; collects refuse and salvable materials. Digs, fills, and tamps earth excavations; levels ground using pick, shovel, tamper and rake; shovels concrete and snow; cleans culverts and ditches; cuts trees and brush. A Laborer shall be able to move and arrange heavy pieces of electronic equipment, office furniture, and appliances; pull outdoor cable; climb structures; use heavy-duty tools; and if properly trained, operate light machinery and equipment. 49. Machinery Maintenance Mechanic (SCA 23530) Education: High School Diploma or GED. Completion of Machinery Maintenance or Mechanic apprenticeship training program. Experience: Four (4) years experience, to include: repairs of machinery or mechanical equipment, diagnose source of trouble, performing repairs, ordering appropriate parts, preparing written specifications for major repairs. 50. Maintenance Trades Helper (SCA 23580) Education: High School diploma or GED. Completed a formal in-house training program that includes familiarization with installation skills (i.e., running cables, dressing cables, marking cables, operation of standard test equipment, etc.). Experience: Two (2) years practical experience in electronics installation, maintenance, and checkout. 51. Welder (SCA 23960) Education: High School Diploma or GED. Must pass employer performance tests, standard governmental agencies certifications, and professional and technical association certifications. Qualified for specific material and processes in accordance with American Welding Society Welding Handbook. Experience: Four (4) years experience, to include: electric arc, gas shielded arc, and gas welding. Proficient at welding as follows: executing welds in all positions, with all types of metals and alloys, in various shapes including pipes, structural forms, plates, sheet metal, bar stock, machinery and equipment. 52. Drafter/CAD Operator I (SCA 30061) Education: High School diploma or GED. Experience: One (1) year experience in drafting/illustrating in the electronics field. Experience with computerized drafting applications 53. Drafter/CAD Operator II (SCA 30062) Education: High School diploma or GED. Experience: Two (2) years experience in drafting/illustrating in the electronics field. Experience, to include: computerized drafting applications, digital imaging techniques, use of AutoCad. 54. Drafter/CAD Operator III (SCA 30063) Education: High School diploma or GED. Experience: Three (3) years experience in drafting/illustrating in the electronics field. Experience, to include: computerized drafting applications, digital imaging techniques, use of AutoCad, planning and preparing graphic presentations of complex items. Experience with DoD processes and procedures. 55. Drafter/CAD Operator IV (SCA 30064) Education: Associate's degree from a school in drafting or illustration. Two (2) years experience in drafting/illustrating in the electronics field. Experience: Experience, to include: computerized drafting applications, digital imaging techniques, use of AutoCad, planning and preparing graphic presentations of complex items. Experience with DoD processes and procedures. OR Education: High School diploma or GED. Experience: Five (5) years experience in drafting/illustrating in the electronics field. Experience, to include: computerized drafting applications, digital imaging techniques, use of AutoCad, planning and preparing graphic presentations of complex items. Experience with DoD processes and procedures. 56. Engineering Technician I (SCA 30081) Education: 2 Years vocational program in Electrical/Electronics, Mechanical, Civil engineering, or Engineering Technology, or Class A or B military school in electronics or communication. Experience: None. OR Education: High School diploma or GED. Three (3) years practical experience, to include: laboratory testing, manufacturing, Experience: or maintenance. 57. Engineering Technician II (SCA 30082) Education: 2 Years vocational program in Electrical/Electronics, Mechanical, Civil engineering, or Engineering Technology, or Class A or B military school in electronics or communication. Experience: Three (3) years practical experience, to include: laboratory testing, manufacturing, or maintenance. OR Education: High School diploma or GED. Experience: Five (5) years practical experience, to include: laboratory testing, manufacturing, or maintenance. 58. Engineering Technician III (SCA 30083) Education: 2 Years vocational program in Electrical/Electronics, Mechanical, Civil engineering, or Engineering Technology, or Class A or B military school in electronics or communication. Experience: Ten (10) years of practical experience in installation or operation of C4I equipment. Four (4) of the 10 year experience, to include: installation of such equipment, and one (1) in design, preparation and modification of engineering documents, and drawings. Four (4) years experience in C4I installation and testing discipline, of which 2 must have been performed within the last 3 years. 59. Engineering Technician IV (SCA 30084) Education: 2 Years vocational program in Electrical/Electronics, Mechanical, Civil engineering, or Engineering Technology, or Class A or B military school in electronics or communication. Experience: Twelve (12) years of practical experience in installation or operation of C4I equipment. Six (6) of the 12 year experience, to include: installation of such equipment, and two (2) in design, preparation and modification of engineering documents, and drawings. Six (6) years experience in C4I installation and testing discipline, of which 3 must have been performed within the last 5 years. 60. Truckdriver, Heavy Truck (SCA 31363) Education: High School Diploma or GED. Commercial Class A Drivers License. Experience: Five (5) years of experience driving "straight trucks, over 4 tons, usually 10 wheels". Driver must also have experience in loading/unloading the truck, making minor mechanical repairs, and keeping the truck in good working order. SECTION D PACKAGING AND MARKING SHIP TO INFORMATION: See Section G - Task Order Manager Packaging and Marking shall be in accordance with Section D of the SeaPort-e Multiple Award IDIQ contract. SECTION E INSPECTION AND ACCEPTANCE E-303 INSPECTION AND ACCEPTANCE- - DESTINATION (JAN 2002) Inspection and acceptance of the services to be furnished hereunder shall be made at destination by the Task Order Manager or his duly authorized representative. SECTION F DELIVERABLES OR PERFORMANCE The periods of performance for the following Items are as follows: 4000 5/10/2010 - 9/30/2011 4100 3/7/2011 - 5/9/2012 6000 5/10/2010 - 9/30/2011 6100 3/7/2011 - 5/9/2012 CLIN - DELIVERIES OR PERFORMANCE The periods of performance for the following Items are as follows: Services to be performed hereunder will be provided at (insert specific address and building etc.) F-303 PERIODS OF PERFORMANCE The above periods of performance for the option(s) to extend the term of the task order shall apply only if the Government exercises the option(s) as stated in Section B in accordance with the basic contract clause at FAR 52.217-8 "Option to Extend Services" or FAR 52.217-9 "Option to Extend the Term of the Contract". Any option CLIN period of performance which extends past the current period of performance of the basic contract is only valid to the extent that the basic contract period of performance is extended. SECTION G CONTRACT ADMINISTRATION DATA Task Order Manager James Polk, Code 5316 P.O. Box 190022 North Charleston, SC 29405 firstname.lastname@example.org 843-218-5699 G-314 TYPE OF CONTRACT (DEC 1999) This is a Cost Plus Fixed Fee task order. G-317 INVOICING INSTRUCTIONS FOR SERVICES USING WIDE AREA WORK FLOW (WAWF) (JAN 2007) (a) Invoices for services rendered under this task order shall be submitted electronically through the Wide Area Work Flow-Receipt and Acceptance (WAWF). The contractor shall submit invoices for payment per contract terms. The Government shall process invoices for payment per contract terms. (b) The vendor shall have their CAGE Code activated by calling 1-866-618-5988. Once activated, the vendor shall self-register at the WAWF website at https://wawf.eb.mil. Vendor training is available on the internet at https://wawftraining.eb.mil. Additional support can be accessed by calling the Navy WAWF Assistance Line at 1-800-559-9293. (c) Back-up documentation can be included and attached to the invoice in WAWF. Attachments created with any Microsoft Office product, or Adobe (.pdf files), is attachable to the invoice in WAWF. (d) A separate invoice will be prepared no more frequently than every two weeks. Do not combine the payment claims for services provided under this contract. (e) The following information is provided for completion of the invoice in WAWF: Invoice Type Cost Vouchers Issued by N65236 Admin by Code S2404A(DCMA Manassas)* DCAA Auditor Code 04531(DCAA Miramar Branch Office)* Service Approver Code S0514A (DCMA San Diego)* Pay by Code HQ0338 (DFAS Columbus, West Entitlement)* To be completed at time of award. INVOICING AND PAYMENT INSTRUCTIONS FOR MULTIPLE ACCOUNTING CLASSIFICATION CITATIONS Consistent with task order clause 5252.232-9206, Segregation of Costs, the contractor shall segregate and accumulate costs for the performance of this task order by the appropriate Accounting Classification Reference Number (ACRN). The contractor's invoice shall identify the appropriate Contract and Task Order numbers. For the work performed, invoiced costs shall be associated to the Contract Line Item Number (CLIN), the Contract Subline Item (SLIN), and the specific ACRN. Invoices submitted to the paying office that do not comply with this requirement will be returned to the contractor for resubmission. The contractor shall provide an electronic copy of each invoice to the Task Order Manager at the time of submission to DCAA/DFAS. The paying office will disburse funds in strict compliance with the amounts invoiced by CLIN/SLIN/ACRN. ACTIVITY OMBUDSMAN The SPAWAR Ombudsman for this Task Order is: Name: Robert Meddick Code: 8.6.2 Address: PO Box 190022, N. Charleston, SC 29419 Phone: (843) 218-5115 Email: email@example.com Accounting Data SLINID PR Number Amount -------- ---------------------- --------------------- LLA : AA 2192035 250 06744 3 2D2035 MR MRAP25 0 Standard Number: M9545009RC00500/AA Network - 100000389257 Activity - 0001 Cost Code - 9RC005005080 BASE Funding Cumulative Funding MOD 01 400002 1300163522 LLA : AB 1701109 6520 310 67854 067443 2D 6520C5 Cost Code: 0RC06963502A PR#: 1300163522 DOC#: M6785410RC06963 NETWORK: 100000421780 ACTIVITY: 0010 400003 1300163522 LLA : AC 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00468 502C 067443 NETWORK: 100000407018 ACTIVITY: 0040 PR: 1300163522 DOC #: M6785410RC00468 COST CODE: 0RC00468502C 400004 1300163522 LLA : AD 5783080 178 47E0 82223L 0 10900 00000 000000 503000 F03000 503000 DOC #: F3QCDA0090G001 PR#: 1300163522 NETWORK: 100000407784 ACTIVITY: 0030 MOD 01 Funding Cumulative Funding MOD 02 400002 1300163522 LLA : AB 1701109 6520 310 67854 067443 2D 6520C5 Cost Code: 0RC06963502A PR#: 1300163522 DOC#: M6785410RC06963 NETWORK: 100000421780 ACTIVITY: 0010 400003 1300163522 LLA : AC 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00468 502C 067443 NETWORK: 100000407018 ACTIVITY: 0040 PR: 1300163522 DOC #: M6785410RC00468 COST CODE: 0RC00468502C 400004 1300163522 LLA : AD 5783080 178 47E0 82223L 0 10900 00000 000000 503000 F03000 503000 DOC #: F3QCDA0090G001 PR#: 1300163522 NETWORK: 100000407784 ACTIVITY: 0030 600001 1300163522 LLA : AB 1701109 6520 310 67854 067443 2D 6520C5 Cost Code: 0RC06963502A PR#: 1300163522 DOC#: M6785410RC06963 NETWORK: 100000421780 ACTIVITY: 0010 600002 1300163522 LLA : AC 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00468 502C 067443 NETWORK: 100000407018 ACTIVITY: 0040 PR: 1300163522 DOC #: M6785410RC00468 COST CODE: 0RC00468502C 600003 1300163522 LLA : AD 5783080 178 47E0 82223L 0 10900 00000 000000 503000 F03000 503000 DOC #: F3QCDA0090G001 PR#: 1300163522 NETWORK: 100000407784 ACTIVITY: 0030 MOD 02 Funding 0.00 Cumulative Funding 9299904.38 MOD 03 Funding 0.00 Cumulative Funding 9299904.38 MOD 04 400005 1300169658 LLA : AE AA 1701319 M7KF 252 67854 067443 2D C9C90B 0RCR0BO8173X Standard Number: M6785410RCR0BO8 PR#:1300169658 NETWORK CODE: 100000407765 ACTIVITY: 0050 SUBTASK 8.1.4 DOCUMENT #: M6785410RCR0BO8 COST CODE: 0RCR0BO8173X 400006 1300169658 LLA : AF AA 1791109 4631 310 67854 067443 2D 463109 9MP9422111X7 067443 Standard Number: M9545009MP94221 PR# 1300169658 DOCUMENT# M9545009MP94221 SUBTASK 8.1.2 NETWORK 100000389263 ACTIVITY: 0006 400007 1300169658 LLA : AG 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR9BDAVMR144 PR#: 1300169658 DOCUMENT#: MIPR9BDAVMR144 NETWORK#: 100000389296 ACTIVITY#: 0013 SUBTASK 188.8.131.52 400008 1300169658 LLA : AH 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR8DDAVMRA98 PR#: 1300169658 DOCUMENT#:MIPR8DDAVMRA98 NETWORK#: 100000389320 ACTIVITY#: 0005 SUBTASK 184.108.40.206 400009 1300169658 LLA : AJ AA 1791109 4631 310 67854 067443 2D 463109 0RC0459111X7 Standard Number: M6785410RC04591 PR#: 1300169658 DOCUMENT#: M6785410RC04591 NETWORK#: 100000416616 ACTIVITY#: 0050 SUBTASK 8.1.2 COST CODE 0RC0459111X7 400010 1300169658 LLA : AK AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR RC0030815US Standard Number: M9545009RC00308 PR#: 1300169658 DOCUMENT#: M9545009RC00308 NETWORK#: 100000388893 ACTIVITY#: 0001 SUBTASK 220.127.116.11 COST CODE: 9RC0030815US 400011 1300169658 LLA : AL AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR RC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 SUBTASK 18.104.22.168 COST CODE: 0RC00485502C 400012 1300169658 LLA : AM AA 17 0 1109 4633 310 67854 067443 2D 4633BS 0RC04997125V Standard Number: M6785410RC04997 PR#: 1300169658 DOCUMENT#: M6785410RC04997 NETWORK#: 100000410047 ACTIVITY#: 0050 SUBTASK 8.1.3 COST CODE: 0RC04997125V 400013 1300169658 ORC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 SUBTASK 22.214.171.124 COST CODE: ORC00485502C 400014 1300169658 LLA : AP AA 17 9 1109 5088 252 67854 2D 508803 0RC95B54174H Standard Number: M6785410RC95B54 PR#: 1300169658 DOCUMENT#: M6785410RC95B54 NETWORK#: 100000407523 ACTIVITY#: 0030 SUBTASK 8.1.4 COST CODE:0RC95B54174H 400015 1300169658 LLA : AQ AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0118 8012 0LAK Standard Number: M6785410MPF0207 PR#: 1300169658 DOCUMENT#: M6785410MPF0207 NETWORK#: 100000429312 ACTIVITY#: 0020 SUBTASK 126.96.36.199 400016 1300169658 LLA : AR AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0119 8025 0LAI Standard Number: M6785410MPF0208 PR#: 1300169658 DOCUMENT#: M6785410MPF0208 NETWORK#: 100000429316 ACTIVITY#: 0020 SUBTASK 188.8.131.52 400017 1300169658 LLA : AS AA 17 0 1109 6520 310 67854 067443 2D 6520C5 0RC06963502A Standard Number: M6785410RC06963 PR#: 1300169658 DOCUMENT#: M6785410RC06963 NETWORK#: 100000421780 ACTIVITY#: 0010 COST CODE:0RC06963502A SUBTASK 184.108.40.206 400018 1300169658 LLA : AT AA 21 0 2035 MRAP 250 67854 067433 2D 2035MR 0RC00469502C Standard Number: M6785410RC00469 PR#: 1300169658 DOCUMENT#: M6785410RC00469 NETWORK#: 100000407772 ACTIVITY#: 0040 COST CODE:0RC00469502C SUBTASK 220.127.116.11 400019 1300169658 LLA : AU AA 21 9 2035 MRAP 250 67854 067443 2D 2035MR 9RC005005080 Standard Number: M9545009RC00500 PR#: 1300169658 DOCUMENT#: M9545009RC00500 NETWORK#: 100000389257 ACTIVITY#: 0001 SUBTASK 18.104.22.168 400020 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 22.214.171.124 COST CODE:0RC00468502C 400021 1300169658 LLA : AW AA 5783080 178 47E8 82223L 010900 00000 00000 503000 DODAAC F03000 Standard Number: F3QCDA009G001 PR#: 1300169658 DOCUMENT#: F3QCDA009G001 NETWORK#: 100000407784 ACTIVITY#: 0030 SUBTASK 126.96.36.199 DODAAC F03000 600004 1300169658 LLA : AE AA 1701319 M7KF 252 67854 067443 2D C9C90B 0RCR0BO8173X Standard Number: M6785410RCR0BO8 PR#:1300169658 NETWORK CODE: 100000407765 ACTIVITY: 0050 SUBTASK 8.1.4 COST CODE: 0RCR0BO8173X DOCUMENT #: M6785410RCR0BO8 600005 1300169658 LLA : AF AA 1791109 4631 310 67854 067443 2D 463109 9MP9422111X7 067443 Standard Number: M9545009MP94221 PR# 1300169658 DOCUMENT# M9545009MP94221 SUBTASK 8.1.2 NETWORK 100000389263 ACTIVITY: 0006 600006 1300169658 LLA : AG 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR9BDAVMR144 PR#: 1300169658 DOCUMENT#: MIPR9BDAVMR144 NETWORK#: 100000389296 ACTIVITY#: 0013 SUBTASK 188.8.131.52 600007 1300169658 LLA : AH 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR8DDAVMRA98 PR#: 1300169658 DOCUMENT#:MIPR8DDAVMRA98 NETWORK#: 100000389320 ACTIVITY#: 0005 SUBTASK 184.108.40.206 600008 1300169658 LLA : AJ AA 1791109 4631 310 67854 067443 2D 463109 0RC0459111X7 Standard Number: M6785410RC04591 PR#: 1300169658 DOCUMENT#: M6785410RC04591 NETWORK#: 100000416616 ACTIVITY#: 0050 SUBTASK 8.1.2 COST CODE 0RC0459111X7 600009 1300169658 LLA : AK AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR RC0030815US Standard Number: M9545009RC00308 PR#: 1300169658 DOCUMENT#: M9545009RC00308 NETWORK#: 100000388893 ACTIVITY#: 0001 SUBTASK 220.127.116.11 COST CODE: 9RC0030815US 600010 1300169658 LLA : AL AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR RC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 COST CODE: 0RC00485502C SUBTASK 18.104.22.168 600011 1300169658 LLA : AM AA 17 0 1109 4633 310 67854 067443 2D 4633BS 0RC04997125V Standard Number: M6785410RC04997 PR#: 1300169658 DOCUMENT#: M6785410RC04997 NETWORK#: 100000410047 ACTIVITY#: 0050 COST CODE: 0RC04997125V SUBTASK 8.1.3 600012 1300169658 LLA : AN AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR ORC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 COST CODE:ORC00485502C SUBTASK 22.214.171.124 600013 1300169658 LLA : AP AA 17 9 1109 5088 252 67854 2D 508803 0RC95B54174H Standard Number: M6785410RC95B54 PR#: 1300169658 DOCUMENT#: M6785410RC95B54 NETWORK#: 100000407523 ACTIVITY#: 0030 COST CODE:0RC95B54174H SUBTASK 8.1.4 600014 1300169658 LLA : AQ AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0118 8012 0LAK Standard Number: M6785410MPF0207 PR#: 1300169658 DOCUMENT#: M6785410MPF0207 NETWORK#: 100000429312 ACTIVITY#: 0020 SUBTASK 126.96.36.199 600015 1300169658 LLA : AR AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0119 8025 0LAI Standard Number: M6785410MPF0208 PR#: 1300169658 DOCUMENT#: M6785410MPF0208 NETWORK#: 100000429316 ACTIVITY#: 0020 SUBTASK 188.8.131.52 600016 1300169658 LLA : AS AA 17 0 1109 6520 310 67854 067443 2D 6520C5 0RC06963502A Standard Number: M6785410RC06963 PR#: 1300169658 DOCUMENT#: M6785410RC06963 NETWORK#: 100000421780 ACTIVITY#: 0010 SUBTASK 184.108.40.206 COST CODE:0RC06963502A 600017 1300169658 LLA : AT AA 21 0 2035 MRAP 250 67854 067433 2D 2035MR 0RC00469502C Standard Number: M6785410RC00469 PR#: 1300169658 DOCUMENT#: M6785410RC00469 NETWORK#: 100000407772 ACTIVITY#: 0040 SUBTASK 220.127.116.11 COST CODE:0RC00469502C 600018 1300169658 LLA : AU AA 21 9 2035 MRAP 250 67854 067443 2D 2035MR 9RC005005080 Standard Number: M9545009RC00500 PR#: 1300169658 DOCUMENT#: M9545009RC00500 NETWORK#: 100000389257 ACTIVITY#: 0001 SUBTASK 18.104.22.168 600019 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 22.214.171.124 COST CODE:0RC00468502C 600020 1300169658 LLA : AW AA 5783080 178 47E8 82223L 010900 00000 00000 503000 DODAAC F03000 Standard Number: F3QCDA009G001 PR#: 1300169658 DOCUMENT#: F3QCDA009G001 NETWORK#: 100000407784 ACTIVITY#: 0030 SUBTASK 126.96.36.199 DODAAC F03000 MOD 04 Funding 40418751.73 Cumulative Funding 49718656.11 MOD 05 400022 1300172224 LLA : AX AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00702502C Standard Number: M6785410RC00702 PR#: 1300172224 DOCUMENT#: M6785410RC00702 NETWORK#: 100000407289 ACTIVITY#: 0040 COST CODE: 0RC00702502C SUBTASK 8.1.6 400023 1300172224 LLA : AY AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR 9RC0006515US Standard Number: M9545009RC00065 PR#: 1300172224 DOCUMENT#:M9545009RC00065 NETWORK#: 100000389111 ACTIVITY#: 0001 COST CODE:9RC0006515US SUBTASK 8.1.6 600021 1300172224 LLA : AX AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00702502C Standard Number: M6785410RC00702 PR#: 1300172224 DOCUMENT#: M6785410RC00702 NETWORK#: 100000407289 ACTIVITY#: 0040 COST CODE: 0RC00702502C SUBTASK 8.1.6 600022 1300172224 LLA : AY AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR 9RC0006515US Standard Number: M9545009RC00065 PR#: 1300172224 DOCUMENT#:M9545009RC00065 NETWORK#: 100000389111 ACTIVITY#: 0001 COST CODE:9RC0006515US SUBTASK 8.1.6 MOD 05 Funding 1381774.73 Cumulative Funding 51100430.84 MOD 06 400024 1300175398 LLA : AZ AA 57 9 3080 MRAP 250 67854 067443 2D 822230 9RC0050150M2 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE:9RC0050150M2 SUBTASK: 8.1.6 400025 1300175398 LLA : BA 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 PR# 1300175398 DOCUMENT#: MIPR0KDAVIBC06 NETWORK#: 100000434573 ACTIVITY#: 0010 SUBTASK: 8.1.6 400026 1300175398 LLA : BB AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAEV150CH Standard Number: M6785410RCAAEV1 PR#: 1300175398 DOCUMENT#:M6785410RCAAEV1 NETWORK#:100000418088 ACTIVITY#:0050 COST CODE:0RCAAEV150CH SUBTASK: 8.1.6 400027 1300175398 LLA : BC AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#: 100000416221 ACTIVITY#: 0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400028 1300175398 LLA : BD AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#:M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400029 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400030 1300175398 LLA : BF AA 17 8 1109 5050 252 67854 067443 2D 5050BX 0RC85J7117WN Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC85J71 NETWORK#:100000407523 ACTIVITY#:0080 COST CODE:0RC85J7117WN SUBTASK: 8.1.4 600023 1300175398 LLA : AZ AA 57 9 3080 MRAP 250 67854 067443 2D 822230 9RC0050150M2 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE: 9RC0050150M2 SUBTASK: 8.1.6 600024 1300175398 LLA : BA 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 PR# 1300175398 DOCUMENT#: MIPR0KDAVIBC06 NETWORK#: 100000434573 ACTIVITY#: 0010 SUBTASK: 8.1.6 600025 1300175398 LLA : BB AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAEV150CH Standard Number: M6785410RCAAEV1 PR#: 1300175398 DOCUMENT#:M6785410RCAAEV1 NETWORK#:100000418088 ACTIVITY#:0050 COST CODE:0RCAAEV150CH SUBTASK: 8.1.6 600026 1300175398 LLA : BC AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#: 100000416221 ACTIVITY#: 0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600027 1300175398 LLA : BD AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600028 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600029 1300175398 LLA : BF AA 17 8 1109 5050 252 67854 067443 2D 5050BX 0RC85J7117WN Standard Number: M6785410RC85J71 PR#:1300175398 DOCUMENT#: M6785410RC85J71 NETWORK#:100000407523 ACTIVITY#:0080 COST CODE:0RC85J7117WN SUBTASK: 8.1.4 MOD 06 Funding 6963997.13 Cumulative Funding 58064427.97 MOD 07 400031 1300177894 LLA : BG AA 1701804 KC6C 311 62583 068688 2D XSS803 625830WRTCHW Standard Number: N6258310WXSS803 PR#: 1300177894 DOCUMENT#: N6258310WXSS803 NETWORK#:100000414331 ACTIVITY#: 0020 COST CODE: 625830WRTCHW SUBTASK: 8.1.4 400032 1300177894 LLA : BH AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAGS050CH Standard Number: M6785410RCAAGS0 PR#: 1300177894 DOCUMENT#:M6785410RCAAGS0 NETWORK#:100000437764 ACTIVITY#:0050 COST CODE:0RCAAGS050CH SUBTASK: 188.8.131.52 400033 1300177894 BJ AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 184.108.40.206 400034 1300177894 LLA : BK AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 220.127.116.11 400035 1300177894 LLA : BL AA 17 0 1106 27A0 252 67854 067443 2D 1A2A 0RCOMN2250CH Standard Number: M6785410RCOMN22 PR#: 1300177894 DOCUMENT#: M6785410RCOMN22 NETWORK#: 100000437764 ACTIVITY#: 0030 COST CODE:0RCOMN2250CH SUBTASK: 18.104.22.168 400036 1300177894 LLA : BM AA 57 0 3400 MRAP 252 67854 067443 2D 1AK1 0RCOMF3050LD Standard Number: M6785410RCOMF30 PR#: 1300177894 DOCUMENT#: M6785410RCOMF30 NETWORK#: 100000437764 ACTIVITY#: 0010 COST CODE:0RCOMF3050LD SUBTASK: 22.214.171.124 600030 1300177894 LLA : BG AA 1701804 KC6C 311 62583 068688 2D XSS803 625830WRTCHW Standard Number: N6258310WXSS803 PR#: 1300177894 DOCUMENT#: N6258310WXSS803 NETWORK#:100000414331 ACTIVITY#: 0020 COST CODE: 625830WRTCHW SUBTASK: 8.1.4 600031 1300177894 LLA : BH AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAGS050CH Standard Number: M6785410RCAAGS0 PR#: 1300177894 DOCUMENT#:M6785410RCAAGS0 NETWORK#:100000437764 ACTIVITY#:0050 COST CODE:0RCAAGS050CH SUBTASK: 126.96.36.199 600032 1300177894 LLA : BJ AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 188.8.131.52 600033 1300177894 LLA : BK AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 184.108.40.206 600034 1300177894 LLA : BL AA 17 0 1106 27A0 252 67854 067443 2D 1A2A 0RCOMN2250CH Standard Number: M6785410RCOMN22 PR#: 1300177894 DOCUMENT#: M6785410RCOMN22 NETWORK#: 100000437764 ACTIVITY#: 0030 COST CODE:0RCOMN2250CH SUBTASK: 220.127.116.11 600035 1300177894 LLA : BM AA 57 0 3400 MRAP 252 67854 067443 2D 1AK1 0RCOMF3050LD Standard Number: M6785410RCOMF30 PR#: 1300177894 DOCUMENT#: M6785410RCOMF30 NETWORK#: 100000437764 ACTIVITY#: 0010 COST CODE:0RCOMF3050LD SUBTASK: 18.104.22.168 MOD 07 Funding Cumulative Funding MOD 08 Funding 0.00 Cumulative Funding MOD 09 400020 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 22.214.171.124 COST CODE:0RC00468502C 600019 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 126.96.36.199 COST CODE:0RC00468502C MOD 09 Funding MOD 10 400037 1300190129 LLA : BN AA 2102035 MRAP 250 67854 067443 2D 2035MR 0RC00485502C Standard Number: M6785410RC00485 PR# 1300190129 Doc# M6785410RC00485 Cost Code# 0RC00485502C NWA# 100000422658 0010 Subtask# 8.1.6 400038 1300190129 LLA : BP AA 1701109 5088 252 67854 067443 2D 5088BS 0RC05G20174Q Standard Number: M6785410RC05G20 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 100000407523 0100 Subtask# 8.1.4 600036 1300190129 LLA : BP AA 1701109 5088 252 67854 067443 2D 5088BS 0RC05G20174Q Standard Number: M6785410RC05G20 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 100000407523 0100 Subtask# 8.1.4 MOD 10 Funding Cumulative Funding MOD 11 Funding Cumulative Funding MOD 12 400039 1300194538 LLA : BQ 1701109 6520 250 67854 067443 2D 6520C5 Standard Number: M6785411RC06M16 ACRN BQ: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC06M16 COST CODE: 1RC06M16502A NWA: 100000473166 0010 400040 1300194538 LLA : BR 1711106 1A2A 252 67854 067443 2D M67854 Standard Number: M6785411RCAA468 ACRN BR: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 100000468317 0010 CONTRACT NO. N00178-04-D-4119 DELIVERY ORDER NO. V708 AMENDMENT/MODIFICATION NO. 33 PAGE 92 of 131 FINAL 400041 1300194538 LLA : BS 2102035 MRAP 250 6785 4 06744 3 2D 203 5MR 1RC00268 502C 067443 Standard Number: M6785411RC00268 ACRN BS: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 100000473165 0010 600037 1300194538 LLA : BQ 1701109 6520 250 67854 067443 2D 6520C5 1RC06M16502A Standard Number: M6785411RC06M16 ACRN BQ: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC06M16 COST CODE: 1RC06M16502A NWA: 100000473166 0010 600038 1300194538 LLA : BR 1711106 1A2A 252 67854 067443 2D M67854 1RCAA46850LS Standard Number: M6785411RCAA468 ACRN BR: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 100000468317 0010 600039 1300194538 LLA : BS 2102035 MRAP 250 6785 4 06744 3 2D 203 5MR 1RC00268 502C 067443 Standard Number: M6785411RC00268 ACRN BS: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 100000473165 0010 MOD 12 Funding Cumulative Funding MOD 13 410001 1300196909 LLA : BT AA 2102035 MRAP 252 67854 067443 2D 2035MR 1RC00290502C Standard Number: M6785411RC00290 ACRN BT: LABOR FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA: 100000474313 0010 410002 1300196909 LLA : BU 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 ACRN BU: LABOR FOR SUBTASK 8.1.6 PR:1300196909 DOC: MIPR0KDAVIBC06 NWA: 100000434573 0010 610001 1300196909 LLA : BT AA 2102035 MRAP 252 67854 067443 2D 2035MR 1RC00290502C Standard Number: M6785411RC00290 ACRN BT: ODC FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA: 100000474313 0010 610002 1300196909 LLA : BU 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 ACRN BU: ODC FOR SUBTASK 8.1.6 PR:1300196909 DOC: MIPR0KDAVIBC06 NWA: 100000434573 0010 MOD 13 Funding Cumulative Funding MOD 14 400003 1300163522 LLA : AC 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00468 502C 067443 NETWORK: 100000407018 ACTIVITY: 0040 PR: 1300163522 DOC #: M6785410RC00468 COST CODE: 0RC00468502C 400004 1300163522 LLA : AD 5783080 178 47E0 82223L 0 10900 00000 000000 503000 F03000 503000 DOC #: F3QCDA0090G001 PR#: 1300163522 NETWORK: 100000407784 ACTIVITY: 0030 400005 1300169658 LLA : AE AA 1701319 M7KF 252 67854 067443 2D C9C90B 0RCR0BO8173X Standard Number: M6785410RCR0BO8 PR#:1300169658 NETWORK CODE: 100000407765 ACTIVITY: 0050 SUBTASK 8.1.4 DOCUMENT #: M6785410RCR0BO8 COST CODE: 0RCR0BO8173X 400007 1300169658 LLA : AG 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR9BDAVMR144 PR#: 1300169658 DOCUMENT#: MIPR9BDAVMR144 NETWORK#: 100000389296 ACTIVITY#: 0013 SUBTASK 188.8.131.52 400008 1300169658 LLA : AH 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR8DDAVMRA98 PR#: 1300169658 DOCUMENT#:MIPR8DDAVMRA98 NETWORK#: 100000389320 ACTIVITY#: 0005 SUBTASK 184.108.40.206 400011 1300169658 LLA : AL AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR RC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 SUBTASK 220.127.116.11 COST CODE: 0RC00485502C CONTRACT NO. N00178-04-D-4119 DELIVERY ORDER NO. V708 AMENDMENT/MODIFICATION NO. 33 PAGE 94 of 131 FINAL 400018 1300169658 LLA : AT AA 21 0 2035 MRAP 250 67854 067433 2D 2035MR 0RC00469502C Standard Number: M6785410RC00469 PR#: 1300169658 DOCUMENT#: M6785410RC00469 NETWORK#: 100000407772 ACTIVITY#: 0040 COST CODE:0RC00469502C SUBTASK 18.104.22.168 400019 1300169658 LLA : AU AA 21 9 2035 MRAP 250 67854 067443 2D 2035MR 9RC005005080 Standard Number: M9545009RC00500 PR#: 1300169658 DOCUMENT#: M9545009RC00500 NETWORK#: 100000389257 ACTIVITY#: 0001 SUBTASK 22.214.171.124 400020 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 126.96.36.199 COST CODE:0RC00468502C 400024 1300175398 LLA : AZ AA 57 9 3080 MRAP 250 67854 067443 2D 822230 9RC0050150M2 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE:9RC0050150M2 SUBTASK: 8.1.6 400025 1300175398 LLA : BA 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 PR# 1300175398 DOCUMENT#: MIPR0KDAVIBC06 NETWORK#: 100000434573 ACTIVITY#: 0010 SUBTASK: 8.1.6 400026 1300175398 LLA : BB AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAEV150CH Standard Number: M6785410RCAAEV1 PR#: 1300175398 DOCUMENT#:M6785410RCAAEV1 NETWORK#:100000418088 ACTIVITY#:0050 COST CODE:0RCAAEV150CH SUBTASK: 8.1.6 400029 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600002 1300163522 LLA : AC 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00468 502C 067443 NETWORK: 100000407018 ACTIVITY: 0040 PR: 1300163522 DOC #: M6785410RC00468 COST CODE: 0RC00468502C 600003 1300163522 LLA : AD 5783080 178 47E0 82223L 0 10900 00000 000000 503000 F03000 503000 DOC #: F3QCDA0090G001 PR#: 1300163522 NETWORK: 100000407784 ACTIVITY: 0030 600004 1300169658 LLA : AE AA 1701319 M7KF 252 67854 067443 2D C9C90B 0RCR0BO8173X Standard Number: M6785410RCR0BO8 PR#:1300169658 NETWORK CODE: 100000407765 ACTIVITY: 0050 SUBTASK 8.1.4 COST CODE: 0RCR0BO8173X DOCUMENT #: M6785410RCR0BO8 600006 1300169658 LLA : AG 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR9BDAVMR144 PR#: 1300169658 DOCUMENT#: MIPR9BDAVMR144 NETWORK#: 100000389296 ACTIVITY#: 0013 SUBTASK 188.8.131.52 600007 1300169658 LLA : AH 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR8DDAVMRA98 PR#: 1300169658 DOCUMENT#:MIPR8DDAVMRA98 NETWORK#: 100000389320 ACTIVITY#: 0005 SUBTASK 184.108.40.206 600010 1300169658 LLA : AL AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR RC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 COST CODE: 0RC00485502C SUBTASK 220.127.116.11 600017 1300169658 LLA : AT AA 21 0 2035 MRAP 250 67854 067433 2D 2035MR 0RC00469502C Standard Number: M6785410RC00469 PR#: 1300169658 DOCUMENT#: M6785410RC00469 NETWORK#: 100000407772 ACTIVITY#: 0040 SUBTASK 18.104.22.168 COST CODE:0RC00469502C 600018 1300169658 LLA : AU AA 21 9 2035 MRAP 250 67854 067443 2D 2035MR 9RC005005080 Standard Number: M9545009RC00500 PR#: 1300169658 DOCUMENT#: M9545009RC00500 NETWORK#: 100000389257 ACTIVITY#: 0001 SUBTASK 22.214.171.124 600019 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 126.96.36.199 COST CODE:0RC00468502C 600023 1300175398 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE: 9RC0050150M2 SUBTASK: 8.1.6 600024 1300175398 LLA : BA 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 PR# 1300175398 DOCUMENT#: MIPR0KDAVIBC06 NETWORK#: 100000434573 ACTIVITY#: 0010 SUBTASK: 8.1.6 600025 1300175398 LLA : BB AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAEV150CH Standard Number: M6785410RCAAEV1 PR#: 1300175398 DOCUMENT#:M6785410RCAAEV1 NETWORK#:100000418088 ACTIVITY#:0050 COST CODE:0RCAAEV150CH SUBTASK: 8.1.6 600028 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 MOD 14 Funding Cumulative Funding MOD 15 Funding Cumulative Funding MOD 16 410003 1300201322 LLA : BV 2192035 1C1 C0902 0 1132I1 C1 C09 020113 Standard Number: MIPR9CDAV9M005 ACRN BV: Labor for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 100000389266 0009 410004 1300201322 LLA : BW 1791109 5088 253 67854 067443 2D 5088S9 0RC95G86177T Standard Number: M6785410RC95G86 ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 100000407523 0110 610003 1300201322 LLA : BV 2192035 1C1 C0902 0 1132I1 C1 C09 020113 Standard Number: MIPR9CDAV9M005 ACRN BV: Labor for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 100000389266 0009 610004 1300201322 LLA : BW 1791109 5088 253 67854 067443 2D 5088S9 0RC95G86177T Standard Number: M6785410RC95G86 ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 100000407523 0110 MOD 16 Funding Cumulative Funding MOD 17 410005 1300204682 LLA : BX 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 ACRN BX: Labor for Subtask 8.1.6 PR: 1300204682 DOC: MIPR0KDAVIBC06 NWA: 100000434573 0010 PROJECT ID: DR-008218 410006 13000204682 LLA : BY AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR 1RC00268502C Standard Number: M6785411RC00268 ACRN BX: Labor for Subtask 8.1.6 PR: 1300204682 DOC: M6785411RC00268 NWA: 100000434573 0010 PROJECT ID: DR-020998 410007 1300204682 LLA : BZ AA 17 0 1109 6520 250 67854 067443 2D 6520C5 1RC06M16502A Standard Number: M6785411RC06M16 ACRN BZ: Labor for Subtask 8.1.6 PR: 1300204682 DOC: M6785411RC00268 NWA: 100000473166 0010 PROJECT ID: DR-020998 410008 1300204682 LLA : CA AA 17 0 1109 4631 310 67854 067443 2D 463109 0RC0459111X7 Standard Number: M6785410RC04591 ACRN CA: Labor for Subtask 8.1.2 PR: 1300204682 DOC: M6785410RC04591 NWA: 100000416616 0050 PROJECT ID: DR-018286 610005 1300204682 LLA : BX 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 ACRN BX: Labor for Subtask 8.1.6 PR: 1300204682 DOC: MIPR0KDAVIBC06 NWA: 100000434573 0010 PROJECT ID: DR-008218 610006 1300204682 Standard Number: M6785411RC00268 ACRN BY: ODC for Subtask 8.1.6 PR: 1300204682 DOC: M6785411RC00268 NWA: 100000473165 0010 PROJECT ID: DR-020998 610008 1300204682 LLA : CA AA 17 0 1109 4631 310 67854 067443 2D 463109 0RC0459111X7 Standard Number: M6785410RC04591 ACRN CA: Labor for Subtask 8.1.2 PR: 1300204682 DOC: M6785410RC04591 NWA: 100000416616 0050 PROJECT ID: DR-018286 MOD 17 Funding Cumulative Funding MOD 18 410009 1300209797 LLA : CB AA 57 1 3400 MRAP 252 67854 0677443 2D 1AK1 1RCOMFBB50LD Standard Number: M6785411RCOMFBB ACRN CB: Labor for Subtask 8.1.6 PR: 1300209797 DOC: M6785411RCOMFBB COST CODE: 1RCOMFBB50LD NWA: 100000489344 0010 410010 1300209797 LLA : CC 5713080 MRAP 252 6785 4 06744 3 2D 822 230 1RC00472 501J Standard Number: M6785411RC00472 ACRN CC: Labor for Subtak 8.1.6 PR: 1300209797 DOC: M6785411RC00472 COST CODE: 1RC00472501J NWA: 100000490310 0010 410011 1300209797 LLA : CD AA 1711804 KC6C 252 FA678 U 068342 2D 01C6C0 91U822521U82 Standard Number: N0002511RC2094R ACRN CD: Labor for Subtask 8.1.4 PR: 1300209797 DOC: N0002511RC2094R COST CODE: 91U822521U82 1RC00268502C NWA: 100000490714 0010 610009 1300209797 LLA : CB AA 57 1 3400 MRAP 252 67854 0677443 2D 1AK1 1RCOMFBB50LD Standard Number: M6785411RCOMFBB ACRN CB: ODC for Subtask 8.1.6 PR: 1300209797 DOC: M6785411RCOMFBB COST CODE: 1RCOMFBB50LD NWA: 100000489344 0010 610010 1300209797 LLA : CC AA 57 1 3080 MRAP 252 67443 2D 822230 1RC00472501J Standard Number: M6785411RC00472 ACRN CC: ODC for Subtak 8.1.6 PR: 1300209797 DOC: M6785411RC00472 COST CODE: 1RC00472501J NWA: 100000490310 0010 610011 1300209797 LLA : CD AA 1711804 KC6C 252 FA678 U 068342 2D 01C6C0 91U822521U82 Standard Number: N0002511RC2094R ACRN CD: Labor for Subtask 8.1.4 PR: 1300209797 DOC: N0002511RC2094R COST CODE: 91U822521U82 NWA: 100000490714 0010 MOD 18 Funding Cumulative Funding MOD 19 410012 1300210869 LLA : CE 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR1JDAVIBC20 ACRN AE: Labor for PWS PR: 1300210869 DOC: MIPR1JDAVIBC20 COST CODE: S20113 NWA: 100000491369 0010 610012 1300210869 Standard Number: MIPR1JDAVIBC20 ACRN AE: Labor for PWS PR: 1300210869 DOC: MIPR1JDAVIBC20 COST CODE: S20113 NWA: 100000491369 0010 MOD 19 Funding Cumulative Funding MOD 20 410013 1300217576 Standard Number: M6785411RC05R80 ACRN CF: Labor for PWS Subtask 8.1.3 PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA: 100000495987 0010 610013 1300217576 LLA : CF 1701109 5093 251 67854 067443 2D 509305 1RC05R8017ZF Standard Number: M6785411RC05R80 ACRN CF: ODC for PWS Subtask 8.1.3 PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA: 100000495987 0010 MOD 20 Funding Cumulative Funding MOD 21 Funding Cumulative Funding MOD 22 400002 1300163522 LLA : AB 1701109 6520 310 67854 067443 2D 6520C5 Cost Code: 0RC06963502A PR#: 1300163522 DOC#: M6785410RC06963 NETWORK: 100000421780 ACTIVITY: 0010 400010 1300169658 LLA : AK AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR RC0030815US Standard Number: M9545009RC00308 PR#: 1300169658 DOCUMENT#: M9545009RC00308 NETWORK#: 100000388893 ACTIVITY#: 0001 SUBTASK 188.8.131.52 COST CODE: 9RC0030815US 400014 1300169658 LLA : AP AA 17 9 1109 5088 252 67854 2D 508803 0RC95B54174H Standard Number: M6785410RC95B54 PR#: 1300169658 DOCUMENT#: M6785410RC95B54 NETWORK#: 100000407523 ACTIVITY#: 0030 SUBTASK 8.1.4 COST CODE:0RC95B54174H 400015 1300169658 LLA : AQ AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0118 8012 0LAK Standard Number: M6785410MPF0207 PR#: 1300169658 DOCUMENT#: M6785410MPF0207 NETWORK#: 100000429312 ACTIVITY#: 0020 SUBTASK 184.108.40.206 400016 1300169658 LLA : AR AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0119 8025 0LAI Standard Number: M6785410MPF0208 PR#: 1300169658 DOCUMENT#: M6785410MPF0208 NETWORK#: 100000429316 ACTIVITY#: 0020 SUBTASK 220.127.116.11 400017 1300169658 LLA : AS AA 17 0 1109 6520 310 67854 067443 2D 6520C5 0RC06963502A Standard Number: M6785410RC06963 PR#: 1300169658 DOCUMENT#: M6785410RC06963 NETWORK#: 100000421780 ACTIVITY#: 0010 COST CODE:0RC06963502A SUBTASK 18.104.22.168 400024 1300175398 LLA : AZ AA 57 9 3080 MRAP 250 67854 067443 2D 822230 9RC0050150M2 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE:9RC0050150M2 SUBTASK: 8.1.6 400032 1300177894 LLA : BH AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAGS050CH Standard Number: M6785410RCAAGS0 PR#: 1300177894 DOCUMENT#:M6785410RCAAGS0 NETWORK#:100000437764 ACTIVITY#:0050 COST CODE:0RCAAGS050CH SUBTASK: 22.214.171.124 400033 1300177894 LLA : BJ AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 126.96.36.199 400034 1300177894 LLA : BK AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 188.8.131.52 400035 1300177894 LLA : BL AA 17 0 1106 27A0 252 67854 067443 2D 1A2A 0RCOMN2250CH Standard Number: M6785410RCOMN22 PR#: 1300177894 DOCUMENT#: M6785410RCOMN22 NETWORK#: 100000437764 ACTIVITY#: 0030 COST CODE:0RCOMN2250CH SUBTASK: 184.108.40.206 400036 1300177894 LLA : BM AA 57 0 3400 MRAP 252 67854 067443 2D 1AK1 0RCOMF3050LD Standard Number: M6785410RCOMF30 PR#: 1300177894 DOCUMENT#: M6785410RCOMF30 NETWORK#: 100000437764 ACTIVITY#: 0010 COST CODE:0RCOMF3050LD SUBTASK: 220.127.116.11 400039 1300194538 LLA : BQ 1701109 6520 250 67854 067443 2D 6520C5 Standard Number: M6785411RC06M16 ACRN BQ: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC06M16 COST CODE: 1RC06M16502A NWA: 100000473166 0010 400041 1300194538 LLA : BS 2102035 MRAP 250 6785 4 06744 3 2D 203 5MR 1RC00268 502C 067443 Standard Number: M6785411RC00268 ACRN BS: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 100000473165 0010 410001 1300196909 LLA : BT AA 2102035 MRAP 252 67854 067443 2D 2035MR 1RC00290502C Standard Number: M6785411RC00290 ACRN BT: LABOR FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA: 100000474313 0010 410003 1300201322 LLA : BV 2192035 1C1 C0902 0 1132I1 C1 C09 020113 Standard Number: MIPR9CDAV9M005 ACRN BV: Labor for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 100000389266 0009 600001 1300163522 LLA : AB 1701109 6520 310 67854 067443 2D 6520C5 Cost Code: 0RC06963502A PR#: 1300163522 DOC#: M6785410RC06963 NETWORK: 100000421780 ACTIVITY: 0010 600009 1300169658 LLA : AK AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR RC0030815US Standard Number: M9545009RC00308 PR#: 1300169658 DOCUMENT#: M9545009RC00308 NETWORK#: 100000388893 ACTIVITY#: 0001 SUBTASK 18.104.22.168 COST CODE: 9RC0030815US 600013 1300169658 LLA : AP AA 17 9 1109 5088 252 67854 2D 508803 0RC95B54174H Standard Number: M6785410RC95B54 PR#: 1300169658 DOCUMENT#: M6785410RC95B54 NETWORK#: 100000407523 ACTIVITY#: 0030 COST CODE:0RC95B54174H SUBTASK 8.1.4 600014 1300169658 LLA : AQ AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0118 8012 0LAK Standard Number: M6785410MPF0207 PR#: 1300169658 DOCUMENT#: M6785410MPF0207 NETWORK#: 100000429312 ACTIVITY#: 0020 SUBTASK 22.214.171.124 600015 1300169658 LLA : AR AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0119 8025 0LAI Standard Number: M6785410MPF0208 PR#: 1300169658 DOCUMENT#: M6785410MPF0208 NETWORK#: 100000429316 ACTIVITY#: 0020 SUBTASK 126.96.36.199 600016 1300169658 LLA : AS AA 17 0 1109 6520 310 67854 067443 2D 6520C5 0RC06963502A Standard Number: M6785410RC06963 PR#: 1300169658 DOCUMENT#: M6785410RC06963 NETWORK#: 100000421780 ACTIVITY#: 0010 SUBTASK 188.8.131.52 COST CODE:0RC06963502A 600023 1300175398 LLA : AZ AA 57 9 3080 MRAP 250 67854 067443 2D 822230 9RC0050150M2 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE: 9RC0050150M2 SUBTASK: 8.1.6 600031 1300177894 LLA : BH AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAGS050CH Standard Number: M6785410RCAAGS0 PR#: 1300177894 DOCUMENT#:M6785410RCAAGS0 NETWORK#:100000437764 ACTIVITY#:0050 COST CODE:0RCAAGS050CH SUBTASK: 184.108.40.206 600032 1300177894 LLA : BJ AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 220.127.116.11 600033 1300177894 LLA : BK AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 18.104.22.168 600034 1300177894 LLA : BL AA 17 0 1106 27A0 252 67854 067443 2D 1A2A 0RCOMN2250CH Standard Number: M6785410RCOMN22 PR#: 1300177894 DOCUMENT#: M6785410RCOMN22 NETWORK#: 100000437764 ACTIVITY#: 0030 COST CODE:0RCOMN2250CH SUBTASK: 22.214.171.124 600035 1300177894 LLA : BM AA 57 0 3400 MRAP 252 67854 067443 2D 1AK1 0RCOMF3050LD Standard Number: M6785410RCOMF30 PR#: 1300177894 DOCUMENT#: M6785410RCOMF30 NETWORK#: 100000437764 ACTIVITY#: 0010 COST CODE:0RCOMF3050LD SUBTASK: 126.96.36.199 600037 1300194538 LLA : BQ 1701109 6520 250 67854 067443 2D 6520C5 1RC06M16502A Standard Number: M6785411RC06M16 ACRN BQ: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC06M16 COST CODE: 1RC06M16502A NWA: 100000473166 0010 600039 1300194538 LLA : BS 2102035 MRAP 250 6785 4 06744 3 2D 203 5MR 1RC00268 502C 067443 Standard Number: M6785411RC00268 ACRN BS: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 100000473165 0010 610001 1300196909 LLA : BT AA 2102035 MRAP 252 67854 067443 2D 2035MR 1RC00290502C Standard Number: M6785411RC00290 ACRN BT: ODC FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA: 100000474313 0010 610003 1300201322 LLA : BV 2192035 1C1 C0902 0 1132I1 C1 C09 020113 Standard Number: MIPR9CDAV9M005 ACRN BV: Labor for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 100000389266 0009 MOD 22 Funding Cumulative Funding MOD 23 400012 1300169658 LLA : AM AA 17 0 1109 4633 310 67854 067443 2D 4633BS 0RC04997125V Standard Number: M6785410RC04997 PR#: 1300169658 DOCUMENT#: M6785410RC04997 NETWORK#: 100000410047 ACTIVITY#: 0050 SUBTASK 8.1.3 COST CODE: 0RC04997125V CONTRACT NO. N00178-04-D-4119 DELIVERY ORDER NO. V708 AMENDMENT/MODIFICATION NO. 33 PAGE 105 of 131 FINAL 400022 1300172224 LLA : AX AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00702502C Standard Number: M6785410RC00702 PR#: 1300172224 DOCUMENT#: M6785410RC00702 NETWORK#: 100000407289 ACTIVITY#: 0040 COST CODE: 0RC00702502C SUBTASK 8.1.6 400028 1300175398 LLA : BD AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#:M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400040 1300194538 BR 1711106 1A2A 252 67854 067443 2D M67854 Standard Number: M6785411RCAA468 ACRN BR: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 100000468317 0010 600011 1300169658 LLA : AM AA 17 0 1109 4633 310 67854 067443 2D 4633BS 0RC04997125V Standard Number: M6785410RC04997 PR#: 1300169658 DOCUMENT#: M6785410RC04997 NETWORK#: 100000410047 ACTIVITY#: 0050 COST CODE: 0RC04997125V SUBTASK 8.1.3 600014 1300169658 LLA : AQ AB 97-11X8242 28X6 000 74 X62 0 065916 2D PE7044 0118 8012 0LAK Standard Number: M6785410MPF0207 PR#: 1300169658 DOCUMENT#: M6785410MPF0207 NETWORK#: 100000429312 ACTIVITY#: 0020 SUBTASK 188.8.131.52 600015 1300169658 Standard Number: M6785410MPF0208 PR#: 1300169658 DOCUMENT#: M6785410MPF0208 NETWORK#: 100000429316 ACTIVITY#: 0020 SUBTASK 184.108.40.206 600021 1300172224 LLA : AX AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00702502C Standard Number: M6785410RC00702 PR#: 1300172224 DOCUMENT#: M6785410RC00702 NETWORK#: 100000407289 ACTIVITY#: 0040 COST CODE: 0RC00702502C PE7044 0119 8025 0LAI SUBTASK 8.1.6 600038 1300194538 LLA : BR 1711106 1A2A 252 67854 067443 2D M67854 1RCAA46850LS Standard Number: M6785411RCAA468 ACRN BR: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 100000468317 0010 MOD 23 Funding- MOD 24 Funding Cumulative Funding MOD 25 Funding Cumulative Funding MOD 26 410014 1300224702 LLA : CG 2112035 MRAP 252 6785 4 06744 3 2D 203 5MR 1RC00574 502C 067443 Standard Number: M6785411RC00574 ACRN CG: Labor for PWS PR: 1300224702 DOC: M6785411RC00574 NWA: 100000490976 0040 610014 1300224702 LLA : CG 2112035 MRAP 252 6785 4 06744 3 2D 203 5MR 1RC00574 502C 067443 Standard Number: M6785411RC00574 ACRN CG: ODC for PWS PR: 1300224702 DOC: M6785411RC00574 NWA: 100000490976 0040 MOD 26 Funding Cumulative Funding MOD 27 410015 1300227709 LLA : CH 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00702 502C 067443 Standard Number: M6785410RC00702 ACRN CH: Labor for PWS PR: 1300227709 DOC: M6785410RC00702 COST CODE: 502C 067443 NWA: 100000407289 0040 610015 1300227709 LLA : CH 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00702 502C 067443 Standard Number: M6785410RC00702 ACRN CH: Labor for PWS PR: 1300227709 DOC: M6785410RC00702 COST CODE: 502C 067443 NWA: 100000407289 0040 MOD 27 Funding MOD 28 400027 1300175398 LLA : BC AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#: 100000416221 ACTIVITY#: 0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400029 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400038 1300190129 LLA : BP AA 1701109 5088 252 67854 067443 2D 5088BS 0RC05G20174Q Standard Number: M6785410RC05G20 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 100000407523 0100 Subtask# 8.1.4 600026 1300175398 LLA : BC AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#: 100000416221 ACTIVITY#: 0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600028 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600036 1300190129 LLA : BP AA 1701109 5088 252 67854 067443 2D 5088BS 0RC05G20174Q Standard Number: M6785410RC05G20 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 100000407523 0100 Subtask# 8.1.4 MOD 28 Funding Cumulative Funding MOD 29 Funding Cumulative Funding MOD 30 410004 1300201322 LLA : BW 1791109 5088 253 67854 067443 2D 5088S9 0RC95G86177T Standard Number: M6785410RC95G86 ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 100000407523 0110 410010 1300209797 LLA : CC 5713080 MRAP 252 6785 4 06744 3 2D 822 230 1RC00472 501J Standard Number: M6785411RC00472 ACRN CC: Labor for Subtak 8.1.6 PR: 1300209797 DOC: M6785411RC00472 COST CODE: 1RC00472501J NWA: 100000490310 0010 410011 1300209797 LLA : CD AA 1711804 KC6C 252 FA678 U 068342 2D 01C6C0 91U822521U82 Standard Number: N0002511RC2094R ACRN CD: Labor for Subtask 8.1.4 PR: 1300209797 DOC: N0002511RC2094R COST CODE: 91U822521U82 NWA: 100000490714 0010 410013 1300217576 LLA : CF 1701109 5093 251 67854 067443 2D 509305 1RC05R8017ZF Standard Number: M6785411RC05R80 ACRN CF: Labor for PWS Subtask 8.1.3 PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA: 100000495987 0010 410016 1300237770 LLA : CJ 2102035 MRAP 252 6785 4 06744 3 2D 203 5MR 2RC00023 502C 067443 Standard Number: M6785412RC00023 ACRN CJ: Labor for PWS PR: 1300237770 DOC: M6785412RC00023 NWA: 100000490976 0040 610004 1300201322 LLA : BW 1791109 5088 253 67854 067443 2D 5088S9 0RC95G86177T Standard Number: M6785410RC95G86 ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 100000407523 0110 610010 1300209797 LLA : CC AA 57 1 3080 MRAP 252 67443 2D 822230 1RC00472501J Standard Number: M6785411RC00472 ACRN CC: ODC for Subtak 8.1.6 PR: 1300209797 DOC: M6785411RC00472 COST CODE: 1RC00472501J NWA: 100000490310 0010 610011 1300209797 LLA : CD AA 1711804 KC6C 252 FA678 U 068342 2D 01C6C0 91U822521U82 Standard Number: N0002511RC2094R ACRN CD: Labor for Subtask 8.1.4 PR: 1300209797 DOC: N0002511RC2094R COST CODE: 91U822521U82 NWA: 100000490714 0010 610013 1300217576 LLA : CF 1701109 5093 251 67854 067443 2D 509305 1RC05R8017ZF Standard Number: M6785411RC05R80 ACRN CF: ODC for PWS Subtask 8.1.3 PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA: 100000495987 0010 610016 1300237770 LLA : CJ 2102035 MRAP 252 6785 4 06744 3 2D 203 5MR 2RC00023 502C 067443 Standard Number: M6785412RC00023 ACRN CJ: ODC for PWS PR: 1300237770 DOC: M6785412RC00023 NWA: 100000490976 0040 MOD 30 Funding Cumulative Funding MOD 31 Funding Cumulative Funding 400003 1300163522 LLA : AC 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00468 502C 067443 NETWORK: 100000407018 ACTIVITY: 0040 PR: 1300163522 DOC #: M6785410RC00468 COST CODE: 0RC00468502C 400004 1300163522 LLA : AD 5783080 178 47E0 82223L 0 10900 00000 000000 503000 F03000 503000 DOC #: F3QCDA0090G001 PR#: 1300163522 NETWORK: 100000407784 ACTIVITY: 0030 400008 1300169658 LLA : AH 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR8DDAVMRA98 PR#: 1300169658 DOCUMENT#:MIPR8DDAVMRA98 NETWORK#: 100000389320 ACTIVITY#: 0005 SUBTASK 220.127.116.11 400011 1300169658 LLA : AL AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR RC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 SUBTASK 18.104.22.168 COST CODE: 0RC00485502C 400013 1300169658 LLA : AN AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR ORC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 SUBTASK 22.214.171.124 COST CODE: ORC00485502C 400014 1300169658 LLA : AP AA 17 9 1109 5088 252 67854 2D 508803 0RC95B54174H Standard Number: M6785410RC95B54 PR#: 1300169658 DOCUMENT#: M6785410RC95B54 NETWORK#: 100000407523 ACTIVITY#: 0030 SUBTASK 8.1.4 COST CODE:0RC95B54174H 400017 1300169658 LLA : AS AA 17 0 1109 6520 310 67854 067443 2D 6520C5 0RC06963502A Standard Number: M6785410RC06963 PR#: 1300169658 DOCUMENT#: M6785410RC06963 NETWORK#: 100000421780 ACTIVITY#: 0010 COST CODE:0RC06963502A SUBTASK 126.96.36.199 400018 1300169658 LLA : AT AA 21 0 2035 MRAP 250 67854 067433 2D 2035MR 0RC00469502C Standard Number: M6785410RC00469 PR#: 1300169658 DOCUMENT#: M6785410RC00469 NETWORK#: 100000407772 ACTIVITY#: 0040 COST CODE:0RC00469502C SUBTASK 188.8.131.52 400019 1300169658 LLA : AU AA 21 9 2035 MRAP 250 67854 067443 2D 2035MR 9RC005005080 Standard Number: M9545009RC00500 PR#: 1300169658 DOCUMENT#: M9545009RC00500 NETWORK#: 100000389257 ACTIVITY#: 0001 SUBTASK 184.108.40.206 400020 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 220.127.116.11 COST CODE:0RC00468502C 400021 1300169658 LLA : AW AA 5783080 178 47E8 82223L 010900 00000 00000 503000 DODAAC F03000 Standard Number: F3QCDA009G001 PR#: 1300169658 DOCUMENT#: F3QCDA009G001 NETWORK#: 100000407784 ACTIVITY#: 0030 SUBTASK 18.104.22.168 DODAAC F03000 400022 1300172224 LLA : AX AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00702502C Standard Number: M6785410RC00702 PR#: 1300172224 DOCUMENT#: M6785410RC00702 NETWORK#: 100000407289 ACTIVITY#: 0040 COST CODE: 0RC00702502C SUBTASK 8.1.6 400023 1300172224 LLA : AY AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR 9RC0006515US Standard Number: M9545009RC00065 PR#: 1300172224 DOCUMENT#:M9545009RC00065 NETWORK#: 100000389111 ACTIVITY#: 0001 COST CODE:9RC0006515US SUBTASK 8.1.6 400024 1300175398 LLA : AZ AA 57 9 3080 MRAP 250 67854 067443 2D 822230 9RC0050150M2 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE:9RC0050150M2 SUBTASK: 8.1.6 400025 1300175398 LLA : BA 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 PR# 1300175398 DOCUMENT#: MIPR0KDAVIBC06 NETWORK#: 100000434573 ACTIVITY#: 0010 SUBTASK: 8.1.6 400026 1300175398 LLA : BB AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAEV150CH Standard Number: M6785410RCAAEV1 PR#: 1300175398 DOCUMENT#:M6785410RCAAEV1 NETWORK#:100000418088 ACTIVITY#:0050 COST CODE:0RCAAEV150CH SUBTASK: 8.1.6 400027 1300175398 LLA : BC AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#: 100000416221 ACTIVITY#: 0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400028 1300175398 LLA : BD AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#: 1300175398 DOCUMENT#:M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400029 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 400030 1300175398 LLA : BF AA 17 8 1109 5050 252 67854 067443 2D 5050BX 0RC85J7117WN Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC85J71 NETWORK#:100000407523 ACTIVITY#:0080 COST CODE:0RC85J7117WN SUBTASK: 8.1.4 400031 1300177894 LLA : BG AA 1701804 KC6C 311 62583 068688 2D XSS803 625830WRTCHW Standard Number: N6258310WXSS803 PR#: 1300177894 DOCUMENT#: N6258310WXSS803 NETWORK#:100000414331 ACTIVITY#: 0020 COST CODE: 625830WRTCHW SUBTASK: 8.1.4 400032 1300177894 LLA : BH AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAGS050CH Standard Number: M6785410RCAAGS0 PR#: 1300177894 DOCUMENT#:M6785410RCAAGS0 NETWORK#:100000437764 ACTIVITY#:0050 COST CODE:0RCAAGS050CH SUBTASK: 22.214.171.124 400033 1300177894 LLA : BJ AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 126.96.36.199 400034 1300177894 LLA : BK AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 188.8.131.52 400035 1300177894 LLA : BL AA 17 0 1106 27A0 252 67854 067443 2D 1A2A 0RCOMN2250CH Standard Number: M6785410RCOMN22 PR#: 1300177894 DOCUMENT#: M6785410RCOMN22 NETWORK#: 100000437764 ACTIVITY#: 0030 COST CODE:0RCOMN2250CH SUBTASK: 184.108.40.206 400036 1300177894 LLA : BM AA 57 0 3400 MRAP 252 67854 067443 2D 1AK1 0RCOMF3050LD Standard Number: M6785410RCOMF30 PR#: 1300177894 DOCUMENT#: M6785410RCOMF30 NETWORK#: 100000437764 ACTIVITY#: 0010 COST CODE:0RCOMF3050LD SUBTASK: 220.127.116.11 400037 1300190129 LLA : BN AA 2102035 MRAP 250 67854 067443 2D 2035MR 0RC00485502C Standard Number: M6785410RC00485 PR# 1300190129 Doc# M6785410RC00485 Cost Code# 0RC00485502C NWA# 100000422658 0010 Subtask# 8.1.6 400038 1300190129 LLA : BP AA 1701109 5088 252 67854 067443 2D 5088BS 0RC05G20174Q Standard Number: M6785410RC05G20 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 100000407523 0100 Subtask# 8.1.4 400040 1300194538 LLA : BR 1711106 1A2A 252 67854 067443 2D M67854 Standard Number: M6785411RCAA468 ACRN BR: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 100000468317 0010 400041 1300194538 LLA : BS 2102035 MRAP 250 6785 4 06744 3 2D 203 5MR 1RC00268 502C 067443 Standard Number: M6785411RC00268 ACRN BS: LABOR FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 100000473165 0010 410001 1300196909 LLA : BT AA 2102035 MRAP 252 67854 067443 2D 2035MR 1RC00290502C Standard Number: M6785411RC00290 ACRN BT: LABOR FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA: 100000474313 0010 410003 1300201322 LLA : BV 2192035 1C1 C0902 0 1132I1 C1 C09 020113 Standard Number: MIPR9CDAV9M005 ACRN BV: Labor for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 100000389266 0009 410004 1300201322 LLA : BW 1791109 5088 253 67854 067443 2D 5088S9 0RC95G86177T Standard Number: M6785410RC95G86 ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 100000407523 0110 410005 1300204682 LLA : BX 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 ACRN BX: Labor for Subtask 8.1.6 PR: 1300204682 DOC: MIPR0KDAVIBC06 NWA: 100000434573 0010 PROJECT ID: DR-008218 410008 1300204682 LLA : CA AA 17 0 1109 4631 310 67854 067443 2D 463109 0RC0459111X7 Standard Number: M6785410RC04591 ACRN CA: Labor for Subtask 8.1.2 PR: 1300204682 DOC: M6785410RC04591 NWA: 100000416616 0050 PROJECT ID: DR-018286 410009 1300209797 LLA : CB AA 57 1 3400 MRAP 252 67854 0677443 2D 1AK1 1RCOMFBB50LD Standard Number: M6785411RCOMFBB ACRN CB: Labor for Subtask 8.1.6 PR: 1300209797 DOC: M6785411RCOMFBB COST CODE: 1RCOMFBB50LD NWA: 100000489344 0010 410013 1300217576 LLA : CF 1701109 5093 251 67854 067443 2D 509305 1RC05R8017ZF Standard Number: M6785411RC05R80 ACRN CF: Labor for PWS Subtask 8.1.3 PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA: 100000495987 0010 410014 1300224702 LLA : CG 2112035 MRAP 252 6785 4 06744 3 2D 203 5MR 1RC00574 502C 067443 Standard Number: M6785411RC00574 ACRN CG: Labor for PWS PR: 1300224702 DOC: M6785411RC00574 NWA: 100000490976 0040 410015 1300227709 LLA : CH 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00702 502C 067443 Standard Number: M6785410RC00702 ACRN CH: Labor for PWS PR: 1300227709 DOC: M6785410RC00702 COST CODE: 502C 067443 NWA: 100000407289 0040 410016 1300237770 LLA : CJ 2102035 MRAP 252 6785 4 06744 3 2D 203 5MR 2RC00023 502C 067443 Standard Number: M6785412RC00023 ACRN CJ: Labor for PWS PR: 1300237770 DOC: M6785412RC00023 NWA: 100000490976 0040 600001 1300163522 LLA : AB 1701109 6520 310 67854 067443 2D 6520C5 Cost Code: 0RC06963502A PR#: 1300163522 DOC#: M6785410RC06963 NETWORK: 100000421780 ACTIVITY: 0010 600002 1300163522 LLA : AC 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00468 502C 067443 NETWORK: 100000407018 ACTIVITY: 0040 PR: 1300163522 DOC #: M6785410RC00468 COST CODE: 0RC00468502C 600003 1300163522 LLA : AD 5783080 178 47E0 82223L 0 10900 00000 000000 503000 F03000 503000 DOC #: F3QCDA0090G001 PR#: 1300163522 NETWORK: 100000407784 ACTIVITY: 0030 600006 1300169658 LLA : AG 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR9BDAVMR144 PR#: 1300169658 DOCUMENT#: MIPR9BDAVMR144 NETWORK#: 100000389296 ACTIVITY#: 0013 SUBTASK 18.104.22.168 600007 1300169658 LLA : AH 21 8 2035 0000 5R 5R32 51108363193 S20113 Standard Number: MIPR8DDAVMRA98 PR#: 1300169658 DOCUMENT#:MIPR8DDAVMRA98 NETWORK#: 100000389320 ACTIVITY#: 0005 SUBTASK 22.214.171.124 600009 1300169658 LLA : AK AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR RC0030815US Standard Number: M9545009RC00308 PR#: 1300169658 DOCUMENT#: M9545009RC00308 NETWORK#: 100000388893 ACTIVITY#: 0001 SUBTASK 126.96.36.199 COST CODE: 9RC0030815US 600010 1300169658 LLA : AL AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR RC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 COST CODE: 0RC00485502C SUBTASK 188.8.131.52 600012 1300169658 LLA : AN AA 21 0 2035 MRAP 250 67854 067443 2D 2035MR ORC00485502C Standard Number: M6785410RC00485 PR#: 1300169658 DOCUMENT#: M6785410RC00485 NETWORK#: 100000422658 ACTIVITY#: 0010 COST CODE:ORC00485502C SUBTASK 184.108.40.206 600016 1300169658 LLA : AS AA 17 0 1109 6520 310 67854 067443 2D 6520C5 0RC06963502A Standard Number: M6785410RC06963 PR#: 1300169658 DOCUMENT#: M6785410RC06963 NETWORK#: 100000421780 ACTIVITY#: 0010 SUBTASK 220.127.116.11 COST CODE:0RC06963502A 600017 1300169658 LLA : AT AA 21 0 2035 MRAP 250 67854 067433 2D 2035MR 0RC00469502C Standard Number: M6785410RC00469 PR#: 1300169658 DOCUMENT#: M6785410RC00469 NETWORK#: 100000407772 ACTIVITY#: 0040 SUBTASK 18.104.22.168 COST CODE:0RC00469502C 600018 1300169658 LLA : AU AA 21 9 2035 MRAP 250 67854 067443 2D 2035MR 9RC005005080 Standard Number: M9545009RC00500 PR#: 1300169658 DOCUMENT#: M9545009RC00500 NETWORK#: 100000389257 ACTIVITY#: 0001 SUBTASK 22.214.171.124 600019 1300169658 LLA : AV AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00468502C Standard Number: M6785410RC00468 PR#: 1300169658 DOCUMENT#: M6785410RC00468 NETWORK#: 100000407018 ACTIVITY#: 0040 SUBTASK 126.96.36.199 COST CODE:0RC00468502C 600020 1300169658 LLA : AW AA 5783080 178 47E8 82223L 010900 00000 00000 503000 DODAAC F03000 Standard Number: F3QCDA009G001 PR#: 1300169658 DOCUMENT#: F3QCDA009G001 NETWORK#: 100000407784 ACTIVITY#: 0030 SUBTASK 188.8.131.52 DODAAC F03000 600021 1300172224 LLA : AX AA 21 0 2035 MRAP 310 67854 067443 2D 2035MR 0RC00702502C Standard Number: M6785410RC00702 PR#: 1300172224 DOCUMENT#: M6785410RC00702 NETWORK#: 100000407289 ACTIVITY#: 0040 COST CODE: 0RC00702502C SUBTASK 8.1.6 600022 1300172224 LLA : AY AA 21 8 2035 MRAP 250 67854 067443 2D 2035MR 9RC0006515US Standard Number: M9545009RC00065 PR#: 1300172224 DOCUMENT#:M9545009RC00065 NETWORK#: 100000389111 ACTIVITY#: 0001 COST CODE:9RC0006515US SUBTASK 8.1.6 600023 1300175398 LLA : AZ AA 57 9 3080 MRAP 250 67854 067443 2D 822230 9RC0050150M2 Standard Number: M9545009RC00501 PR#: 1300175398 DOCUMENT# M9545009RC00501 NETWORK#: 100000389255 ACTIVITY#: 0001 COST CODE: 9RC0050150M2 SUBTASK: 8.1.6 600024 1300175398 LLA : BA 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 PR# 1300175398 DOCUMENT#: MIPR0KDAVIBC06 NETWORK#: 100000434573 ACTIVITY#: 0010 SUBTASK: 8.1.6 600027 1300175398 LLA : BD AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600028 1300175398 LLA : BE AA 17 0 1109 6520 250 67854 067443 2D 6520C5 0RC06F58502A Standard Number: M6785410RC06F58 PR#:1300175398 DOCUMENT#: M6785410RC06F58 NETWORK#:100000416221 ACTIVITY#:0020 COST CODE:0RC06F58502A SUBTASK: 8.1.6 600031 1300177894 LLA : BH AA 17 0 1106 27A0 252 67854 067443 2D M67854 0RCAAGS050CH Standard Number: M6785410RCAAGS0 PR#: 1300177894 DOCUMENT#:M6785410RCAAGS0 NETWORK#:100000437764 ACTIVITY#:0050 COST CODE:0RCAAGS050CH SUBTASK: 184.108.40.206 600032 1300177894 LLA : BJ AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 220.127.116.11 600033 1300177894 LLA : BK AA 21 0 2020 27A0 252 67854 067443 2D 135198 0RCOMAS950TA Standard Number: M6785410RCOMAS9 PR#: 1300177894 DOCUMENT#: M6785410RCOMAS9 NETWORK#: 100000437764 ACTIVITY#: 0040 COST CODE:0RCOMAS950TA SUBTASK: 18.104.22.168 600034 1300177894 LLA : BL AA 17 0 1106 27A0 252 67854 067443 2D 1A2A 0RCOMN2250CH Standard Number: M6785410RCOMN22 PR#: 1300177894 DOCUMENT#: M6785410RCOMN22 NETWORK#: 100000437764 ACTIVITY#: 0030 COST CODE:0RCOMN2250CH SUBTASK: 22.214.171.124 600035 1300177894 LLA : BM AA 57 0 3400 MRAP 252 67854 067443 2D 1AK1 0RCOMF3050LD Standard Number: M6785410RCOMF30 PR#: 1300177894 DOCUMENT#: M6785410RCOMF30 NETWORK#: 100000437764 ACTIVITY#: 0010 COST CODE:0RCOMF3050LD SUBTASK: 126.96.36.199 600036 1300190129 LLA : BP AA 1701109 5088 252 67854 067443 2D 5088BS 0RC05G20174Q Standard Number: M6785410RC05G20 PR# 1300190129 Doc # M6785410RC05G20 Cost Code# 0RC05G20174Q NWA# 100000407523 0100 Subtask# 8.1.4 600037 1300194538 LLA : BQ 1701109 6520 250 67854 067443 2D 6520C5 1RC06M16502A Standard Number: M6785411RC06M16 ACRN BQ: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC06M16 COST CODE: 1RC06M16502A NWA: 100000473166 0010 600038 1300194538 LLA : BR 1711106 1A2A 252 67854 067443 2D M67854 1RCAA46850LS Standard Number: M6785411RCAA468 ACRN BR: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RCAA468 COST CODE: 1RCAA46850LS NWA: 100000468317 0010 600039 1300194538 LLA : BS 2102035 MRAP 250 6785 4 06744 3 2D 203 5MR 1RC00268 502C 067443 Standard Number: M6785411RC00268 ACRN BS: ODC FOR PWS 8.1.6 PR: 1300194538 DOC: M6785411RC00268 COST CODE: 1RC00268502C NWA: 100000473165 0010 610001 1300196909 LLA : BT AA 2102035 MRAP 252 67854 067443 2D 2035MR 1RC00290502C Standard Number: M6785411RC00290 ACRN BT: ODC FOR SUBTASK 8.1.6 PR:1300196909 DOC:M6785411RC00290 COST CODE: 1RC00290502C NWA: 100000474313 0010 610002 1300196909 LLA : BU 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 ACRN BU: ODC FOR SUBTASK 8.1.6 PR:1300196909 DOC: MIPR0KDAVIBC06 NWA: 100000434573 0010 610003 1300201322 LLA : BV 2192035 1C1 C0902 0 1132I1 C1 C09 020113 Standard Number: MIPR9CDAV9M005 ACRN BV: Labor for Subtask 8.1.7 PR: 1300201322 DOC: MIPR9CDAV9M005 NWA: 100000389266 0009 610004 1300201322 LLA : BW 1791109 5088 253 67854 067443 2D 5088S9 0RC95G86177T Standard Number: M6785410RC95G86 ACRN BW: Labor for Subtask 8.1.4 PR: 1300201322 COST CODE: 0RC95G86177T DOC: M6785410RC95G86 NWA: 100000407523 0110 610005 1300204682 LLA : BX 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR0KDAVIBC06 ACRN BX: Labor for Subtask 8.1.6 PR: 1300204682 DOC: MIPR0KDAVIBC06 NWA: 100000434573 0010 PROJECT ID: DR-008218 610008 1300204682 LLA : CA AA 17 0 1109 4631 310 67854 067443 2D 463109 0RC0459111X7 Standard Number: M6785410RC04591 ACRN CA: Labor for Subtask 8.1.2 PR: 1300204682 DOC: M6785410RC04591 NWA: 100000416616 0050 PROJECT ID: DR-018286 610009 1300209797 LLA : CB AA 57 1 3400 MRAP 252 67854 0677443 2D 1AK1 1RCOMFBB50LD Standard Number: M6785411RCOMFBB ACRN CB: ODC for Subtask 8.1.6 PR: 1300209797 DOC: M6785411RCOMFBB COST CODE: 1RCOMFBB50LD NWA: 100000489344 0010 610010 1300209797 LLA : CC AA 57 1 3080 MRAP 252 67443 2D 822230 1RC00472501J Standard Number: M6785411RC00472 ACRN CC: ODC for Subtak 8.1.6 PR: 1300209797 DOC: M6785411RC00472 COST CODE: 1RC00472501J NWA: 100000490310 0010 610011 1300209797 LLA : CD AA 1711804 KC6C 252 FA678 U 068342 2D 01C6C0 91U822521U82 Standard Number: N0002511RC2094R ACRN CD: Labor for Subtask 8.1.4 PR: 1300209797 DOC: N0002511RC2094R COST CODE: 91U822521U82 NWA: 100000490714 0010 610012 1300210869 LLA : CE 21 0 2033 0000 5R 5R31 31107310007 S20113 Standard Number: MIPR1JDAVIBC20 ACRN AE: Labor for PWS PR: 1300210869 DOC: MIPR1JDAVIBC20 COST CODE: S20113 NWA: 100000491369 0010 610013 1300217576 LLA : CF 1701109 5093 251 67854 067443 2D 509305 1RC05R8017ZF Standard Number: M6785411RC05R80 ACRN CF: ODC for PWS Subtask 8.1.3 PR: 1300217576 DOC: M6785411RC05R80 COST CODE: 1RC05R8017ZF NWA: 100000495987 0010 610014 1300224702 LLA : CG 2112035 MRAP 252 6785 4 06744 3 2D 203 5MR 1RC00574 502C 067443 Standard Number: M6785411RC00574 ACRN CG: ODC for PWS PR: 1300224702 DOC: M6785411RC00574 NWA: 100000490976 0040 610015 1300227709 LLA : CH 2102035 MRAP 310 6785 4 06744 3 2D 203 5MR 0RC00702 502C 067443 Standard Number: M6785410RC00702 ACRN CH: Labor for PWS PR: 1300227709 DOC: M6785410RC00702 COST CODE: 502C 067443 NWA: 100000407289 0040 610016 1300237770 LLA : CJ 2102035 MRAP 252 6785 4 06744 3 2D 203 5MR 2RC00023 502C 067443 Standard Number: M6785412RC00023 ACRN CJ: ODC for PWS PR: 1300237770 DOC: M6785412RC00023 NWA: 100000490976 0040 SECTION H SPECIAL CONTRACT REQUIREMENTS 5252.232-9206 SEGREGATION OF COSTS (DEC 2003) (a) The Contractor agrees to segregate costs incurred under this task order at the lowest level of performance, either task or subtask, rather than on a total task order basis, and to submit invoices reflecting costs incurred at that level. Invoices shall contain summaries of work charged during the period covered, as well as overall cumulative summaries by labor category for all work invoiced to date (if applicable), by line item, task or subtask. (b) Where multiple lines of accounting are present, the ACRN preceding the accounting citation will be found in Section B and/or Section G. Payment of Contractor invoices shall be accomplished only by charging the ACRN that corresponds to the work invoiced. (c) Except when payment requests are submitted electronically as specified in the clause at DFARS 252.232-7003, Electronic Submission of Payment Requests, one copy of each invoice or voucher will be provided, at the time of submission to DCAA, to the Task Order Manager. H-345 WAGE DETERMINATION APPLICABLE, SERVICE CONTRACT ACT (JUL 1989) Attachment 8 Wage Determination, No.05-2473 (Rev.- 10), dated 07/21/2009 incorporated herein sets forth the applicable Service Contract Act Wage Determination by the Secretary of Labor. H-350 REIMBURSEMENT OF TRAVEL COSTS (NOV 2005) (a) Contractor Request and Government Approval of Travel Any travel under this contract must be specifically requested in writing, by the contractor prior to incurring any travel costs. If this contract is a definite or indefinite delivery contract, then the written Government authorization will be by task/delivery orders issued by the Ordering Officer or by a modification to an issued task/delivery order. If this contract is not a definite or indefinite delivery contract, then the written Government authorization will be by written notice of approval from the Contracting Officer's Representative (COR). The request shall include as a minimum, the following: (1) Contract number (2) Date, time, and place of proposed travel (3) Purpose of travel and how it relates to the contract (4) Contractor's estimated cost of travel (5) Name(s) of individual(s) traveling and; (6) A breakdown of estimated travel and per diem charges. (b) General (1) The costs for travel, subsistence, and lodging shall be reimbursed to the contractor only to the extent that it is necessary and authorized for performance of the work under this contract. The costs for travel, subsistence, and lodging shall be reimbursed to the contractor in accordance with the Federal Acquisition Regulation (FAR) 31.205-46, which is incorporated by reference into this contract. As specified in FAR 31.205-46(a) (2), reimbursement for the costs incurred for lodging, meals and incidental expenses (as defined in the travel regulations cited subparagraphs (b)(1)(i) through (b)(1)(iii) below) shall be considered to be reasonable and allowable only to the extent that they do not exceed on a daily basis the maximum per diem rates in effect at the time of travel as set forth in the following: (i) Federal Travel Regulation prescribed by the General Services Administration for travel in the contiguous 48 United States; (ii) Joint Travel Regulation, Volume 2, DoD Civilian Personnel, Appendix A, prescribed by the Department of Defense for travel in Alaska, Hawaii, The Commonwealth of Puerto Rico, and the territories and possessions of the United States; or (iii) Standardized Regulations, (Government Civilians, Foreign Areas), Section 925, "Maximum Travel Per Diem Allowances in Foreign Areas" prescribed by the Department of State, for travel in areas not covered in the travel regulations cited in subparagraphs (b)(1)(i) and (b)(1)(ii) above. (2) Personnel in travel status from and to the contractor's place of business and designated work site or vice versa, shall be considered to be performing work under the contract, and contractor shall bill such travel time at the straight (regular) time rate; however, such billing shall not exceed eight hours per person for any one person while in travel status during one calendar day. (c) Per Diem (1) The contractor shall not be paid per diem for contractor personnel who reside in the metropolitan area in which the tasks are being performed. Per diem shall not be paid on services performed at contractor's home facility and at any facility required by the contract, or at any location within a radius of 50 miles from the contractor's home facility and any facility required by this contract. (2) Costs for subsistence and lodging shall be paid to the contractor only to the extent that overnight stay is necessary and authorized in writing by the Government for performance of the work under this contract per paragraph (a). When authorized, per diem shall be paid by the contractor to its employees at a rate not to exceed the rate specified in the travel regulations cited in FAR 31.205-46(a)(2) and authorized in writing by the Government. The authorized per diem rate shall be the same as the prevailing locality per diem rate. (3) Reimbursement to the contractor for per diem shall be limited to payments to employees not to exceed the authorized per diem and as authorized in writing by the Government per paragraph (a). Fractional parts of a day shall be payable on a prorated basis for purposes of billing for per diem charges attributed to subsistence on days of travel. The departure day from the Permanent Duty Station (PDS) and return day to the PDS shall be 75% of the applicable per diem rate. The contractor shall retain supporting documentation for per diem paid to employees as evidence of actual payments, as required by the FAR 52.216-7 "Allowable Cost and Payment" clause of the contract. (d) Transportation (1) The contractor shall be paid on the basis of actual amounts paid to the extent that such transportation is necessary for the performance of work under the contract and is authorized in writing by the Government per paragraph (a). (2) The contractor agrees, in the performance of necessary travel, to use the lowest cost mode commensurate with the requirements of the mission and in accordance with good traffic management principles. When it is necessary to use air or rail travel, the contractor agrees to use coach, tourist class or similar accommodations to the extent consistent with the successful and economical accomplishment of the mission for which the travel is being performed. Documentation must be provided to substantiate non-availability of coach or tourist if business or first class is proposed to accomplish travel requirements. (3) When transportation by privately owned conveyance (POC) is authorized, the contractor shall be paid on a mileage basis not to exceed the applicable Government transportation rate specified in the travel regulations cited in FAR 31.205-46(a)(2) and is authorized in writing by the Government per paragraph (a). (4) When transportation by privately owned (motor) vehicle (POV) is authorized, required travel of contractor personnel, that is not commuting travel, may be paid to the extent that it exceeds the normal commuting mileage of such employee. When an employee's POV is used for travel between an employee's residence or the Permanent Duty Station and one or more alternate work sites within the local area, the employee shall be paid mileage for the distance that exceeds the employee's commuting distance. (5) When transportation by a rental automobile, other special conveyance or public conveyance is authorized, the contractor shall be paid the rental and/or hiring charge and operating expenses incurred on official business (if not included in the rental or hiring charge). When the operating expenses are included in the rental or hiring charge, there should be a record of those expenses available to submit with the receipt. Examples of such operating expenses include: hiring charge (bus, streetcar or subway fares), gasoline and oil, parking, and tunnel tolls. (6) Definitions: (i) "Permanent Duty Station" (PDS) is the location of the employee's permanent work assignment (i.e., the building or other place where the employee regularly reports for work. (ii) "Privately Owned Conveyance" (POC) is any transportation mode used for the movement of persons from place to place, other than a Government conveyance or common carrier, including a conveyance loaned for a charge to, or rented at personal expense by, an employee for transportation while on travel when such rental conveyance has not been authorized/approved as a Special Conveyance. (iii) "Privately Owned (Motor) Vehicle (POV)" is any motor vehicle (including an automobile, light truck, van or pickup truck) owned by, or on a long-term lease (12 or more months) to, an employee or that employee's dependent for the primary purpose of providing personal transportation, that: (a) is self-propelled and licensed to travel on the public highways; (b) is designed to carry passengers or goods; and (c) has four or more wheels or is a motorcycle or moped. (iv) "Special Conveyance" is commercially rented or hired vehicles other than a POC and other than those owned or under contract to an agency. (v) "Public Conveyance" is local public transportation (e.g., bus, streetcar, subway, etc) or taxicab. (iv) "Residence" is the fixed or permanent domicile of a person that can be reasonably justified as a bona fide residence. EXAMPLE 1: Employee's one way commuting distance to regular place of work is 7 miles. Employee drives from residence to an alternate work site, a distance of 18 miles. Upon completion of work, employee returns to residence, a distance of 18 miles. In this case, the employee is entitled to be reimbursed for the distance that exceeds the normal round trip commuting distance (14 miles). The employee is reimbursed for 22 miles (18 + 18 - 14 = 22). EXAMPLE 2: Employee's one way commuting distance to regular place of work is 15 miles. Employee drives from residence to an alternate work site, a distance of 5 miles. Upon completion of work, employee returns to residence, a distance of 5 miles. In this case, the employee is not entitled to be reimbursed for the travel performed (10 miles), since the distance traveled is less than the commuting distance (30 miles) to the regular place of work. EXAMPLE 3: Employee's one way commuting distance to regular place of work is 15 miles. Employee drives to regular place of work. Employee is required to travel to an alternate work site, a distance of 30 miles. Upon completion of work, employee returns to residence, a distance of 15 miles. In this case, the employee is entitled to be reimbursed for the distance that exceeds the normal round trip commuting distance (30 miles). The employee is reimbursed for 30 miles (15 + 30 + 15 - 30 = 30). EXAMPLE 4: Employee's one way commuting distance to regular place of work is 12 miles. In the morning the employee drives to an alternate work site (45 miles). In the afternoon the employee returns to the regular place of work (67 miles). After completion of work, employee returns to residence, a distance of 12 miles. In this case, the employee is entitled to be reimbursed for the distance that exceeds the normal round trip commuting distance (24 miles). The employee is reimbursed for 100 miles (45 + 67 + 12 - 24 = 100). EXAMPLE 5: Employee's one way commuting distance to regular place of work is 35 miles. Employee drives to the regular place of work (35 miles). Later, the employee drives to alternate work site #1 (50 miles) and then to alternate work site #2 (25 miles). Employee then drives to residence (10 miles). In this case, the employee is entitled to be reimbursed for the distance that exceeds the normal commuting distance (70 miles). The employee is reimbursed for 50 miles (35 + 50 + 25 + 10 - 70 = 50). EXAMPLE 6: Employee's one way commuting distance to regular place of work is 20 miles. Employee drives to the regular place of work (20 miles). Later, the employee drives to alternate work site #1 (10 miles) and then to alternate work site #2 (5 miles). Employee then drives to residence (2 miles). In this case, the employee is not entitled to be reimbursed for the travel performed (37 miles), since the distance traveled is less than the commuting distance (40 miles) to the regular place of work. H-359 LIMITED RELEASE OF CONTRACTOR CONFIDENTIAL BUSINESS INFORMATION (CBI) (NOV 2003) (a) Definition. "Confidential business information," as used in this clause, is defined as all forms and types of financial, business, scientific, technical, economic, or engineering information, including patterns, plans, compilations, program devices, formulas, designs, prototypes, methods, techniques, processes, procedures, programs, or codes, whether tangible or intangible, and whether or how stored, compiled, or memorialized physically, electronically, graphically, photographically, or in writing if -- (1) the owner thereof has taken reasonable measures to keep such information secret, and (2) the information derives independent economic value, actual or potential from not being generally known to, and not being readily ascertainable through proper means by, the public. Confidential business information may include technical data as that term is defined in DFARS §§ 252.227-7013(a)(14), 252.227-7015(a)(4), and 252.227-7018(a)(19). It may also include computer software as that term is defined in DFARS §§ 252.227-7014(a)(4) and 252.227-7018(a)(4). (b) The Space and Naval Warfare Systems Command (SPAWAR) may release to individuals employed by SPAWAR support contractors and their subcontractors confidential business information submitted by the contractor or its subcontractors pursuant to the provisions of this contract. Business information that would ordinarily be entitled to confidential treatment may be included in the information released to these individuals. Accordingly, by submission of a proposal or execution of this contract, the offeror or contractor and its subcontractors consent to a limited release of its confidential business information. (c) Circumstances where SPAWAR may release the contractor's or subcontractors' confidential business information include the following: (1) To other SPAWAR contractors and subcontractors, and their employees tasked with assisting SPAWAR in handling and processing information and documents in the administration of SPAWAR contracts, such as file room management and contract closeout. (2) To SPAWAR contractors and subcontractors, and their employees tasked with assisting SPAWAR in accounting support services, including access to cost-reimbursement vouchers. (3) To SPAWAR contractors and subcontractors, and their employees tasked with assisting SPAWAR in crafting performance work statements, assisting with the evaluation of task order cost/technical proposals and assembling performance metrics information. (d) SPAWAR recognizes its obligation to protect the contractor and its subcontractors from competitive harm that could result from the release of such information. SPAWAR will permit the limited release of confidential business information under paragraphs (c)(1), (c)(2) and (c)(3) only under the following conditions: (1) SPAWAR determines that access is required by other SPAWAR contractors and their subcontractors to perform the tasks described in paragraphs (c)(1), (c)(2) and (c)(3), (2) Access to confidential business information is restricted to individuals with a bona fide need to possess, (3) Contractors, their subcontractors, and their employees who are granted access to confidential business information have signed an appropriate non-disclosure agreement requiring them to provide the same level of protection to confidential business information that would be provided by SPAWAR employees, (4) Contractors and their subcontractors having access to confidential business information have agreed under their contract or a separate corporate non-disclosure agreement to provide the same level of protection to confidential business information that would be provided by SPAWAR employees, and (5) SPAWAR contractors and their subcontractors performing the tasks described in paragraphs (c)(1), (c)(2) or (c)(3) have agreed under their contract or a separate non-disclosure agreement to not use confidential business information for any purpose other than performing the tasks described in paragraphs (c)(1), (c)(2) and (c)(3). (e) SPAWAR's responsibilities under the Freedom of Information Act are not affected by this clause. (f) If SPAWAR satisfies the conditions listed in paragraph (d), the contractor and its subcontractors agree to indemnify and hold harmless the Government, its agents, and employees from every claim or liability, including attorneys fees, court costs, and expenses, arising out of, or in any way related to, the misuse or unauthorized modification, reproduction, release, display, or disclosure of confidential business information provided by the contractor to the Government. (g) The contractor agrees to include, and require inclusion of, this clause in all subcontracts at any tier that requires the furnishing of confidential business information. ORGANIZATIONAL CONFLICT OF INTEREST (NAVSEA) (JUL 2000) (RESTATED FROM BASIC CONTRACT) (a) "Organizational Conflict of Interest" means that because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or advice to the Government, or the person's objectivity in performing the contract work is or might be otherwise impaired, or a person has an unfair competitive advantage. "Person" as used herein includes Corporations, Partnerships, Joint Ventures, and other business enterprises. (b) The Contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in the contract, the Contractor does not have any organizational conflict of interest(s) as defined in paragraph (a). (c) It is recognized that the effort to be performed by the Contractor under this contract may create a potential organizational conflict of interest on the instant contract or on a future acquisition. In order to avoid this potential conflict of interest, and at the same time to avoid prejudicing the best interest of the Government, the right of the Contractor to participate in future procurement of equipment and/or services that are the subject of any work under this contract shall be limited as described below in accordance with the requirements of FAR 9.5. (d) (1) The Contractor agrees that it shall not release, disclose, or use in any way that would permit or result in disclosure to any party outside the Government any information provided to the Contractor by the Government during or as a result of performance of this contract. Such information includes, but is not limited to, information submitted to the Government on a confidential basis by other persons. Further, the prohibition against release of Government provided information extends to cover such information whether or not in its original form, e.g., where the information has been included in Contractor generated work or where it is discernible from materials incorporating or based upon such information. This prohibition shall not expire after a given period of time. (2) The Contractor agrees that it shall not release, disclose, or use in any way that would permit or result in disclosure to any party outside the Government any information generated or derived during or as a result of performance of this contract. This prohibition shall expire after a period of three years after completion of performance of this contract. (3) The prohibitions contained in subparagraphs (d)(1) and (d)(2) shall apply with equal force to any affiliate of the Contractor, any subcontractor, consultant, or employee of the Contractor, any joint venture involving the Contractor, any entity into or with which it may merge or affiliate, or any successor or assign of the Contractor. The terms of paragraph (f) of this Special Contract Requirement relating to notification shall apply to any release of information in contravention of this paragraph (d). (e) The Contractor further agrees that, during the performance of this contract and for a period of three years after completion of performance of this contract, the Contractor, any affiliate of the Contractor, any subcontractor, consultant, or employee of the Contractor, any joint venture involving the Contractor, any entity into or with which it may subsequently merge or affiliate, or any other successor or assign of the Contractor, shall not furnish to the United States Government, either as a prime contractor or as a subcontractor, or as a consultant to a prime contractor or subcontractor, any system, component or services which is the subject of the work to be performed under this contract. This exclusion does not apply to any recompetition for those systems, components or services furnished pursuant to this contract. As provided in FAR 9.505-2, if the Government procures the system, component, or services on the basis of work statements growing out of the effort performed under this contract, from a source other than the contractor, subcontractor, affiliate, or assign of either, during the course of performance of this contract or before the three year period following completion of this contract has lapsed, the Contractor may, with the authorization of the SeaPort/Task Order Contracting Officer, participate in a subsequent procurement for the same system, component, or service. In other words, the Contractor may be authorized to compete for procurement(s) for systems, components or services subsequent to an intervening procurement. (f) The Contractor agrees that, if after award, it discovers an actual or potential organizational conflict of interest, it shall make immediate and full disclosure in writing to the SeaPort/Task Order Contracting Officer. The notification shall include a description of the actual or potential organizational conflict of interest, a description of the action which the Contractor has taken or proposes to take to avoid, mitigate, or neutralize the conflict, and any other relevant information that would assist the SeaPort/Task Order Contracting Officer in making a determination on this matter. Notwithstanding this notification, the Government may terminate the contract/Task Orders for the convenience of the Government if determined to be in the best interest of the Government. (g) Notwithstanding paragraph (f) above, if the Contractor was aware, or should have been aware, of an organizational conflict of interest prior to the award of this contract or becomes, or should become, aware of an organizational conflict of interest after award of this contract and does not make an immediate and full disclosure in writing to the SeaPort/Task Order Contracting Officer, the Government may terminate this contract/task orders for default. (h) If the Contractor takes any action prohibited by this requirement or fails to take action required by this requirement, the Government may terminate this contract for default. (i) The SeaPort/Task Order's Contracting Officer's decision as to the existence or nonexistence of an actual or potential organizational conflict of interest shall be final. (j) Nothing in this requirement is intended to prohibit or preclude the Contractor from marketing or selling to the United States Government its product lines in existence on the effective date of this contract; nor, shall this requirement preclude the Contractor from participating in any research and development or delivering any design development model or prototype of any such equipment. Additionally, sale of catalog or standard commercial items are exempt from this requirement. (k) The Contractor shall promptly notify the Contracting Officer, in writing, if it has been tasked to evaluate or advise the Government concerning its own products or activities or those of a competitor in order to ensure proper safeguards exist to guarantee objectivity and to protect the Government's interest. (l) The Contractor shall include this requirement in subcontracts of any tier which involve access to information or situations/conditions covered by the preceding paragraphs, substituting "subcontractor" for "contractor" where appropriate. (m) The rights and remedies described herein shall not be exclusive and are in addition to other rights and remedies provided by law or elsewhere included in the basic contract or this task order. (n) Compliance with this requirement is a material requirement of the basic contract and this task order. TECHNICAL INSTRUCTIONS (a) Performance of work hereunder may be subject to written technical instructions signed by the Task Order Manager (TOM) specified in Section G of this task order. As used herein, technical instructions are defined to include the following: (1) Directions to the Contractor which suggest pursuit of certain lines of inquiry, shift work emphasis, fill in details and otherwise serve to accomplish the contractual statement of work. (2) Guidelines to the Contractor which assist in the interpretation of drawings, specifications or technical portions of work descriptions. (b) Technical instructions must be within the general scope of work stated in the task order. Technical instruction may not be used to: (1) assign additional work under the task order; (2) direct a change as defined in the "CHANGES" clause in this task order; (3) increase or decrease the task order price or estimated task order amount (including fee), as applicable, the level of effort, or the time required for contract performance; or (4) change any of the terms, conditions or specifications of the task order. (c) If, in the opinion of the Contractor, any technical instruction calls for effort outside the scope of the task order or is inconsistent with this requirement, the Contractor shall notify the Contracting Officer in writing within ten (10) working days after the receipt of any such instruction. The Contractor shall not proceed with the work affected by the technical instruction unless and until the Contractor is notified by the Contracting Officer that the technical instruction is within the scope of the task order. H-355 CONTRACTOR IDENTIFICATION (DEC 1999) (a) Contractor employees must be clearly identifiable while on Government property by wearing appropriate badges. (b) Contractor employees are required to clearly identify themselves and the company they work for whenever making contact with Government personnel by telephone or other electronic means. SECTION I CONTRACT CLAUSES 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000) (a) The Government may extend the term of this task order by written notice to the Contractor on or before the expiration of the task order; provided, that the Government gives the Contractor a preliminary written notice of its intent to extend at least 60 days before the task order expires. The preliminary notice does not commit the Government to an extension. (b) If the Government exercises this option, the extended task order shall be considered to include this option clause. (c) The total duration of this task order, including the exercise of any options under this clause, shall not exceed five years. 52.217-9005 Reopener clause - pending indirect rates proposal. The following clause, or as modified, may be used as prescribed in 17.9205: REOPENER CLAUSE - PENDING INDIRECT RATES PROPOSAL (JAN l995) - DLAD (a) At the time the price for this contract was established, agreement could not be reached on direct labor and indirect expense rates due to on-going audit of the contractor's forward pricing rate proposals and Disclosure Statements. However, agreement was reached that (see below) of the contract price is subject to adjustment in accordance with the provisions of this clause. (b) Within 60 days from the issuance of audit report by DCAA, the Contractor shall submit a supplemental proposal to the Procurement Contracting Officer (PCO) for purposes of adjusting the contract price and option price, whether or not such option has been exercised. The supplemental proposal shall (1) use the methodology, direct costs, and profit indicated in paragraph (a), (2) be supported by cost or pricing data (FAR 15.408), and a Certificate of Current Cost or Pricing Data (FAR 15.406-2), and (3) include the effect of accounting system changes and contract modifications which may impact the amount of the adjustment. No adjustment will be made if the proposed price reduction is less than $2,500.00. In no event will an upward adjustment be allowed. (c) If determined necessary by the Procuring Contracting Officer, the Contractor agrees to commence negotiations concerning the amount of the adjustment within 30 days after receipt of the supplemental proposal by the Government. (d) Should the Contractor fail to submit the information in paragraph (b), or should there be no agreement as to the amount of the price adjustment contemplated by this clause, then the Procuring Contracting Officer may determine a reasonable price in accordance with FAR Subpart 15.4 and FAR Part 31 and modify the contract accordingly. Failure to agree with such change in the contract price shall be resolved in accordance with the Disputes clause of this contract. (e) The Contractor warrants that the contract price does not include any other allowance for the direct labor and indirect rate contingencies except as shown above. (f) Should information after award indicate the amount developed in paragraph (a) vary significantly from the finalized price, the contract price shall be adjusted downward only through negotiation. (g) Any final contract prices resulting from negotiations conducted under this clause, does not waive the Government's rights to determine the contractor's compliance with the Cost Accounting Standards or any other applicable regulations including FAR Part 31 concerning the allowability of the contractor's costs. (End of Clause) * SAIC's proposal was based on CACO of San Diego. Recommended Rates Exhibit A – CACO Recommended Corporate-wide Forward Pricing Direct Labor Rates for Contractor Fiscal Year (CFY) 2011 and on, dated January 28, 2010. Exhibit B – Corporate ACO (CACO) Recommended Forward Pricing and Provisional Indirect Billing Rates and FCCM Factors for Contractor Fiscal Years (CFY) 2011-2015 dated February 19, 2010, SAIC Defense Solutions Group Services Segment (Company 116) SECTION J LIST OF ATTACHMENTS ATTACHMENT 1DD1423 ATTACHMENT2DD254 ATTACHMENT3REFERENCESHEETS ATTACHMENT4PASTPERFORMANCEQUESTIONNAIRE ATTACHMENT5COSTSUMMARYFORMAT ATTACHMENT6RATECHECKREQUESTTEMPLETE ATTACHMENT7SMALLBUSINESSPARTICIPATIONPLAN ATTACHMENT8WAGEDETERMINATION
International Journal of Computer Engineering and Information Technology VOL. 8, NO. 11, November 2016, 208–212 Available online at: www.ijceit.org E-ISSN 2412-8856 (Online) Improve the Energy Efficiency in Cognitive Radio Sensor Network using Spectrum Allocation A.Devi.B.E 1 , K.Jayarajan.M.E 2 and A.Sabari.M.Tech 3 1, 2, 3 Selvam College of Technology, Namakkal. 1 email@example.com, 2 firstname.lastname@example.org, 3 email@example.com ABSTRACT Cooperative routing and range spectrum aggregation are two promising methods for channel sensing and switching. In this paper, we propose a Cognitive Radio Sensor Network (CRSNs) based cooperative routing protocol, termed as licensed channel, termed as cluster, for intra-cluster and inter- cluster. To the best of our insight, this is the first commitment on range accumulation based agreeable directing for CRSNs. The essential target of channel data transmission is to give higher vitality productivity, enhance throughput, and reduces system delay for Time Division Multiple Access (TDMA). A Cognitive Radio (CR) network (i.e., secondary network) opportunistically shares the radio resources with a network (i.e., Primary network). A CRbased cellular network where a cluster network shares a spectrum that belongs to an indoor system. Reducing the end-to-end delay channel is reduced. The analysis will highlight the impact of the multi-user diversity gain of both the primary and secondary users on the achievable spectral efficiency. The constraints on the reliability of sensing, the throughput and the delay of secondary User (SU) transmission. The optimal value of sensing time depends on SU waiting current channel. Found out to make the energy consumption of one data packet transmission minimized. Keywords: Cognitive radio, Sensor network, Clustering, Severity analysis, Classification. 1. INTRODUCTION Cognitive Radio Ad-Hoc Networks (CRAHNs) have pulled in much consideration in the exploration group lately. Dissimilar to either customary CR systems or impromptu systems, CRAHNs give a non-base backing and range heterogeneity based remote system which raises one of a kind issues and difficulties in figure 1. Two particular sorts of steering conventions have been examined: helpful directing and non-agreeable directing conventions. An appropriated CR steering convention is to indicate the issues of Primary User (PU) collector insurance, administration separation in CR courses, and joint range course choice. A helpful steering convention has been considered for accomplishing higher channel limit pick up. Because of range heterogeneity attributes, the channel which gives most extreme limit is chosen to transmission in each immediate connection, and the hub that can give the greatest limit increase is chosen as the hand-off hub for helpful steering. Secondary users (SU) These users may access the spectrum which is licensed to the primary users. They are thus secondary users of the wireless spectrum, and are often envisioned to be cognitive radios. For the rest of this chapter, we will assume the secondary users are cognitive radios (and the primary users are not) and will use the terms interchangeably. Primary users (PU) These wireless devices are the primary licenseholders of the spectrum band of interest. In general, they have priority access to the spectrum, and subject to certain Quality of Service (QoS) constraints which must be guaranteed. 2. CHARACTERISTICS AND BENEFITS A. Cognitive capability Cognitive capability refers to the ability of the radio technology to capture or sense the information from its radio environment. This capability cannot simply be realized by monitoring the power in some frequency band of interest but more sophisticated techniques are required in order to capture the temporal and spatial variations in the radio environment and avoid interference to other users. Through this capability, the portions of the spectrum that are unused at a specific time or location can be identified. Consequently, the best spectrum and appropriate operating parameters can be selected figure 2. B. Channel sensing A cognitive radio monitors the available spectrum bands, captures their information, and then detects the spectrum holes. C. Data analysis The characteristics of the spectrum holes that are detected through spectrum sensing are estimated D. Decision Model A cognitive radio determines the data rate, the transmission mode, and the bandwidth of the transmission Then, the appropriate spectrum band is chosen according to the spectrum characteristics and user requirements. Once the operating spectrum band is determined, the communication can be performed over this spectrum band. However, since the radio environment changes over time and space, the cognitive radio should keep track of the changes of the radio environment. If the current spectrum band in use becomes unavailable, the spectrum mobility function is performed to provide a seamless transmission. Any environmental change during the transmission such as primary user appearance, user movement, or traffic variation can trigger this adjustment. Time Synchronization is a fundamental requirement for the wide CR of application with wireless sensor network. to detect and invalidate the possible message manipulation consume data transmission. 3. RECONFIGURABILITY Reconfigurability is the capability of adjusting operating parameters for the transmission on the fly without any modifications on the hardware components. This capability enables the cognitive radio to adapt easily to the dynamic radio environment A. Operating Frequency A cognitive radio is capable of changing the operating frequency. Based on the information about the radio environment, the most suitable operating frequency can be determined and the communication can be dynamically performed on this appropriate operating frequency. A.Devi.B.E et. al B. Modulation A cognitive radio should reconfigure the modulation scheme adaptive to the user requirements and channel conditions. C. Transmission Power Transmission power can be reconfigured within the power constraints. Power control enables dynamic transmission power configuration within the permissible power limit. 4. CLUSTERING CRSNS A. Interference Temperature Measurement Due to the lack of interactions between primary networks and CR networks, generally a CR user cannot be aware of the precise locations of the primary receivers. Thus, new techniques are required to measure or estimate the interference temperature at nearby primary receivers B. Spectrum Sensing In Multi-User Networks The multi-user environment, consisting of multiple CR users and primary users, makes it more difficult to sense spectrum holes and estimate interference. Hence, spectrum sensing functions should be developed considering the multi-user environment. C. Cooperative Energy Sharing Cooperative (or collaborative) solutions exploit the interference measurements of each node such that the effect of the communication of one node n other nodes is considered. A common technique used in these schemes is forming clusters to share interference information locally. This localized operation provides an effective balance between a fully centralized and a distributed scheme. D. CR- MOBILITY Step of CR management, as explained earlier, is spectrum mobility management. After a CR captures the best available spectrum, primary user activity on the selected spectrum may necessitate that the user change its operating spectrum band(s), which is referred to as range mobility. Spectrum mobility gives rise to a new type of handoff in CR networks, spectrum handoff. Protocols for different layers of the network stack must adapt to the channel parameters of the operating frequency. E. Non-cooperative Clustering Only a single node is considered in non- cooperative (or non-collaborative, selfish) solutions. Because interference in other CR nodes is not considered, noncooperative solutions may result in reduced spectrum utilization. However, these solutions do not require frequent message exchanges between neighbors as in cooperative solutions F.Switching-efficient Ensing A Sensing cannot be performed while transmitting packets. Hence, CR users should stop transmitting while sensing, which decreases spectrum efficiency. For this reason, balancing spectrum efficiency and sensing accuracy is an important issue. Moreover, because sensing time directly affects transmission performance, novel spectrum sensing algorithms must be developed such that the sensing time is minimized within a given sensing accuracy. - Cognitive Radio Ad-Hoc Networks (CRAHNs) have pulled in much consideration in the exploration group lately. - Dissimilar to either customary CR systems or impromptu systems. 5. DISTRIBUTED PACKET SHARING A. Packet resources allocations Resources allocation and access are based on local (or possibly global) policies that are performed by each node distributive. Distributed solutions also are used between different networks such that a base station (BS) competes with its interferer BSs according to the QoS requirements of its users to allocate a portion of the spectrum B. Broadcast Channels In the classical broadcast channel a single transmitter wishes to communicate independent sensing and switching to two independent receivers. Its capacity region is in general unknown. For the channel sensing. C. Algorithm: Pricing and Resource Allocation The decomposition of SYSTEM(U,R, C) problem into FLOWf (Uf ; λf ) and NETWORK(R, C;w) problems suggests that solving SYSTEM(U,R, C) can be achieved by solving FLOWf (Uf ; λf ) and NETWORK(R, C;w) problems via an iterative algorithm. In each iteration. multi-input multi-output (MIMO) transmission toward the intended CR receiver. To this end, a network- wide weighted sum- rate maximization problem is formulated to optimize transmit powers, and the linear transmit filters of the CR transmitters. - receives sending rate xf (k) from all flows f that go through clique q; - computes a new price according to the following formula μq(k + 1) = [μq(k) + α( _ f:f∩q_=∅ Rqfxf (k) − C)]+ (20) whereα > 0 is a small step size parameter, and [z]+ = max{z, 0}. This algorithm is consistent with the law of supply and demand: if the demand for bandwidth at clique q exceeds the channel capacity supply C, which is the channel capacity, then the price μq is raised; otherwise, the price is reduced. 6. RESULTS AND DISCUSSION Exploratory results can assess the execution of the framework utilizing Accuracy rate CR energy efficiency Intra cluster. The exactness rate is figured using evaluating Energy measurements. So the exactness rate is characterized as Dynamic Source Routing (DSR) in mobile ad hoc networks have lead to a number of adaptations of both protocols to suit CRAHNs. In this paper, we review the on-demand routing protocols applicable for CRAHNs, which are based on AODV, DSR, and hybrid protocols. COGNITIVE radio (CR) is an intelligent radio that senses the environment and adapts its transmission parameters to efficiently utilize the scarce radio spectrum. One of the promising applications of the CR technology is hierarchical spectrum sharing, where primary users (PUs), which are licensed to use certain spectrum bands, allow secondary users (SUs) to access the spectrum as long as the interference does not degrade the communication quality of the PU links 7. CONCLUSION In this paper, proposed CRSNs (cluster aggregation-based cooperative routing protocol for channel states). CRSNs is given into two classes of cooperative routing protocols: Class A for reduced power consumption and throughput maximization, Class B for reducing the end-to-end delay. We have also conducted a performance comparison of routing sensor network with other relevant protocols in literature. This method shows a great improvement while comparing with existing system. The resources allocation and access procedures are controlled by a central entity. Moreover, a distributed sensing procedure can be used such that measurements of the reduces energy efficiency are forwarded to the data transmission, and a Qos allocation map is constructed. Furthermore, the central entity can lease spectrum to users in a limited geographical region for a specific amount of time. In addition to competition for the spectrum, competition for users can also be considered through a central spectrum policy server. REFERENCES [1] O. B. Akan, O. Karli, and O. Ergul, "Cognitive radio sensor networks," IEEE Netw., vol. 23, no. 4, pp. 34–40, 2009. [2] S. Bayhan and F. Alagoz, "Scheduling in centralized cognitive radio networks for energy efficiency," IEEE Trans. Vehicular Tech., vol. 62,no.2, pp. 582–595, 2013. [3] A. O. Bicen, V. C. Gungor, and O. B. Akan, "Delaysensitive and multimedia communication in cognitive radio sensor networks," Ad Hoc Netw., vol. 10, no. 5, pp. 816–830, 2012. [4] Jayarajan, K & Sabari, A 2016, „Multi Variant Mitigation Model for Improvement of Security in Wireless ADHOC Network Threats using Flow Based Time Variant Approach‟, Asian Journal of Research in Social Sciences and Humanities, vol. 6, Special Conference Issue September, pp. 91-106. [5] Jayarajan, K & Sabari, A 2016, „Route Inference Theory for Mitigation of Network Threats in Wireless Sensor Networks‟, Transylvanian Review, vol. 24, no. 10. [6] Z. Liang, S. Feng, D. Zhao, and X. Shen, "Delay performance analysis for supporting real-time traffic in a cognitive radio sensor network," IEEE Trans. Wireless Commun., vol. 10, no. 1, pp. 325–335, 2011. [7] S.-C. Lin and K.-C. Chen, "Improving spectrum efficiency via in network computations in cognitive radio sensor networks," IEEE Trans. Wireless Commun., vol. 13, no. 3, pp. 1222–1234, 2014. [8] P. T. A. Quang and D.-S. Kim, "Throughput- aware routing for industrial sensor networks: Application to isa100. 11a," IEEE Trans. Industrial Info., vol. 10, no. 1, pp. 351–363, 2014. [9] J. Ren, Y. Zhang, K. Zhang, and X. Shen, "Exploiting mobile crowdsourcing for pervasive cloud services: challenges and solutions," IEEE Commun. Mag., vol. 53, no. 3, pp. 98–105, 2015. [10] Saravanan, T. "An Efficient Multi Channel Query Scheduling In Wireless Sensor Networks." International Journal of Computer Science and Network Security (IJCSNS) 14.2 (2014): 71. [11] S. H. Seo, J. Won, S. Sultana, et al. "Effective key management in dynamic wireless sensor networks," IEEE Transactions on Information Forensics and Security, vol. 10, no. 2, pp. 371-383, 2014 [12] G. A. Shah and O. B. Akan, "Performance analysis of csma-based opportunistictransactions on mobile computing, vol. 13, no. 6, pp.1268-1282, 2015. [13] P. Spachos and D. Hantzinakos, "Scalable dynamic routing protocol for cognitive radio sensor networks," IEEE Sensors J., vol. 14, no. 7, pp. 2257–2266, 2014. [14] M. Timmers, S. Pollin, A. Dejonghe, L. Van der Perre, and F. Catthoor, "A distributed multichannel mac protocol for multihop cognitive radio networks," IEEE Trans. Vehicular Tech., vol. 59, no. 1, pp. 446–459, 2010. [15] Y. Zhang, S. He, and J. Chen, "Data gathering optimization by dynamic sensing and routing in rechargeable sensor networks," IEEE/ACM Trans. Netw., published online on June 1, 2015. [16] N. Zhang, H. Liang, N. Cheng, Y. Tang, J. W. Mark, and X. 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The Newsletter of the British Columbia Science Fiction Association #460 $3.00/Issue September 2011 In This Issue: BCSFAzine © September 2011, Volume 39, #9, Issue #460 is the monthly club newsletter published by the British Columbia Science Fiction Association, a social organization. ISSN 1490-6406. Please send comments, suggestions, and/or submissions to Felicity Walker (the editor), at felicity4711@ gmail .com or #209–3851 Francis Road, Richmond, BC, Canada, V7C 1J6. BCSFAzine solicits electronic submissions and black-and-white line illustrations in JPG, GIF, BMP, PNG, or PSD format, and offers printed contributors' copies as long as the club budget allows. BCSFAzine is distributed monthly at White Dwarf Books, 3715 West 10 th Avenue, Vancouver, BC, V6R 2G5; telephone 604-228-8223; e-mail whitedwarf@ deadwrite.com. Single copies C$3.00/US$2.00 each. This Month in BCSFA Sunday 18 September @ 7 PM: BCSFA meeting —at Ray Seredin’s, 707 Hamilton Street (recreation room), New Westminster. Call 604-521-0254 for direc- tions. [ October meeting is Sunday 16 October 2011, same time, same location. ] Thursday 22 September @ 7 PM: September Book Discussion at the Grind gal- lery & café, 4124 Main Street (near the corner of Main and King Edward), Vancouver. Book to be discussed will be Ender’s Game by Or- son Scott Card.— Doug Finnerty Friday 30 September: ‘BCSFAzine’ production (theoretically). About BCSFA The incumbent BCSFA Executive members are: President & Archivist: R. Graeme Cameron, 604-584-7562 Vice President: TBA Treasurer: Kathleen Moore, 604-771-0845 Secretary: Barb Dryer, 604-267-7973 Editor: Felicity Walker, 604-448-8814 Keeper of FRED Book: Ryan Hawe, 604-448-8714 VCON Ambassador for Life: Steve Forty, 604-936-4754 BCSFA's website is at http://www.bcsfa.net/. The BCSFA e-mail lists are BC SciFi Assc (http://groups.yahoo.com/group/bc_scifi_assc/) and BCSFAnet (http://groups . yahoo.com/group/bcsfanet/). Letters of Comment [Editor's responses in brackets.] Garth Spencer email@example.com Dear Felicity, Neat. Right away I can update the BCSFA.net events page. The Anarcho-Surrealist Party title actually ends with "…Hot Tub in the Backyard Society Inc." Not that it matters. Garth [It would have mattered to me! I just didn't know about it because Facebook truncates the name at "So." I hope it's a also hot tub time machine, so I can visit the 1980s. Thanks for adding me!] Dave Haren Friday 9 September 2011 firstname.lastname@example.org Hi Felicity, I'm waiting for Lloyd Penney to talk about Reno. I was going before I had my excitement. Now it'll have to be vicarious. Mike Hart has died on us after a long run of changing the world. He's the founder of Project Gutenberg. His efforts over the years have realized a science fiction dream. The handheld personal library now exists. Like the handheld comp predicted by Asimov in Foundation which is also here now. His projection was 10,000 years in the future. [Foundation also predicted the speech-to-text transcription machine, with a sense-of-usage checker and a realistic handwriting font! We don't have that yet, but I'm in no hurry; I like typing.] ebook readers have dropped below $100.00 in multiple places so my prophecy was correct…grin. Now I can hang out a shingle as a futurist. My new prediction is that Graeme is going to dazzle the world with his newly conceived awards for fanzines. Remember you heard it here first. His attack on Bob is awful though, nobody else gives you a money back guarantee on salvation. [The Subgenius Bob? (I'm way behind on zine reviews.)] Check out http://theoatmeal.com/comics/senior_year. [Ha ha! ☺ I like their grammar police and cat cartoons too.] I found a copy of Vinge's singularity paper on-line. It is highly interesting from a number of points. The interaction between two chatbots might lead to the conclusion that Vaughn Bode was a better prophet in his Junkwaffel comics. Those of the movie generation just think future scenes in the Terminator movies. Jinnie Cracknell has a nice zine up. She's at issue 5 of Quantum Bollocks. Highly talented and fun to read. Thursday 1 September 2011 As usual the techno future is bearing down on us like a runaway glacier while the world wastes its psychic energies on ridiculous politics and worse journalism. [I've been reading The Social Animal by journalist David Brooks, in which he says that politics can change culture and save society from itself. I'd like that.] And here's my contribution to a better future: Oh ye of little faith, lift up your hearts, lift up your eyes to the skies. Up there is a whole planet broken into chunks for easy access. Up there are two huge balls of hydrocarbons. And just as soon as you go up there, your problems are too much energy. Those who wish to stay here squabbling over scraps are welcome to it. The rest of us are going to the stars on pillars of nuclear fire. The future is going to get more exciting every day. My reaction to Swill is a simple one. I would not trade anything in the world for the science fiction community. The oddest furry and the strangest Trek fan are head and shoulders above the rest of humanity because they can embrace the possibility of difference. That doesn't make them perfect; it just means they are better. Warmest regards, Dave Jim McPherson email@example.com Friday 2 September 2011 Thanks for BCSFAzine, Felicity. And thanks for recent inclusion of Phantacea update. Attached is a copy of the b/w ad that's going in VCon Program, all goes well. It's grey scale so, with only modicum of manipulation, should reproduce both for digital and print publications. While I'm still hopeful Verne Andru, who did cover for Feeling Theocidal, will have cover of Goddess Gambit ready in time for VCon, we may only have the poster of it ready. Also, still haven't quite wrapped mind around notion of e-books. Have, however, been convinced that not enough folks are willing to pay $20+ for a POD novel or even $10 for a mini-novel like Janna Fangfingers by relative unknowns like me. As a consequence, hope to get all pHant publications, including comic books, in e-book format b4 year end. In this regard I'm looking into purchasing In Design CS 5.5, which sounds to be vastly improved over CS 4, the one I use. I'll let you know when I get technology down enough to go ahead with aforementioned e-books. With much lower prices I expect to reach voracious readers who use digital systems and will trust them to pass on positive recommendations to regular book readers like myself and most others I know. Getting pHant print publications into local libraries is next project. Jim McPherson www.phantacea.com Lloyd Penney Sunday 11 September 2011 1706–24 Eva Rd., Etobicoke, On. M9C 2B2 firstname.lastname@example.org Dear Felicity: While Hugo-winning fan artist and madman Brad Foster scribbles something extremely fannish and silly above the index, I will say thank you for issue 459 of BCSFAzine, and will dive directly into the contents. Looks like there's lot of people requesting your attention to their product, or your consideration for the Aurora Awards, coming up sooner than we think. Should I ask for the same consideration on the Aurora ballot? I have some hopes, and I will be there at SFContario 2 for the Aurora banquet and awards ceremony. Fingers crossed! When Earl Kemp does wind up his series of fanzines under the title of eI, that will be a shame. It started as an autobiography of his career in soft core pornography in the 1960s, and is ending as a great history of the very beginnings of science fiction publishing. My loc…I didn't get that job I wrote about, and we did go to Reno. A lot of walking, but a great convention, lots to do and see, lots of old friends I hadn't seen in some time (hello, Fran Skene!), interesting things to buy, special events like the Hugos…five days of crazy is how I described it, and I stand by that description. Of course, to get to everything I wanted to see, I would have needed another five days. I ran into Greg Benford in the fanzine lounge, and had the chance to talk with him. He said he regrets having to cancel out on VCon, and is looking forward to Vancouver next year. The Hugo ceremony should be watched, and I believe it is available somewhere on YouTube. When Chris Garcia accepts a Hugo, he does it in a big fashion. I was there live, and it was a fun time. Chris sure deserves that silvery rocket. And already, we've been talking about next year's Worldcon in Chicago. Given the time of the month, and what's happening the end of September, I want to wish you all a fun and successful VCon. Maybe one of these days, I'll be able to join you again. I think I have done all I can for right now. Take care, and see you with the next issue. Yours, Lloyd Penney We Also Heard From: Toren Atkinson, R. Graeme Cameron, Steve Green. Calendar Note to print readers: underlined events have an associated URL. Links included in the PDF version at http://www.efanzines.com/BCSFA/.—Julian Castle September 2011 September is Be Kind to Editors and Writers Month and Library Card Sign-Up Month. 1, 15, and 29 September 2011: Burnaby Sci-Fi Writers' Group meets alternate Thursdays 7–9 PM at Metrotown Public Library (program room) or Connections lounge. Open to new members, mainly sci-fi/fantasy or what have you. Contact Allan @ (604) 946-2427 or email email@example.com for details.—Allan Lowson (on Richmond Writers Network Facebook Group) 2 September 2011: Premiere of films Shark Night 3D (SF/horror; Donal Logue) and Apollo 18 (horror/SF/conspiracy/found-footage). 3 September 2011: Tim Burton Theme Ball!, 9:00 PM–3:00 AM at Club 23, 23 West Cordova, Vancouver, BC. Halloween is such an amazing, well-loved holiday that it should be held twice a year, not just once! Saturday September 3 Sanctuary proudly presents the fourth annual costume wonderland: Tim Burton Theme Ball…at Club 23 West! The debut of this event in 2008 and follow up parties in 2009 and 2010 saw massive responses, and we're stepping it up even further for the fourth year in a row, turning the spotlight on to the creepy cast of creative chameleons that comprise the dark & alternative scene of the Vancouver nightlife. Photo gallery from the 2009 party here: [Gothic BC] Photo gallery from last year's party on Gothic BC here: [Gothic BC]…■ Prizes for best Tim-Burton-inspired costumes of the night! Outrageous, fanciful, mind-bending costumes, make-up and props of all sorts not required but highly encouraged! Ideas: your favourite character from any Tim Burton movie, vintage, Victorian or fancy ballroom dress, brides & grooms, pale/undead skin, zombies, vampires, ghosts, monsters, classic Hollywood, top hats, stripes, '50s and sci-fi themes, scientists, sexy or scary aliens, circus, carnival or voodoo themed outfits, Christmas & Halloween themed outfits…winners announced every hour at 11 PM, midnight and 1 AM! ■ Suggested movies for inspiration: Alice in Wonderland, Sleepy Hollow, Pee-Wee's Big Adventure, Charlie & The Chocolate Factory, Beetlejuice, Frankenweenie, Big Fish, The Nightmare Before Christmas, The Melancholy Death of Oyster Boy, Corpse Bride, Ed Wood, Mars Attacks!, Edward Scissorhands, Sweeney Todd…the list just goes on and on! ■ Resident DJs Pandemonium & R-Lex spinning only the best alternative / rock / electro / industrial / new wave & loads of Tim Burton movie soundtrack gems! ■ Tim Burton visuals & decorations/photo booth by Atratus Dive head-first into a completely Tim-Burton-themed environment! ■ Tim Burton theme burlesque performances by Rianne Aconda, Cherry OnTop ■ Tickets $10 with pass/$12 without Click on "attending" to the event, and we'll email you a pass right to your inbox at 2 PM day of the event, which you can print off at home, or, pick one up ahead of time from any of the many cool funky shops and retailers around town!—Isaac Terpstra 4 September 2011: Lezli Robyn's birthday. 6 September 2011: Greater Vancouver Boardgames Meetup Group Monthly Meetup, 7 PM [location shown only to members of the Meetup group]. The games played depend on what everyone brings. If there is a game that you would like to play let it be known and we'll see if someone can bring it. Also if you have a great game to share we're always excited to try it out. $1.—Keith Lim 8 September 2011: International Literacy Day. 9 September 2011: Premiere of films Contagion (action/SF; Gwyneth Paltrow, Matt Damon, Laurence Fishburne, Jude Law, Kate Winslet, Demetri Martin, Elliot Gould, Enrico Colantoni, Bryan Cranston, Sanaa Lathan, Sanjay Gupta) and Creature (horror; Daniel Bernhardt, Sid Haig, Pruitt Taylor Vince). 11 September 2011: Vancouver Comic Con, 11 AM to 5 PM at Heritage Hall, 3102 Main Street (Main & 15 th Avenue). Special guest: Matthew Clark (Ghost Rider, Doom Patrol). Featuring: Ed Brisson (Murder Book), Derek DeLand (Copyright Infringers), Kim Glennie (Emily & Zola, Girls' Room), Mike Myhre (Space Jet), Jenna Sokalski, Gurukitty Studios, and others! Dealer tables: $55/centre; $65/wall. Hourly door prizes! Admission: $4.00/kids under 14: free. Comics for Classrooms: Donate a new or gently-used school-appropriate graphic novel for free admission to this show. Books collected will be donated to Vancouver schools. Follow us on Twitter at: twitter.com/vancomicon. For more information on either show: http://www. vancouvercomiccon.com/ or call 604-322-6412.—Leonard S. Wong 12 September 2011: National Video Games Day. 15 September 2011: Reel Reads Movie Night: Children of Men, 6:30 PM at Alice MacKay Room, Lower Level, Central Library, 350 West Georgia Street, Vancouver. "In the year 2027 the human population has lost its ability to procreate. Based on a novel by P.D. James, Children of Men stars Clive Owen, Julianne Moore, and Chiwetel Ejiofor. No registration required, admission is free."—Julian Castle 16 September 2011: Melissa Tookey and Kris Gallant's birthdays. Premiere of film Restless (drama/ghost). 17 September 2011: Rascal's: Steampunk Party, 8 PM–1 AM at WISE Hall, 1882 Adanac Street (at Victoria), Vancouver, BC, V5L 2E2. Rascals is an event geared towards the serious player with the opportunity for newcomers to the lifestyle to see and experience BDSM in all its forms.—Keith Lim 19 September 2011: International Talk Like a Pirate Day. 20 September, 18 October, 15 November, and 13 December 2011: Alternative Worlds Book Club, 6:30–8:30 PM at Morris J. Wosk Board Room, Level 7, Central Library, 350 West Georgia Street, Vancouver. "Explore the diverse worlds of fantasy fiction. Registration limited to 20, begins Saturday 9 July at 10:00 AM at the Level 3 information desk. Call 604-331-3691 for more information."—Julian Castle 22 September 2011: Vogon Poetry, 6:30 PM at Alice MacKay Room, Lower Level, Central Library, 350 West Georgia Street, Vancouver. "Are you the best Vogon poet? Submit your absolutely worst poems to be presented slam style at our VPL/VCON Gala. Prizes in earth dollars. To enter: submit two poems to firstname.lastname@example.org by 8 September. Rules and more information: 604-331-3687. Come dressed in your best science fi/fantasy costume at the Gala. Co-sponsored by VCON: Vancouver's Science Fiction and Fantasy Convention."—Julian Castle 25 September 2011: National Comic Book Day. 25 September 2011: Word on the Street Festival, 5:00 PM at Library Square and CBC Plaza, Georgia Street at Hamilton Street. "Join us for a jam-packed day of author readings, exhibits, performances, and all-round literary mayhem. For more information check www.thewordonthestreet.ca/wots/vancouver."—Julian Castle 27 September 2011: Storytelling for Adults, 12:00–1:00 PM at Alma VanDusen & Peter Kaye Rooms, Lower Level, Central Library, 350 West Georgia Street. "Join us for a series of lunchtime storytelling programs for adults. September's theme is Moon Explorations. Speaker to be announced. Contact 604-331-3691 for more information."—Julian Castle 27 September 2011: Page to Screen, 6:30 PM at Alice MacKay Room, Lower Level, Central Library, 350 West Georgia Street. "How well do classic science fiction books fare when adapted to the big or small screen? A presentation and discussion covering, among other topics, Canadian authors and shows filmed in Vancouver. Co-sponsored by VCON: Vancouver's Science Fiction and Fantasy Convention."— Julian Castle 30 September–2 October 2011: VCON 36 at Sheraton Vancouver Airport Hotel, 7551 Westminster Highway, Richmond, BC, V6X 1A3. Vancouver's Science Fiction & Fantasy Convention. Theme: Visions of the Future: Imagining Tomorrow in Science Fiction from the Past to the Present. Guests of Honour: Larry Niven, JeanPierre Normand, Lisa Lassek.—Keith Lim October 2011 7 October 2011: Premiere of film Real Steel (SF; Hugh Jackman, Phil LaMarr). 14 October 2011: Premiere of film The Thing (SF/horror/prequel). 21 October 2011: Premiere of films Paranormal Activity 3 (horror) and Red State (horror; Stephen Root, Jennifer Schwalbach Smith, John Goodman, Kevin Pollack, Molly Hagan). 27 October 2011: Peter Tupper's birthday. 28 October 2011: Frankenstein Friday. Premiere of film In Time (SF; Justin Timberlake, Johnny Galecki, Cillian Murphy). 29 October 2011: Thrill the World Thriller Dance, 7 PM. [Venue TBA.] "Mark your calendars…!" http://ttwvancouver.com/content/blog/2010/10/thank-you (last paragraph).—Keith Lim 31 October 2011: Halloween. National Magic Day. Increase Your Psychic Powers Day. News-Like Matter Notes from August BCSFA Meeting In attendance were Ray Seredin (host), Graeme Cameron (president), Kathleen Moore (treasurer), Barb Dryer (secretary), Felicity Walker (editor), Joe Devoy, and Julian Castle. Ray saw on Global news that local people are auditioning to be extras in the new Superman movie, playing townspeople. He also noticed some made-up names in the Colbert SuperPAC Crawl of Heroes on The Colbert Report. Joe said that the Colbert Nation likes marijuana, as shown by the size of the word "MARIJUANA" in its word cloud. Ray added that Boris T. Cat is not real. I replied that neither is Munchma Quchi. A correction to "Notes from June BCSFA Meeting," BCSFAzine #458 : El Brendel did save a movie mogul's life, but by having a rare blood type the mogul needed, rather than by reviving the mogul when he was struck by lightning on a golf course. The latter event is how Brendel's character died in Just Imagine. Graeme reported that Taral Wayne had received his tenth Hugo nomination for Best Fan Artist. Graeme outlined the different awards and what types of media were eligible as fanzines. The Hugos currently include podcasts as zines, but there may be a new category created in future. The vote on whether or not to propose to create the category (I think I have that right) will be at the 2012 World Science Fiction Convention. The Auroras allow zines in PDF format as well as blogs. The Faneds (created by Graeme) will be for paper zines only—"plunging furiously backwards in time," Graeme said. Ray declared that "SF is dead on broadcast TV." Joe noted that V and The Event have been cancelled and proposed that "fantasy has replaced SF." Graeme was surprised to read that Johnny Depp had been cast as Tonto in a new Lone Ranger movie. I replied that Depp is part Cherokee, hence his films' heavy rotation in the programming grid of the Aboriginal Peoples Television Network. Graeme added that Jason Momoa, the star of the new Conan movie, is Hawaiian. Someone—I think Barb—said that on Saturday 27 August at 5:00 PM, there would be a barbecue behind the Planetarium, courtesy of the local Browncoats, Trekkers, and Battlestar Galactica fans. Barb asked if anyone had heard about an incident at Brighouse Skytrain Station the day before, in which a person dressed as a zombie was seen walking around with a rifle, and the police were called. I said it sounded like someone who had been to the Zombie Walk, holding a prop rifle. My notes don't say if anyone else had more information. Ray remembered Wacky Packs—trading cards and stickers made by Topps, parodying real products. Kathleen and Joe remembered them too. Ray mentioned trains, this time in the context of the Civil War. Because each train only runs on one gauge (track size), people and cargo have to switch trains every time the track changes gauge. The North only used two different gauges, whereas the South used several, which meant it was slower to transport. Someone—I think Graeme—had new information about Hitler. It was 1931, the early days of the Nazi Party. At the manslaughter trial of four Sturmabteilung members, Hans Litten, a Jewish attorney, subpoenaed Hitler and cross-examined him for hours, using facts and reason to destroy Hitler's claim that the Nazis were peaceful, which caused Hitler to completely blow his composure. Litten refused to leave Germany even after Hitler took over, and Hitler had him arrested, tortured, and sent to several concentration camps. Litten eventually committed suicide in one of the camps. Today, however, the bar association of Berlin is named after Litten, and the BBC has just made a movie of his story: The Man Who Crossed Hitler (2011). This branched into the topics of kitlers (cats that look like Hitler) and Now Show Me Your Belly Button!, a book with photos of politicians with odd expressions, with humourous captions added. Someone asked about Pierre Trudeau, Prime Minister of Canada in the 1960s, 1970s, and 1980s, and Graeme said that when Trudeau and his colleagues were young politicians just starting out, they were not taken seriously by the media. Nevertheless, the media enjoyed covering them, because they were hip, weird, and innovative. They were seen as a novelty, the way that early feminists were; Graeme remembered a "clump" of feminists (as they were described at the time; not by Graeme!) on Johnny Carson's show, who were just there to be comedic fodder. Carson got laughs just by saying "sensible shoes." One thing Graeme didn't like about the Trudeau era was when Defence Minister Paul Hellyer regrouped the Royal Canadian Air Force, Royal Canadian Navy, and Canadian Army into the Canadian Forces, presumably hoping to downplay the English side of Canada's origins. One of the few good things Stephen Harper has done has been to change it back—although, added Kathleen, the army is still called the Canadian Army. Graeme and Kathleen also talked about different military marches. The goosestep, with its high, stiff-legged kicks, seems silly when one person does it, but scary when huge, synchronized groups do it, which many nations' armies still do on ceremonial occasions. It looks like it would really hurt and possibly injure the soldier. The mameluks (medieval Arab slave soldiers who ended up becoming a powerful warrior class) had an unusual three-step march—two steps forward, one step back, in time with music—which was difficult to master but visually impressive. Felicity Walker Sunday 21 August 2011 September Book Discussion Dear Felicity: Here's notice of the next book discussion. Any questions, comments or concerns, you know who to call. Next book discussion is Thursday September 22 @ 7 PM. It's at "The Grind" gallery and coffee house, 4124 Main Street, Vancouver. This time we're discussing Ender's Game by Orson Scott Card. In October, the book is Ender's Shadow by Orson Scott Card. November's book is The Left Hand of Darkness by Ursula K. LeGuin. Doug Finnerty Saturday 27 August 2011 'Reality Skimming' Solicits Content for 'Ethics in SF' Have a gut reaction to a situation in your favorite SF? Or a moral question SF explores you'd like to highlight? Reality Skimming, the Okal Rel Universe blog, is booking features by writers, fans and other interested parties for the 2011–2012 season. We are working with two formats: single posts of about 200 words and serial interviews of 2–4 posts for longer interviews. Posts should aspire to inspire comments. No previous experience (or degree in ethics) required. But do reference any published work sufficiently to identify it. E-mail your idea to email@example.com and firstname.lastname@example.org. Lynda Williams, author http://www.okalrel.org/books.html http://clarionfoundation.wordpress.com/tag/lynda-williams/ Lynda Williams Saturday 3 September 2011 Michael Stern Hart 1947–2011 Michael Stern Hart was born in Tacoma, Washington on March 8, 1947. He died on September 6, 2011 in his home in Urbana, Illinois, at the age of 64. His is survived by his mother, Alice, and brother, Bennett. Michael was an Eagle Scout (Urbana Troop 6 and Explorer Post 12), and served in the Army in Korea during the Vietnam era. Hart was best known for his 1971 invention of electronic books, or eBooks. He founded Project Gutenberg, which is recognized as one of the earliest and longestlasting online literary projects. He often told this story of how he had the idea for eBooks. He had been granted access to significant computing power at the University of Illinois at Urbana–Champaign. On July 4, 1971, after being inspired by a free printed copy of the U.S. Declaration of Independence, he decided to type the text into a computer, and to transmit it to other users on the computer network. From this beginning, the digitization and distribution of literature was to be Hart's life's work, spanning over 40 years. Hart was an ardent technologist and futurist. A lifetime tinkerer, he acquired hands-on expertise with the technologies of the day: radio, hi-fi stereo, video equipment, and of course computers. He constantly looked into the future, to anticipate technological advances. One of his favorite speculations was that someday, everyone would be able to have their own copy of the Project Gutenberg collection or whatever subset desired. This vision came true, thanks to the advent of large inexpensive computer disk drives, and to the ubiquity of portable mobile devices, such as cell phones. Hart also predicted the enhancement of automatic translation, which would provide all of the world's literature in over a hundred languages. While this goal has not yet been reached, by the time of his death Project Gutenberg hosted eBooks in 60 different languages, and was frequently highlighted as one of the best Internet-based resources. A lifetime intellectual, Hart was inspired by his parents, both professors at the University of Illinois, to seek truth and to question authority. One of his favorite recent quotes, credited to George Bernard Shaw, is characteristic of his approach to life: "Reasonable people adapt themselves to the world. Unreasonable people attempt to adapt the world to themselves. All progress, therefore, depends on unreasonable people." Michael prided himself on being unreasonable, and only in the later years of life did he mellow sufficiently to occasionally refrain from debate. Yet, his passion for life, and all the things in it, never abated. Frugal to a fault, Michael glided through life with many possessions and friends, but very few expenses. He used home remedies rather than seeing doctors. He fixed his own house and car. He built many computers, stereos, and other gear, often from discarded components. Michael S. Hart left a major mark on the world. The invention of eBooks was not simply a technological innovation or precursor to the modern information environment. A more correct understanding is that eBooks are an efficient and effective way of unlimited free distribution of literature. Access to eBooks can thus provide opportunity for increased literacy. Literacy, and the ideas contained in literature, creates opportunity. In July 2011, Michael wrote these words, which summarize his goals and his lasting legacy: "One thing about eBooks that most people haven't thought much is that eBooks are the very first thing that we're all able to have as much as we want other than air. Think about that for a moment and you realize we are in the right job." He had this advice for those seeking to make literature available to all people, especially children: "Learning is its own reward. Nothing I can say is better than that." Michael is remembered as a dear friend, who sacrificed personal luxury to fight for literacy, and for preservation of public domain rights and resources, towards the greater good. This obituary is granted to the public domain by its author, Dr. Gregory B. Newby. Project Gutenberg via Dave Haren Sunday 11 September 2011 Cliff Robertson (1923–2011) The actor Cliff Robertson died Saturday, 10 September, the day after his 88 th birthday. He received the 1968 Academy Award for his role in Charly, adapted from Daniel Keyes' Hugo Award-winning short short "Flowers for Algernon" and the Nebula Award-winning novel of the same name. His other appearances included The Twilight Zone ("A Hundred Yards Over the Rim," 1961), Brainstorm (1980), Escape from L.A. (1996), and the Spider- Man trilogy (as Uncle Ben, 2002–2007). In 1977, Robertson uncovered a scandal at Columbia Pictures involving the cashing of fraudulent cheques by the studio head; although it was Robertson who reported these criminal activities, he was effectively blacklisted for three years. Steve Green Wednesday 14 September 2011 Zines Received 'Opuntia' #70.5A (July 2011). Published by Dale Speirs, Box 6830, Calgary, Alberta, Canada, T2P 2E7. Perzine issue. "Hell's Bells No More": Dale has retired, and, like Graeme, is now free to pursue his personal projects full-time. As more fans of that generation retire, we may be treated to an increase in fanac. Credit to Taral for coining the phrase "Retirement Age Fandom." "Visting Mr. Spock's Home": Vulcan—Vulcan, Alberta, that is. I was surprised to read that it was as late as 1995 when the town first decided to up-play its Star Trek connection. It's too bad the Enterprise Family Restaurant has gone out of business. "2011-04-17": A six-lane highway flooded and Dale was able to take a photo, which shows a few drivers ignoring the first-responders' roadblock and trying to plow through the 40-centimeter-high (about 1½-foot) water. I wonder if they made it across or if the water got into their engines. "Glitches in the Papernet": Dale says that landscape format is the only way to go for PDF zines, and it's a hassle to read portrait-format PDFs. I agree that Opuntia's 8½×5½-inch format is perfect for a computer screen, but in my experience, portrait format is also readable as long as the text is single-column; then all the reader has to do is scroll down once. Also: "The Bow Tower"; "Letters to the Editor"; "World Wide Party #18." 'Opuntia' #70.5B (August 2011). Published by Dale Speirs, Box 6830, Calgary, Alberta, Canada, T2P 2E7. Perzine issue. "The Traveling Truss"; "Why the Google Street View Staff Get Ulcers"; "Rocky Mountain Way, June 2011"; "Look What the Tow Truck Dragged In"; "Speaking of Mountain Roads." 'Opuntia' #71 (September 2011). Published by Dale Speirs, Box 6830, Calgary, Alberta, Canada, T2P 2E7. Sercon issue. "Colliding in Cowtown": Dale's report on When Words Collide, a new, strictly literary convention that covers "SF and fantasy but also mystery, historical, and romance fiction." The weekend before the convention, Dale encountered members of a steampunk club at a street festival in his neighbourhood. They hadn't heard of the convention, which for Dale was further proof of the atomization of fandom, which he partly blames on the Internet. Foreshadowing an item in "Seen in the Literature," he writes that "atomized fans only search for their interests, and only blog with their own kind." I think having eclectic interests (like Dale's) reduces a fan's atomization. Not all interests will blend or cross-pollinate, but some will. Dale writes that Robert Sawyer said (in his GOH speech) that in one of his novels he'd re-written the famous William Gibson line as "The sky was the colour of a television set tuned to a dead channel—blue." I remember tweeting that at some point, thinking I'd made an original point. I don't know whether to be disappointed at being scooped or pleased at having thought alike to a professional. I recently discovered, however, that dead channels can still be viewed as snow, but there's a setting in TVs and VCRs that replaces snow with a blue screen, and it's the default setting. The Dead Channels would be a good name for a Television cover band. The Alberta Romance Writers Association's panel title was "Behind Every Great Story Is a Romance." Dale writes that "Billie Milholland said romances are about relationships, so readers drawn into books by characterization will like them." My mileage varies. I like characterization but that doesn't automatically make romance interesting to me. "Seen in the Literature": Passages in scientific journals noticed by Dale. "Emergence of Segregation in Evolving Social Networks" underscores Dale's earlier thoughts upon meeting atomized steampunks. It turns out people prefer to associated with like-minded people. "Costs $20 to Kick Attorney-General": Surprisingly, this was not a crash blossom or garden path headline; this 1908 article, found and reprinted by Dale, is saying that kicking the attorney-general cost a man $20. I learned the word "blatherstike" from this article. Also: "Letters to the Editor." Felicity's Collecting VHS Felicity Walker Introduction. Collecting VHS has become a hobby for me in the last few years. Of course, I'd been doing it for much longer than that, only for the first decade and a half it was just called "collecting movies." But why collect an obselete format? Preservation and Archiving. Some things are available on VHS that aren't available in any other format. Other things are only available in their original, non-reversioned form on VHS (for example, the original Star Wars trilogy). These things should be preserved. True, VCRs start to wear out after two years, and someday it won't be possible to buy a new VCR, but fortunately there are USB VCRs to transfer the information. My friend Amos says that someday this will happen to me. I'll also keep the physical tapes, to save the box art and other styling that would undoubtedly be changed in future rereleases. Affordability and Risk. Collecting VHS is more affordable than ever, and because of that, I can be much more adventurous in my tastes than I could when VHS was new and owning a movie cost $20 and up. For $20, a movie has to be brilliant. For 50¢ to $2, a movie just has to be fun. In the last few years I've bought scores of obscure B-movies on which I never would have gambled if I'd had to pay full price. Nostalgia and Warmth. I'm glad that new technology makes greater precision possible, but I also find new movies too cold, shiny, and sharp. That's partly a result of the tools being used (digital cameras and heavy-handed colour-grading that imposes orange onto faces and blue onto backgrounds) and partly because that's the current style of popular culture. The look of VHS feels right to me, with its slight blurriness and natural colours. (Those colours that weren't natural were at least achieved through physical optics like lighting gels and lens filters, and that seems to have helped.) Movies are probably never going back to this warm, smooth style, and future digital copies of VHS-era movies are likely to be artificially sharpened and colour-graded, with no "unenhanced" option available. Conclusion. Now that that's out of the way, I hope to use this space in future BCSFAzines to show you some of the tapes I've rescued from the abyss. Felicity Walker Sunday 18 September 2011 Art Credits Why You Got This You are a paid subscriber. You trade with us. You carry sample copies of BCSFAzine to advertise us. You bought a copy in person. You contributed. I bought you a copy. You are the club archivist. You are Library and Archives Canada.
Pace Environmental Law Review Volume 34 Issue 2 Spring 2017 April 2017 Friends or Foes? The Problem of South Florida's Invasive Mangroves Kelly J. Cox Miami Waterkeeper Rafael J. Araújo University of Miami, Rosenstiel School of Marine & Atmospheric Science Follow this and additional works at: http://digitalcommons.pace.edu/pelr Part of the Environmental Law Commons, Natural Resources Law Commons, State and Local Government Law Commons, and the Water Law Commons Recommended Citation Kelly J. Cox and Rafael J. Araújo, Friends or Foes? The Problem of South Florida's Invasive Mangroves, 34 Pace Envtl. L. Rev. 463 (2017) Available at: http://digitalcommons.pace.edu/pelr/vol34/iss2/6 This Article is brought to you for free and open access by the School of Law at DigitalCommons@Pace. It has been accepted for inclusion in Pace Environmental Law Review by an authorized administrator of DigitalCommons@Pace. For more information, please contact firstname.lastname@example.org. Article 6 ESSAY Friends or Foes? The Problem of South Florida's Invasive Mangroves KELLY J. COX* & RAFAEL J. ARAÚJO** I. INTRODUCTION As global temperatures warm and seas begin to rise, all eyes are turning to South Florida. What is this low-lying coastal region going to do about climate change? In particular, the Miami-Dade metropolitan area has been widely referred to as "ground zero" for climate change 1 largely because the state's geography, population, and resources make it vulnerable to flooding, sea level rise, erosion, storms, ecological destruction, and many other threats. 2 The City of Miami Beach has already undertaken adaptive measures to address current impacts of sea-level rise by installing flood pumps 3 * Staff Attorney and Program Director for Miami Waterkeeper. I am deeply grateful to Professor Rafael J. Araújo, Daniel Parobok, Susie Cox, Katrina Tomas, Ian Bertschausen, Karen Brown, Casey McCormack, and Dr. Rachel Silverstein for their support and guidance in developing this paper. I also wish to thank the editorial board and dedicated staff of the Pace Environmental Law Review for their work. ** Senior Research Associate and Professor at the University of Miami, Rosenstiel School of Marine & Atmospheric Science, Department of Marine Biology and Ecology. 1. Peter Howard, Miami Takes Center Stage as 'Ground Zero' for Climate Change, U. MIAMI: NEWS & EVENTS (Nov. 13, 2015), http://news.miami.edu/stories/ 2015/11/miami-takes-center-stage-as-ground-zero-for-climate-change.html [http://perma.cc/MG8E-PJFA]. 2. See generally Giselle Peruyera, A Future Submerged: Implications of Sea Level Rise for South Florida, 8 FLA. A & M U. L. REV. 297 (2013) (examining the role of South Florida's environmental policies in combating and adapting to climate change risks). 3. Joey Flechas, Miami Beach Shows Off New Anti-Flooding Pumps, MIAMI HERALD (Sept. 17, 2014, 5:21 PM), http://www.miamiherald.com/news/local/ 1 464 PACE ENVIRONMENTAL LAW REVIEW and elevating roads. 4 The City has even contemplated creating mandatory green spaces so as to reduce impervious surface area and allow for drainage. 5 These measures are viewed as progressive, even preemptive, in a state where the phrase "climate change" is so politicized that it has been banned from use by the highest-ranking state officials. 6 However, climate change impacts in the region pose a very real and substantial threat to both the financial and human capital in South Florida. In Miami-Dade County alone, more than $345 billion and more than 2.6 million people are at risk due to climate change impacts such as flooding and sea-level rise. 7 While adaptation and planning play an important role in preparing South Florida for the "long slow flood," 8 organizations and governments are turning to more natural solutions. For example, a recent partnership between The Nature Conservancy and MiamiDade County seeks to address climate change impacts in South Florida through adoption of "nature-based infrastructure solutions" such as natural mangrove shorelines, coral reefs, wetlands, and dunes to "absorb floodwaters, lessen wave energy and protect coastal residents and assets from the damages caused by storms." 9 community/miami-dade/miami-beach/article2142718.html [https://perma.cc/CE 8S-UKE2]. 4. Joey Flechas, Miami Beach Wants to Fast-Track Work to Battle Sea-Level Rise, MIAMI HERALD (Mar. 11, 2016, 8:27 PM), http://www.miamiherald.com/ news/local/community/miami-dade/miami-beach/article65577892.html [http://perma.cc/3EQJ-WZGH]. 5. See generally Debora Lima, Miami Beach Commission Scraps Most Provisions of Single-Family Home Ordinance, MIAMI HERALD (Jan. 13, 2016, 10:16 PM), http://www.miamiherald.com/news/local/community/miami-dade/miamibeach/article54607275.html [http://perma.cc/79XK-TGYE] (discussing the Commission's reasoning behind setback ordinance, including the conservation of green space to absorb rainwater). 6. Tristam Kortem, In Florida, Officials Ban Term 'Climate Change', MIAMI HERALD (Mar. 8, 2015, 4:00 AM), http://www.miamiherald.com/news/state/florida/ article12983720.html [http://perma.cc/UYC9-GTNU]. 7. The Nature Conservancy Looks to Address South Florida Climate, Catastrophe Risks, INS. J. (Apr. 11, 2016), http://www.insurancejournal.com/news/ southeast/2016/04/11/404765.htm [http://perma.cc/F2KA-E6X9]. 8. Spenser Solis, PIEC Seeks Positive Change for Florida's Environmental Woes, UF L. ENEWS, https://www.law.ufl.edu/enews/042009/piec.shtml [http:// perma.cc/9DVM-6LFM]. 9. The Nature Conservancy Looks to Address South Florida Climate, Catastrophe Risks, supra note 7. http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 465 It is well accepted within the scientific community that of these nature-based solutions, mangroves 10 provide the best form of shoreline protection from wave action. 11 In fact, mature mangrove forests in some locations have been found to reduce wave impact by as much as 20 percent. 12 In Florida, the estimated 469,000 acres of mangrove forests not only protect coastal regions of the state from wave action, but also provide other valuable ecosystem services such as sediment stabilization, nutrient cycling, carbon sequestration, and habitat for marine life. 13 In fact, mangroves are of such importance in Florida that they have received legal protection from the state in order to preserve these vital resources that are valuable to the environment and the economy. 14 In an attempt to foster mangrove growth and to reap the benefits from these ecosystems, many areas of South Florida are undergoing restoration projects to revert shorelines and coastal areas back to their mangrove "roots." 15 These projects evidence how scientific, legal, and political disciplines have taken a multi-disciplinary approach to protecting mangroves. In fact, mangroves are so valuable and effective in stabilizing shorelines, that there is a surge of interest from architects and engineering firms to 10. Mangroves are trees or shrubs that live in the coastal intertidal zone. What is a "Mangrove" Forest?, NAT'L OCEAN SERV., NAT'L OCEANIC ATMOSPHERIC ADMIN., http://oceanservice.noaa.gov/facts/mangroves.html [http://perma.cc/3M KY-LAG6]. 11. Katherine C. Ewel et al., Different Kinds of Mangrove Forests Provide Different Goods and Services, 7 GLOBAL ECOLOGY & BIOGEOGRAPHY LETTERS 83 (1998). 12. Yoshihiro Mazda et al., Mangroves as a Coastal Protection from Waves in the Tong King Delta, Vietnam, MANGROVES & SALT MARSHES 127 (1997). 13. What are Mangroves?, FLA. DEP'T. OF ENVTL. PROT., http://www.dep.state. fl.us/coastal/habitats/mangroves.htm [http://perma.cc/H8ZY-GZYF] (last updated Feb. 12, 2015). See generally Felicia C. Coleman & Laura E. Petes, Getting into Hot Water: Ecological Effects of Climate Change in Marine Environments, 17 SE. ENVTL. L.J. 337, 343-45 (2009) (discussing how temperature changes, sea level rise, ocean acidification, and other environmental changes caused by climate change affect marine organisms). 14. See generally 1996 Mangrove Trimming and Preservation Act, FLA. STAT. §§ 403.9321-403.9333 (1996) (outlining various provisions pertaining to mangroves); Ericson P. Kimbel, The Ecological and Economic Failures of Florida's Mangrove Regulatory Scheme, 5 OCEAN & COASTAL L.J. 23 (2000) (discussing use and non-use values of mangrove ecosystems). 15. See Mangrove Restoration, FLA. INT'L SCH. OF ENV'T, ARTS & SOC'Y, https:// seas.fiu.edu/outreach/community-events/mangrove-restoration [https://perma.cc/ H9M5-AL4X]. 3 PACE ENVIRONMENTAL LAW REVIEW incorporate mangroves with man-made structures (e.g., seawalls) to enhance the already natural capacity of this ecosystem to control erosion. 16 Some of the most striking examples of this concept include the incorporation of mangroves into urban landscapes on Miami Beach to protect the City against impending sea levels 17 and the construction of prototype hybrid floating concrete and natural mangrove structures in Colombia to mitigate erosion on islands and promote mangrove recruitment. 18 A recent global review on the impacts of climate change on mangroves concluded that different regions will experience varying degrees of impacts due to the variability of expected changes in climate (shifts in precipitation, frequency and intensity of storms, droughts, sea level rise, change of ocean currents, increases in CO2 concentrations, etc.) and the variety of types and mangrove assemblages growing in these regions, including different species composition of mangrove forests. 19 In North America and the Caribbean, these changes are dependent upon a predicted higher frequency (and intensity) of tropical storms, sea level rise, changes in patterns of precipitation, and higher temperatures. Located at the land-sea interface, mangroves in this region are expected to expand their ranges poleward (towards North Florida), or migrate into other coastal ecosystems (e.g., the Everglades), provided no natural or urban center barriers are present to prevent this expansion. If rains increase, as is anticipated, along the United States-Mexico border, mangroves may likely begin to thrive in places currently occupied by 16. See generally David Fleshler, Panels of Fake Mangroves May Transform Florida's Seawalls, SUN SENTINEL (Dec. 22, 2016, 10:03 AM), http://www.sunsentinel.com/local/broward/fl-fake-mangroves-20161223-story.html [http://perma .cc/8T22-QN7Y]. 17. Jessica Weiss, Mangroves, Stilts, and Canals Might Just Save South Beach from Rising Seas, MIAMI NEW TIMES (Nov. 20, 2015, 8:00 AM), http:// www.miaminewtimes.com/news/mangroves-stilts-and-canals-might-just-savesouth-beach-from-rising-seas-8062542 [https://perma.cc/XPC9-RMLR]. 18. Natalina Lopez, CEMEX + Aptum Architecture's Floating Concrete Structures Act as Mangroves for Shorelines (Oct. 29, 2016), http://www. archdaily.com/798241/aptum-architectures-floating-concrete-act-as-mangrovesfor-shorelines [https://perma.cc/KM83-SZTG]. 19. Raymond D. Ward et al., Impacts of Climate Change on Mangrove Ecosystems: A Region by Region Overview, 2 ECOSYSTEM HEALTH AND MGMT. 1 (2016). http://digitalcommons.pace.edu/pelr/vol34/iss2/6 4 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 467 unvegetated salt flats. 20 However, a lack of rain may also be of benefit in areas such as Louisiana where marsh diebacks have been linked to droughts, which directly increases the likelihood of mangrove migrations into these ecosystems. 21 Given the services that mangroves provide and the legal protections that mangroves receive, it is shocking to discover that their future existence may be compromised or threatened. Certainly, the greatest threats to mangroves in Florida are from direct and indirect human impacts of development, including pollution and habitat destruction. 22 Mangroves may also be naturally damaged and destroyed from disturbance events such as tropical storms and hurricanes. 23 However, a new threat to native mangroves has recently emerged: the introduction of invasive mangrove species. These non-native species may threaten the ecosystem dynamics of mangrove forests and may alter the natural coastal landscape of South Florida unless eradicated. II. MANGROVES: THE LAW OF THE LAND A. Legal Landscape For many, South Florida in the late 1800s and early 1900s presented two realities. The region was either considered a veritable wasteland of swamp where death by mosquito or heat stroke was nearly certain, or a savvy investment opportunity ripe with tourism potential. 24 Public policy favored the latter and thus, development of the coastal areas quickly became the norm. Cypress swamps, wetlands, and mangrove forests were quickly transformed into farmland, residences, and hotels. 25 The odorous mangrove forests were viewed as barriers to development and 20. See generally Michael J. Osland et al., Freshwater Availability and Coastal Wetland Foundation Species: Ecological Transitions Along a Rainfall Gradient, 95 ECOLOGY 2789 (2014). 21. Karen L. McKee et al., Acute Salt Marsh Dieback in the Mississippi River Deltaic Plain: A Drought-Induced Phenomenon?, 13 GLOBAL ECOLOGY & BIOGEOGRAPHY 65 (2004). 22. What are Mangroves?, supra note 13. 23. Id. 24. MICHAEL GRUNWALD, THE SWAMP: THE EVERGLADES, FLORIDA, AND THE POLITICS OF PARADISE 81-97 (2007). 25. Id. 5 occupants of valuable waterfront property. 26 As such, the mucky forests were cleared, cut, and drained, taking the mosquitos and smell of rotting detritus with them. 27 This policy of rampant coastal development at the expense of mangrove forests was supported until 1984, when the Florida Legislature enacted its first mangrove statutes. 28 The first mangrove protection statutes in Florida coincided with publication of a study by William E. Odum that confirmed the essential role mangroves play in nutrient cycling. 29 Soon thereafter, the Florida Department of Environmental Regulation, now the Florida Department of Environmental Protection (FDEP), adopted the first mangrove protection rules. 30 The early 1990s marked a period of staunch opposition to the mangrove protection rules, which were seen as incredibly complex and confusing, particularly with regards to the sections that governed mangrove trimming. 31 In 1992, Nathanial Reed 32 and other riparian landowners petitioned for an administrative hearing on the rules to determine whether the mangrove trimming laws were valid. 33 As a result of this hearing, the mangrove rules were deemed an invalid exercise of 26. Id., at 172. 27. See Q: What Kind of Swamps Were Filled During the Development of Miami Beach?, HIST. MIAMI (Nov. 13, 2008, 3:00 AM), http://miamiherald.typepad. com/make_miami_history_now/2008/11/q-what-kind-of.html [http://perma.cc/5L8 4-NFFD]; Mangrove Forest Being Cut Down – Miami Beach, Florida, FLA. MEMORY, https://www.floridamemory.com/items/show/27308 [http://perma.cc/W8 5K-WXZY]. 28. Kellyalexis Fisher, Man Let 'em Grow: The State of Florida Mangrove Laws, 73 FLA. BAR J. 58 (1998). 29. See William E. Odum, Dual-Gradient Concept of Detritus Transport and Processing in Estuaries, 35 BULL. OF MARINE SCI. 510 (1984). 30. Fisher, supra note 28, at 58. 31. Id. The Mangrove Protection Rule was met with staunch criticism from riparian owners and developers who found the rule too restrictive. See James Phillips, Mangroves Matter, FLA. SPORTSMAN (May 16, 2011), http://www.florida sportsman.com/2011/05/16/confron_0502_mangroves/ [https://perma.cc/2G5N-RJ 3S]. 32. Nathanial Reed is widely considered to be one of the most influential environmentalists in the burgeoning history of the state of Florida. See Honorary Membership Nomination Narrative: Nathaniel "Nat" Reed, AM. SOC'Y OF LANDSCAPE ARCHITECTS, https://www.asla.org/uploadedFiles/CMS/About__Us/ Honors_and_Awards/Honorary_Membership/2011_Honorary_Members_images/ Reed.pdf [https://perma.cc/234V-U8NJ]. 33. Fisher, supra note 28, at 58-59. http://digitalcommons.pace.edu/pelr/vol34/iss2/6 6 delegated legislative authority and were therefore declared invalid. 34 Following this decision, the 1995 Mangrove Trimming and Preservation Act (MTPA, The Act) was passed, which revised and simplified the mangrove protection laws. The new Act reduced the amount of permitting and paperwork required for trimming mangroves, and in some cases, eliminated such requirements altogether. 35 The original 1995 Act had many opponents, which included many local governments, because it preempted local home rule and municipal permitting powers. 36 Environmental groups were also dismayed at the casual disregard for permitting and relaxed enforcement of mangrove trimming activities. 37 In 1996, the Florida Senate Natural Resources Committee took steps to put "[p]reservation [b]ack [i]nto the Act." 38 This "second wave" of mangrove legislation was supported by a 1992 scientific study by Snedaker et al., which found that mangrove mortality was linked to over-trimming. 39 As a result, the 1996 amendments to the Act tightened restrictions on mangrove trimming by regularly requiring permits, restoring home rule to local governments, 40 prohibiting the use of herbicides on mangroves, specifically outlining trimming standards, 41 and increasing fines for noncompliance. 42 34. Id. 35. Id. at 59. 36. Id. 37. Id. 38. Id. at 60. 39. See Samuel C. Snedaker et al., Recovery of a Mixed-Species Mangrove Forest in South Florida Following Canopy Removal, 8 J. COASTAL RES. 919 (1992). 40. More recent cases have challenged local governments' ability to regulate mangroves and to enforce the Mangrove Act. See Jupiter v. Byrd Family Tr., 134 So. 3d 1098 (Fla. Dist. Ct. App. 2014) ("The Mangrove Act expressly preempts local regulations of mangroves and enforcement unless the local government receives delegation from DEP."). 41. See Kimbel, supra note 14, at 40-41. Generally, property owners may trim, without a permit, existing man- less than six feet from the substrate in maintenance or enhancement groves on their property of 10 feet or less in height to a height of not of their riparian right of view. If the landowner trims 5% or more of gate under Florida Statute section 403.9332. the mangrove to a height of six feet or less, the landowner must miti- 42. Fisher, supra note 28, at 60. Id. 7 III. TOO MUCH OF A GOOD THING: THE PROBLEM WITH INVASIVE MANGROVES A. Native Mangroves in Florida Worldwide, there are approximately 60 species of mangroves, with most of the species occurring in the Indo-Pacific region. 43 In the Western Hemisphere, there are approximately 10 species of mangroves. 44 In the State of Florida, there are three native true 45 mangroves: the red mangrove (Rhizophora mangle), the black mangrove (Avicennia germinans), and the white mangrove (Laguncularia racemosa). 46 Historically, mangrove distribution in Florida has extended along both the Atlantic Ocean and Gulf of Mexico coasts, as far north as the Ponce de Leon Inlet and Cedar Key, respectively. 47 However, recent studies suggest that mangroves may be expanding poleward as a result of climate change and fewer cold days in the year. 48 While a warming climate may increase the ranges and distributions of some mangrove species, it may also constrain those of others. In fact, increasing 43. F. Blasco et al., Recent Advances in Mangrove Studies Using Remote Sensing Data, 49 MAR. FRESHWATER RES. 287, 288 (1998). 44. Id. 45. True mangroves are defined by their strict fidelity to the mangrove environment. They only occur in mangrove forests and do not extend into terrestrial communities. True mangroves play a major role in the structure of the community and they have the ability to form pure stands. True mangroves have morphological specialization that adapts them to their environment including features such as aerial roots and vivipary of the embryo. Further, true mangroves have physiological mechanisms for salt exclusion so growth in sea water is possible. They have taxonomic isolation from terrestrial relatives at the generic level and often to the family or subfamily level. For the purposes of this article, the Buttonwood tree (Conocarpus erectus) is not a true mangrove, but is a mangrove associate species. See Liangmu Wang et al., Differentiation Between True Mangroves and Mangrove Associates Based on Leaf Traits and Salt Contents, J. PLANT ECOLOGY 1 (2010). 46. Odum et al., The Ecology of the Mangroves of South Florida: A Community Profile, U.S. FISH & WILDLIFE SERV. 2 (Jan. 1982). 47. Id. 48. See Kyle C. Cavanaugh et al., Poleward Expansion of Mangroves is a Threshold Response to Decreased Frequency of Extreme Cold Events, 111 PROC. NAT'L ACAD. SCI. 723 (2013). "Mangroves cannot tolerate extreme freezing temperatures and so are generally limited to tropical environments. However, climate change in the form of increasing temperatures has the potential to facilitate increases in mangrove abundance near tropical–temperate transition zones." Id. http://digitalcommons.pace.edu/pelr/vol34/iss2/6 8 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 471 global temperatures over the past century have had tangible impacts on a variety of plants that has resulted in an alteration of reproductive timing and an increase in the risk of loss of genetic diversity. 49 The suggestion that the mangrove distribution in Florida is expanding because of a warming climate may be viewed as good news by coastal planners, resource managers, and local governments. More miles of mangrove coastline provide more protection from rising seas, powerful storms, and stronger wave action to coastal communities in South Florida. 50 In addition, more mangroves means more carbon sequestration. Mangroves have been found to store more carbon dioxide than their terrestrial relatives, making them an important "carbon sponge" to aid in abating our warming climate. 51 However, an increase in mangrove ranges may result in alternative and unanticipated impacts on the ecological stasis of South Florida's ecosystems. To date, such impacts on nutrient loading, bio-chemical composition of wetlands, biodiversity, and wildlife distribution have been virtually unstudied. 52 Further, such a change in ecological conditions opens the door to the growth non-native species, such as invasive mangrove species. B. Invasive Mangroves in Florida The introduction of non-native mangrove species to Florida began with Dr. David Fairchild, a world-renowned American botanist, plant collector, and international explorer. 53 He is credited with the collection, introduction, and propagation of many 49. Alejandro E. Camacho, Assisted Migration: Redefining Nature and Natural Resource Law Under Climate Change, 27 YALE J. ON REG. 171, 180-81 (2010). 50. See Jim Waymer, Could Mangrove Northern Expansion Temper Global Warming?, FLA. TODAY (Jan. 14, 2017, 11:04 AM), http://www.floridatoday.com/ story/news/local/environment/2017/01/14/could-mangrove-northern-expansiontemper-global-warming/94736686/ [https://perma.cc/XLE7-VK44]. 51. Jenny Staletovich, Everglades Mangroves Might Hold Billion-Dollar Fix for Climate Change, MIAMI HERALD (Nov. 25, 2016, 2:34 PM), http://www.miami herald.com/news/local/environment/article117015083.html [https://perma.cc/WF 9Y-XHAZ]. 52. Id. 53. Everglades Biographies: David Grandison Fairchild, EVERGLADES DIG. LIBRS., http://everglades.fiu.edu/reclaim/bios/fairchild.htm [https://perma.cc/N8 VH-962B]. 9 472 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 plant species of economic and aesthetic value from the late 1800s to the mid-1900s. 54 In the 1940s, Fairchild traveled to Indonesia and collected a species of mangrove Bruguiera gymnorrhiza (B. gymnorrhiza). 55 He planted two specimens of this tree at his home in Coconut Grove, Florida – a location that has since been transformed into a botanical garden known as the Kampong. 56 Approximately thirty years later, at the Fairchild Tropical Botanic Garden (Fairchild Garden) located in nearby Coral Gables, Florida, 57 horticulturists planted a second non-native species of mangrove: Lumnitzera racemosa (L. racemosa). 58 For decades, the two non-native mangrove species remained contained in their respective botanical gardens. However, each eventually "escaped" and have since naturalized and spread in and around the Miami-Dade County area. 59 The latter species, L. racemosa, is nearly indistinguishable from Florida's native white mangrove and was first found invading Matheson Hammock Park in 2008. 60 Fairchild Garden horticulturists had planted 14 specimens of L. racemosa in three locations between 1966 and 1971. 61 In 2009, only one of the original specimens remained, but the species had "aggressively spread, growing more densely than native mangroves". 62 By 2010, the invasion in Matheson Hammock had covered nearly 20 acres and approximately 20,000 L. racemosa 54. Id. 55. Jenny Staletovich, The Mystery of South Florida's Runaway Mangroves, MIAMI HERALD (Aug. 25, 2015, 11:41 PM), http://www.miamiherald.com/news/ local/environment/article32404647.html [https://perma.cc/W27K-NT4R]. 56. Id. 57. See Mission & History, FAIRCHILD TROPICAL BOTANIC GARDEN, http:// www.fairchildgarden.org/about-fairchild/mission-history [https://perma.cc/S5KZGMUN]. 58. Staletovich, supra note 55. 59. James W. Fourqurean et al., Are Mangroves in the Tropical Atlantic Ripe for Invasion? Exotic Mangrove Trees in the Forests of South Florida, 12 BIOLOGICAL INVASIONS 2509, 2517 (2009). 60. Staletovich, supra note 55; see also Jennifer Possley, The Long and Winding Road Toward Lumnitzera Eradication: Common Questions and Answers, 5 Everglades Coop. Invasive Species Mgmt. Area Newsl. 2-3 (July 2014), http://bugwoodcloud.org/mura/ECISMA/assets/File/Newsletter14/ECISM A _July2014_newsletter_WEB.pdf [https://perma.cc/3WMV-5P5G]. The authors presented about this issue at the Mangroves and Macrobenthos Meeting in July 2016. Their presentation poster is included with the online version of this article, which is available at: http://digitalcommons.pace.edu/PELR/vol34/iss2/6. 61. Staletovich, supra note 55. 62. Id. http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 473 plants were removed with the first eradication efforts. 63 In 2012, around 17,000 L. racemosa saplings were removed. 64 In 2014, approximately 7,500 saplings were removed and in 2015 only 1,380 saplings were removed from Matheson Hammock Park. 65 While it appears that the problem of the invasive L. racemosa is slowly being controlled, there is other disconcerting news. Fairchild Gardens held a plant sale in the 1970s where 14 specimens of L. racemosa were sold and, unfortunately, there is no record of where each specimen ended up. 66 Moreover, there is a bit of a biological mystery with the seeds of this species. Nearly six years after the last mature L. racemosa tree was uprooted, thousands of seeds are still being found in Matheson Hammock Park and scientists are unsure where they are coming from. 67 We see a similar story line for B. gymnorrhiza. Nearly 90 viable saplings were found in the Kampong botanical garden, motivating the decision to remove the last remaining mature tree. 68 However, six months after the last tree was removed, dozens of new saplings continued to appear. Further investigation by Miami-Dade Coastal Resources revealed that a mature B. gymnorrhiza had established nearly half a mile from the Kampong. 69 Scientists suggest that the Kampong trees had been releasing propagules, floating mangrove seeds, into nearby water bodies for over half a century. 70 South Florida is a hotbed for invasive species, with over 500 non-native species of fish and wildlife and over 1.5 million acres impacted by non-native plants. 71 In fact, South Florida is home to more non-native species than any other region in the United States. 72 This unbridled spread is due in part to the appealing 63. Staletovich, supra note 55. 64. Id. 65. Id. 66. Id. 67. Id. 68. Id. 69. Id. 70. Id. 71. Florida's Exotic Fish and Wildlife, FLA. FISH & WILDLIFE CONSERVATION COMM'N, http://myfwc.com/wildlifehabitats/nonnatives/ [http://perma.cc/HN4R7ERX]. 72. Vegetation and Exotic Control, S. FLA. WATER MGMT. DIST., https://www. sfwmd.gov/our-work/vegetation [http://perma.cc/H2F8-6YX5]. 474 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 subtropical climate of the region, which is ideal for the introduction, establishment, and spread of invasive species. In fact, exotic plant imports throughout Florida account for nearly three-fourths of all plant imports nationwide. 73 The management of those exotics that "escape" has a steep price tag – over $100 million per year. 74 As can be expected, exotic mangrove species enjoy the hospitable South Florida climate as much as the local residents. A 2009 study by Fourqurean et al. attributes the success of L. racemosa and B. gymnorrhiza, despite native competitors, to "the similar environments in tropical American and Indo-Pacific mangrove forests, the close taxonomic relationships between the invaders and native taxa, the species-depauperate flora of tropical American mangroves compared to the Indo-Pacific, and the prevalence of disturbance in the introduction sites." 75 Both species of invasive mangroves have extensive native ranges, broad environmental tolerances, and great dispersal abilities. 76 In fact, B. gymnorrhiza has the broadest natural range of all mangrove species worldwide, which suggests its establishment success in South Florida. 77 According to the Fourqurean study, both species of invasive mangroves are able to adapt and thrive in a wide range of environmental conditions. 78 Further, they both have characteristics of aggressive growth rates and are self-compatible, that is, a single individual from either species has the ability to reproduce. 79 The study postulates that because B. gymnorrhiza at the Kampong was located in close proximity to a body of water, it is likely that the population of this species has expanded throughout Biscayne Bay due to the interconnectedness of the South Florida watershed. 80 However, L. racemosa has been confined to the mosquito ditches of Fairchild Gardens and 73. Florida: Stopping the Spread of Invasive Species, NATURE CONSERVANCY, http://www.nature.org/ourinitiatives/regions/northamerica/unitedstates/florida/h owwework/combating-invasive-species-in-florida.xml [http://perma.cc/Y2U6-EZ 3F]. 74. Id. 75. Fourqurean et al., supra 76. Id. 77. Id. 78. Id. 79. Id. at 2520-21. 80. Id., at 2521. http://digitalcommons.pace.edu/pelr/vol34/iss2/6 note 59, at 2518. 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 475 Matheson Hammock, and therefore, it is unlikely that the outbreak has spread throughout the Miami area. 81 Researchers caution that one major hurricane event could change this confinement because L. racemosa has the ability to reproduce through wind dispersal. 82 The study warns of serious consequences to the spread of these invasive species, including direct impacts to nutrient cycling and food web structure. 83 As such, a precautionary approach to management is necessary to ensure that the entire region does not succumb to a non-native mangrove invasion. 84 The Fourqurean et al. study serves as a delicate word of caution to policy makers and resource managers alike because invasions by non-native species can be extremely costly and bring forth other complex issues. For example, the melaleuca tree (Melaleuca quinquenervia), a non-native tree originally from Australia, has caused extensive damage to natural wetlands in Florida and has proved extremely difficult to eradicate. 85 Since its introduction to Manatee County in 1887 by the U.S. Army Corps of Engineers, the melaleuca tree has caused damage of upwards of $1.7 billion. 86 Moreover, state practice has at best been "ill-defined" with regard to invasive species that also provide a beneficial purpose to human activities. 87 Doctor Sophie Riley discusses the relationship between invasive plant species and bio-fuels, highlighting the "human dimension" of regulating, or not regulating, invasive plants. 88 She notes that "[i]n many cases, disruption of, or interference with, human activities traditionally has been decisive as to whether an alien species is classified and regulated as an invasive alien species, irrespective of the harm that it is causing to 81. Fourqurean et al., supra note 59, at 2519. 82. Id. 83. Id. at 2521. 84. Id. 85. See Frank J. Mazzotti et al., Ecological Consequences of Invasion by Melaleuca quinquenervia in South Florida Wetlands: Paradise Damaged, not Lost, UNIV. OF FLA: IFAS EXTENSION (1997), http://edis.ifas.ufl.edu/uw123 [http:// perma.cc/UX3K-XLDR]. 86. Staletovich, supra note 55. 87. Sophie Riley, A Weed by Any Other Name: Would the Rose Smell as Sweet if it Were a Threat to Biodiversity?, 22 GEO. INT'L ENVTL. L. REV. 157, 159-62 (2009) (discussing how the classification of a species as "invasive" rests largely on that species' utility to humans). 88. Id. 476 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 biodiversity." 89 If human impacts, more specifically economic impacts, commonly drive regulation of invasive species, we must wonder at what point invasive mangroves will reach that threshold? Will a combination of economic and environmental costs trigger regulation, or, can preemptive action take place before impacts get worse? IV. MUCH ADO ABOUT MANGROVES: LEGAL & MANAGEMENT FRAMEWORKS FOR INVASIVE MANGROVES A. The Mangrove Trimming and Preservation Act The Mangrove Trimming and Preservation Act has remained virtually unchanged since the 1996 amendments. The text of the Act specifically defines a mangrove as "any specimen of the species Laguncularia racemosa (white mangrove), Rhizophora mangle (red mangrove), or Avicennia germinans (black mangrove)." 90 The text of the Act has not been altered to reference the existence, let alone impact, of invasive mangrove species in Florida. From a textual, statutory interpretation standpoint, we should go no further. The Plain Meaning Rule 91 and the canon of expressio unius 92 suggest that because the statute specifically defines which mangrove species are under the jurisdiction of the Act, all other species of mangroves are not included for the purposes of protection and preservation. That is, invasive mangrove species are in no way protected under the MTPA. 89. Id. (emphasis added). 90. FLA. STAT. § 403.9325 (2015). 91. KATHARINE CLARK & MATTHEW CONNOLLY, THE WRITING CTR.: GEORGETOWN UNIV. LAW CTR., A GUIDE TO READING, INTERPRETING, AND APPLYING STATUTES (2006), https://www.law.georgetown.edu/academics/academicprograms/ legal-writing-scholarship/writing-center/upload/statutoryinterpretation.pdf [http://perma.cc/2QTK-8Y2X] ("Courts generally assume that the words of a statute mean what an 'ordinary' or 'reasonable' person would understand them to mean."). 92. William N. Eskridge & Philip P. Frickey, Foreword: Law as Equilibrium, 108 HARV. L. REV. 26 app. (1994), as reprinted in The Rehnquist Court's Canons of Statutory Construction, NAT'L CONFERENCE OF STATE LEGISLATORS, http://www.ncsl.org/documents/lsss/2013PDS/Rehnquist_Court_Canons_citation s.pdf [http://perma.cc/2ZKG-6SSW] ("Expressio unius: expression of one thing suggests the exclusion of others."). http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 477 In analyzing the statute's construction, the substantive theory 93 of statutory interpretation would likely yield the same result. The legislative intent of the MTPA is outlined in §403.9323 of the statute: It is the intent of the Legislature to protect and preserve mangrove resources valuable to our environment and economy from unregulated removal, defoliation, and destruction . . . . [T]o provide waterfront property owners their riparian right of view, and other rights of riparian property ownership . . . . [T]o encourage waterfront property owners to voluntarily maintain mangroves, encourage mangrove growth, and plant mangroves along their shorelines. 94 From this excerpt, it is evident that the legislative intent of the MTPA is to protect and preserve mangroves and riparian rights by providing succinct and balanced guidelines to trimming and management. 95 That is to say, protection of invasive mangrove species would be contrary to the statutory intent and the substantive purpose of the Act. However, within the context of invasive species control and eradication, the MTPA only implies that the invasive mangroves are not protected. It in no way mandates or requires their removal through explicit language. B. Existing Administrative Infrastructure There are several players in the invasive plant management game in Florida, but the Florida Department of Agriculture and Consumer Services (DACS) has been delegated the authority by the Legislature to implement and oversee the state's noxious weed and prohibited aquatic plant laws. 96 The Florida Department of 93. LARRY M. EIG, CONG. RESEARCH SERV., STATUTORY INTERPRETATION: GENERAL PRINCIPLES AND RECENT TRENDS (2011), https://www.fas.org/sgp/crs/ misc/97-589.pdf [http://perma.cc/V4YJ-YMKC] (stating that substantive theory of statutory interpretation instructs courts to favor public policy). 94. FLA. STAT. § 403.9323. 95. Kimbel, supra note 14, at 41-42. It is important to note that the legislative intent of this act has two primary components: protecting mangroves and protecting riparian owners' rights. Id. These divergent goals are inherently at odds with one another, and the lack of clarity in the legislative intent informs, or perhaps fails to inform, agency-level decision-making and enforcement. Id. 96. James S. Neal McCubbins et. al., Frayed Seams in the "Patchwork Quilt" of American Federalism: An Empirical Analysis of Invasive Plant Species 478 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 Environmental Protection (FDEP) and the Florida Fish and Wildlife Commission (FWC) are required to adopt the rules created by DACS. 97 These agencies work collectively to address the problem of invasive terrestrial and aquatic plants in the state of Florida. A great example of this delegated authority in action can be seen through the FWC's Invasive Plant Management Section. The Section was established in the late 1800s in response to the spread of non-native aquatic plant species impeding travel and commerce by boat. 98 In 1997, the Invasive Plant Management Section incorporated an Uplands Program to address the increasing threat of exotic terrestrial plant species to native Florida species. 99 This Uplands Program utilizes eleven regional working groups to identify and fund invasive plant species eradication projects on public conservation lands. 100 The Aquatic Plant Management Program, pursuant to the Florida Aquatic Weed Control Act, also allows FWC to "direct the control, eradication, and regulation of Regulation, 43 ENVTL. L. 35, 66 n.227 (2013) ("Florida began implementing noxious weeds regulation as part of its seed laws during the late 1930s. As part of the state Seed Law, the state Plant Board was created and the Commissioner was granted authority to list other species as needed. In 1945, the laws outlawing noxious weeds were reworked, creating primary and secondary noxious weeds. The transition for Florida, moving the noxious weed regulation to an administrative agency, occurred during the early 1960s. The statutes only left a broad definition to guide the Florida State Department of Agriculture and Consumer Services, removing any named species that had appeared in the statutes. Although Florida has a history of concern with weed control, it was not until 1993 that they actually began to take noxious weeds seriously. During their first specific regulation of noxious weeds, Florida banned or restricted more than 50 different species of weeds. The law enabling the weed list prohibited all introduction or release of plant pests and noxious weeds that may affect the plant life of Florida.") (citations omitted). See generally FLA. STAT. ANN. §§ 369.20, 369.25, 581.083 (2016); FLA. ADMIN. CODE ANN. r. 5B-57.006, -64.011 (2016). 97. See FLA STAT. ANN. §§ 369.20, 369.25 (West 2016). 98. Invasive Plant Management, FLA. FISH & WILDLIFE CONSERVATION COMM'N, http://myfwc.com/wildlifehabitats/invasive-plants/#program [http:// perma.cc/C2CE-7Y4F]. 99. Florida Fish and Wildlife Conservation Commission – Invasive Plant Management Section: Annual Reports¸ FLA. INVASIVE SPECIES P'SHIP¸ http://www. floridainvasives.org/success.cfm [http://perma.cc/9VVB-W9G6]. 100. Upland Plant Management, FLA. FISH & WILDLIFE CONSERVATION COMM'N, http://www.myfwc.com/uplandplantmanagement [https://perma.cc/YN G6-MRZF]. See FLA. STAT. § 369.252 (2016) (providing statutory authority for Upland Program). http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 479 noxious aquatic weeds." 101 As one of the lead agencies in the state charged with management, control, and eradication of invasive plant species, FWC heralds itself as the "largest invasive plant management program of its kind in the United States." 102 While this existing agency infrastructure is impressive, it certainly mirrors the vast impacts of invasive plants in Florida. The Florida Department of Agriculture and Consumer Services administers the Florida Noxious Weed List. 103 This list "prohibits listed plants from cultivation, introduction, collection, and transport without a permit" and contains many species that are listed on the federal noxious weed list. 104 The Noxious Weed and Invasive Plant List Review Committee, a DACS-appointed committee, makes listing recommendations based on a plant species' "invasiveness." 105 Private individuals are also permitted to petition DACS for listing or removal of a species pursuant to certain requirements. 106 The most recent update to the Noxious Weed List was in December 2016 and at that time included over 80 parasitic and terrestrial weeds. 107 Among these noxious weeds are common plant invaders such as Brazilian pepper (Schinus terebinthifolius), melaleuca (Melaleuca quinquenervia), and Australian pine (Casuarina equisetifolia). 108 The inclusion of these species, all of which are known coastal or wetland invasive plants that are 101. Scope of Aquatic Plant Management in Florida Waters, UNIV. OF FLA. INST. OF FOOD & AGRIC. SCIS., http://plants.ifas.ufl.edu/manage/developingmanagement-plans/scope-of-aquatic-plant-management-in-florida-waters/ [http://perma.cc/L47G-JTDZ]. 102. Invasive Plant Management, supra note 98. 103. See Introduced, Invasive, and Noxious Plants, U.S. DEP'T OF AGRIC., https://plants.usda.gov/java/noxiousDriver [http://perma.cc/VNL3-UCBN] (listing federal and state noxious weeds). 104. Invasive Non-Native Plant Laws¸ FLA. DEP'T OF AGRIC. & CONSUMER SERVS., http://www.freshfromflorida.com/Divisions-Offices/Florida-ForestService/ Our-Forests/Forest-Health/Invasive-Non-Native-Plants/Invasive-Non-native- LA Plant-Laws [http://perma.cc/Z95P-SPNR]. See generally F. S TAT . § 581.083 (providing statutory authority to DACS to enforce permitting system). 105. McCubbins et al., supra note 96, at 66. 106. FLA. ADMIN. CODE ANN. r. 5B-57.010(1) (2016). 107. FLA. ADMIN. CODE ANN. r. 5B-57.007; see McCubbins et al., supra note 96 (highlighting that Florida has been widely regarded as under-regulated with respect to invasive plant species, relying on private citizens and organizations to petition for listing on the state Noxious Weed List). 108. FLA. ADMIN. CODE ANN. r. 5B-57.007. 480 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 regularly found imposing upon mangrove ecosystems, suggests that it would be appropriate for B. gymnorrhiza and L. racemosa to also be included on this list. Listing would make illegal the sale, cultivation, introduction, collection, and/or transportation of the invasive mangrove species without a permit, 109 which would surely aid in preventing further intentional distribution. However, obtaining a noxious weed listing is more difficult than it may appear at first glance. This is because Florida boasts a very strong, and notorious, aquarium trade. 110 Mangroves are regularly utilized in aquariums as semiaquatic plants to provide habitat for other species. 111 In fact, B. gymnorrhiza is touted as an easy aquarium plant to establish – making it very desirable for aquarists. 112 Commercial promotion of exotic mangrove species for aquariums would make it exceedingly difficult to have these species listed on the Florida Noxious Weed List. 113 Apart from these difficulties, listing the invasive mangrove species on the Noxious Weed List is the necessary first step to curbing their spread and ensuring ultimate eradication. C. Agency Rulemaking: FDEP & the MTPA Pursuant to the Florida Administrative Procedure Act, the Florida Department of Environmental Protection, as a state agency, has the authority to adopt rules "that implement[] or interpret[] the specific powers and duties conferred by the enabling statute." 114 The MTPA grants FDEP regulating authority to oversee management of mangroves in the state of Florida. 115 Under this authority, FDEP has the power to adopt rules to "implement or interpret" its powers and duties, including its 109. Invasive Non-Native Plant Laws, supra note 104. 110. See, e.g., The Lionfish Invasion!: Is the Aquarium Trade to Blame?, NAT'L OCEANIC ATMOSPHERIC ADMIN. OCEAN SERV. EDUC., http://oceanservice. noaa.gov/education/stories/lionfish/lion03_blame.html [https://perma.cc/Y9YGGP9D] (noting that Florida aquarium trade has been identified as cause of devastating lionfish invasion in South Florida and beyond). 111. Staletovich, supra note 55. 112. Id. 113. Id. 114. FLA. STAT. § 120.52(8) (2016). See also Donna E. Blanton, State Agency Rulemaking Procedures and Rule Challenges, 75 FLA. B. J. 1, 34 (2001). 115. FLA. STAT. § 403.9324. http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 481 regulatory powers to manage mangrove habitats. 116 As such, FDEP may choose to address invasive mangroves through the exercise of its rulemaking power. While FDEP is not permitted to adopt retroactive rules intended to clarify existing law, FDEP may enact a prospective rule to address invasive species in wetland or coastal ecosystems. 117 Additionally, the rulemaking process is inclusive in that stakeholders are encouraged to provide public comments on the proposed rule itself. 118 Such a rule would provide an avenue through which FDEP could outline specific objectives and methods for removing invasive mangrove species while protecting the native mangroves and safeguarding riparian owners' rights, all while remaining within the bounds of the MTPA. This alternative provides a way for the mangrove invasion to be controlled, even without listing on the state or federal noxious weed lists. D. Local Ordinances Florida counties, municipalities, and water management districts also have regulatory authority to oversee invasive plant eradication, management, and control. For example, Miami-Dade County provides for "the reasonable and effective control and regulation" of plant species by the County government. 119 This authority allows the County to issue a Prohibited Plant Species list and a Controlled Species list. 120 Similarly, the South Florida Water Management District (SFWMD) has authority to manage invasive plants within their 16-county jurisdictional area. 121 Even local municipalities, such as the City of Miami, have the ability to make considerations in their ordinances for exotic plant species. 122 Perhaps a more direct way to initiate action in the fight against South Florida's exotic mangrove populations would be to petition the County to amend its Prohibited Plant Species and Controlled 116. FLA. STAT. § 120.52(8). 117. FLA. STAT. § 120.54(1)(f). 118. FLA. STAT. § 120.54(7). 119. See MIAMI-DADE COUNTY, FLA., CODE § 19-2 (2011). 120. MIAMI-DADE COUNTY, FLA., CODE §24-49.9; Prohibited Plants, MIAMIDADE CTY. REGULATORY & ECON. RES., http://www.miamidade.gov/environment/ prohibited-plants.asp [https://perma.cc/T3FY-DLTA]. 121. Vegetation and Exotic Control, supra note 72. 122. See generally MIAMI, FLA., CODE § 17 (2010). 482 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 Species lists to include the listing of both B. gymnorrhiza and L. racemosa. While local governments and municipalities have a greater capacity to face the invasive species issue head-on, there are some limits. Namely, these governments are constrained by their geopolitical boundaries which are "artificial limits not respected by invasive plant movements." 123 Local governments may also lack the resources, both economic and scientific, to address these types of invasions. As such, state intervention seems to be the most effective course for regulating and managing the invasive plant problem in Florida. E. Non-Governmental Organizations Florida's NGO community is much more vigilant than its governmental counterpart in addressing the invasive plant issue throughout the state. Namely, the Florida Exotic Pest Plant Council (FLEPPC) is an organization that administers a state-wide comprehensive invasive plant species list every two years. 124 While this is a non-regulatory and non-binding list, many agencies, counties, and other entities rely on this list for invasive plant management guidance. Notably, B. gymnorrhiza and L. racemosa are already listed with FLEPPC. 125 The University of Florida's Institute of Food and Agricultural Sciences (UF IFAS) and its Center for Aquatic and Invasive Plants work closely with FLEPPC and other organizations to ensure that the best science provides 123. McCubbins et al., supra note 96, at 72. 124. See Florida Exotic Pest Plant Council Invasive Plant Lists, FLA. EXOTIC PEST PLANT COUNCIL, http://www.fleppc.org/list/list.htm [https://perma.cc/R45L7EQA]. 125. B. gymnorrhiza is listed as a Category II species and L. racemosa is a Category I species. Category I species are those invasive exotics that are altering native plant communities by displacing native species, changing community structures or ecological functions, or hybridizing with natives. Category II species are those invasive exotics that have increased in abundance or frequency, but that have not yet altered Florida plant communities to the extent shown by Category I species. Importantly, these definitions do not rely on the economic severity or geographic range of the problem, but rather on the documented ecological damage caused. E-mail from Karen Brown, Treasurer, Fla. Exotic Pest Plant Council, to author (Jan. 4, 2017, 03:10 EST) (on file with author). http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 483 the best guidance for species listing and management techniques. 126 Other organizations, such as the Florida Invasive Plant Species Partnership – a collaborative effort between governmental and non-governmental organizations to combat non-native species – are also working on these issues. 127 This partnership contains a Southeast Invasive Upland Plant Working Group, which works to address the spread of these invasive plants in South Florida, 128 but could focus their efforts more narrowly on the growing invasive mangrove issue. These non-governmental organizations can provide a platform wherein the County, the water management districts, state agencies, scientific researchers, non-governmental organizations and other entities could adopt an integrated management framework whereby all entities work collaboratively to implement eradication strategies for the invasive mangrove species in South Florida. F. Models for Management The discovery of exotic mangroves in Florida is not the first instance of a mangrove invasion in the United States. In fact, Hawaii has been dealing with a mangrove invader of its own for some time now: Rhizophora mangle – Florida's own native and beloved red mangrove. Prior to 1900, the Hawaiian archipelago had no mangroves. 129 In 1902, American Sugar Company introduced red mangroves in an attempt to curtail soil erosion in the fields and to stabilize coastal mud flats on the island of Molokai. 130 The red mangroves were so effective that 20 years later, 14,000 more red mangroves were imported from the Philippines. 131 Today, the red mangrove in Hawaii is well- 126. Telephone interview with Karen Brown, Educational Coordinator, UF IFAS (Jan. 4, 2017). 127. See FLA. INVASIVE SPECIES P'SHIP, https://www.floridainvasives.org/ [https://perma.cc/7WJW-UHE6]. 128. See Southeast Invasive Upland Plant Working Group, FLA. INVASIVE PLANT SPECIES P'SHIP, https://www.floridainvasives.org/workinggroups/southeast .html [https://perma.cc/98WM-YDNR]. 129. Staletovich, supra note 55. 130. Id. 131. Id. 484 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 established, found on nearly all of the major islands, and wreaking havoc on the native ecosystems. 132 In particular, the red mangrove contributes to decreased water quality, nutrient loading and anoxia, sedimentation, and hypersalinization. 133 These conditions favor other exotic species, including fish and birds, while excluding native organisms such as corals. 134 Mangroves have also had documented adverse impacts on archaeological resources and their destruction of habitat has imperiled endangered waterbirds. 135 Needless to say, Hawaii's concerns with the eradication of the red mangrove are well-founded. As one can imagine, the red mangrove is not the only invasive species of concern for the archipelago. In fact, B. gymnorrhiza and the mangrove associate Conocarpus erectus have both established self-maintaining populations in Hawaii. 136 Apart from mangroves, Hawaii has a problem with invasive species in general. As such, the Hawaii Invasive Species Council (HISC) was established in 2003 by the state legislature in order to provide cabinet level guidance, coordination, and planning for the eradication and control of invasive species. 137 The Council is in the process of creating an official state "invasive" designation in order to formally define and identify invasive species in Hawaii. 138 Hawaii has numerous statutes and administrative rules governing the control and eradication of invasive species. 139 However, the HISC places Hawaii apart from Florida, which has no government agency or organization devoted specifically and solely to addressing the threats that invasive species pose. While the HISC is still developing regulations to create binding "invasive" designations, at least that work is in progress. In contrast, Florida's Noxious Weed List fails to list many invasive 132. Mangrove: The Invasive Marine Weed Tree, MALAMA O PUNA, http:// www.malamaopuna.org/waiopae.php [https://perma.cc/FGF7-X8JB]. 133. See James A. Allen, Mangroves as Alien Species: The Case of Hawaii, 7 GLOBAL ECOLOGY & BIOGEOGRAPHY LETTERS 61 (1998). 134. Id. 135. Id. at 67. 136. Id. at 61. 137. About, HAW. INVASIVE SPECIES COUNCIL, http://dlnr.hawaii.gov/hisc/ about/ [https://perma.cc/WCF9-7TH4]. 138. Hawaii's Invasive Species Agencies and Policies, HAW. INVASIVE SPECIES COUNCIL, http://dlnr.hawaii.gov/hisc/info/policy/ [https://perma.cc/EH2A-77B6]. 139. Id. http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 485 plant species including the invasive mangroves, which have been known about since 2008. This nonchalant approach to addressing invasive mangrove species in Florida is hardly precautionary. Florida should look to Hawaii and other states 140 with successful invasive species management regimes as models for control and eradication of the invasive mangroves. V. WHERE WE "STAND": FUTURE RECOMMENDATIONS FOR INVASIVE MANGROVES IN SOUTH FLORIDA Ignorance may be bliss when it comes to invasive mangroves, although it does seem that the current status of invasive mangrove species in South Florida is not too grim. The Matheson Hammock invasion is seemingly under control and the Kampong invasion has not caused any other known outbreaks. However, there are some looming uncertainties to be considered. First, we are unsure if there are any other invasions of B. gymnorrhiza in South Florida. Scientists believe that the likelihood of other invasions from the Kampong are extremely high – they just have not found them yet. Second, while the Matheson Hammock invasion is relatively under control right now, one small tropical storm – an all too frequent occurrence in South Florida – would take L. racemosa seeds wherever the wind blows. Third, the impacts on native mangrove ecosystems are simply unstudied and unknown. Even the smallest exotic mangrove invasion could potentially compromise our valuable mangrove ecosystems by impacting nutrient cycling, food web interactions, and shoreline protection due to impacts on forest structure. Finally, the impacts associated with climate change on 140. See, e.g., Cecilia Weibert, Aquatic Invasive Plant Species: Risk Assessments in the State of Michigan 10-12 (Dec. 2015) (unpublished M.P.S. Internship Report, University of Miami) (on file with author) (The state of Michigan may be referred to as a model for invasive species management. In particular, Michigan has had success in management of aquatic invasive species through implementation of its Aquatic Invasive Species Council. Further, Michigan's adoption of the USDA Animal and Plant Health Inspection Service Plant Protection and Quarantine weed risk assessment protocols have provided the state with a means of categorizing risk in order to better identify and catalog invasive species on Michigan's prohibited and restricted species list. This model could be adopted in Florida in order to better categorize risk presented by invasive species and prioritize their removal.). See McCubbins et al., supra note 96, at 7381. 486 PACE ENVIRONMENTAL LAW REVIEW [Vol. 34 native and non-native mangrove species are certainly up for contemplation. Will ranges expand? Will these introduced species dominate in a warming climate? How will the species interact with increased climatic disturbance? Will native species be able to recover? Such a myriad of unknown factors, more than anything, warrants a precautionary approach to management of invasive mangrove species. An essential part of an effective precautionary approach to management of invasive mangrove species requires integration into the legal framework. As such, L. racemosa and B. gymnorrhiza should, at the very least, be listed on the Florida Noxious Weed List. The Mangrove Trimming and Preservation Act should be referenced as the authority by which state and local agencies can engage in eradication and management strategies for these species. Alternatively, state agencies should consider exercising their rulemaking authority to enact a rule under which these invasive species can be more aptly controlled. Additionally, a Florida Invasive Species Council should be established in order to promote horizontal and vertical integration between different levels and areas of government. This council should facilitate invasive species policy in the state by commissioning scientific studies, adopting risk assessment techniques to prioritize eradication, overseeing thoughtful and impactful use of funding, and assisting with planning strategies and management techniques. Finally, localized nuisance abatement control statutes are imperative to effectively respond to this invasion, and the many others that plague South Florida. 141 Florida's mangroves are valued by many for the ecosystem services they provide – both environmentally and economically. However, it is possible that B. gymnorrhiza and L. racemosa are threatening the future of the native mangrove species. In the almost ten years since the discovery of the mangrove invasion in Florida, very little has been done to address and curtail the spread of these species. With the immediate and future threats that climate change poses to our South Florida ecosystems, it is more important than ever to refine our state framework for invasive 141. See generally Bill D. Nelson, Controlling Harmful Non-Native Plants at Local Levels: Private Rights and the Public Good, 4 HASTINGS W.-N.W. J. ENVTL. L. & POL'Y 75 (1997) (analyzing application of state and local tools to control of non-native plant species). http://digitalcommons.pace.edu/pelr/vol34/iss2/6 2017] FRIENDS OR FOES? S. FLORIDA MANGROVES 487 species control and management. The state government, local governments, coastal planners, riparian owners, and nongovernmental organizations must all have a hand in collaborating and addressing the abatement of the spread of invasive mangroves throughout South Florida.
Agricultural and Biosystems Engineering Conference Proceedings and Presentations Agricultural and Biosystems Engineering 7-2013 Concentrations and Size Distributions of Airborne Particulate Matter and Bacteria in an Experimental Aviary Laying-Hen Housing System W. Zheng China Agricultural University Yang Zhao Iowa State University, email@example.com Hongwei Xin Iowa State University, firstname.lastname@example.org Baoming Li China Agricultural University Richard S. Gates University of Illinois at Urbana-Champaign Follow this and additional works at: http://lib.dr.iastate.edu/abe_eng_conf See next page for additional authors Part of the Agriculture Commons, and the Bioresource and Agricultural Engineering Commons The complete bibliographic information for this item can be found at http://lib.dr.iastate.edu/ abe_eng_conf/320. For information on how to cite this item, please visit http://lib.dr.iastate.edu/ howtocite.html. This Conference Proceeding is brought to you for free and open access by the Agricultural and Biosystems Engineering at Iowa State University Digital Repository. It has been accepted for inclusion in Agricultural and Biosystems Engineering Conference Proceedings and Presentations by an authorized administrator of Iowa State University Digital Repository. For more information, please contact email@example.com. Concentrations and Size Distributions of Airborne Particulate Matter and Bacteria in an Experimental Aviary Laying-Hen Housing System Abstract High levels of airborne particulate matter (PM) and bacteria may exist in animal housing, which can be detrimental to the health of animals and workers. The sizes of these bioaerosols determine their aerialtransport behaviors and depositions in the respiratory tracts of animals and humans. However, little is known regarding the size distribution of airborne PM and bacteria in livestock houses, especially alternative animal housing systems that aim to enhance animal welfare, such as aviary hen-housing systems. The study reported here was therefore conducted to characterize the concentrations (both in count and in mass) and size distributions of airborne bacteria (in count) and PM (both in count and in mass) in a pilot-scale welfareoriented aviary laying-hen setting. Thirty-four laying hens were kept in the environmentally-controlled aviary setting (L × W × H = 2.2 × 2.3 × 2.4 m) for 3 months. The hens were given a 16L:8D photoperiod (lights on at 6:00h and off at 22:00h); and access to the litter floor from 12:00h to 22:00h daily. Airborne bacteria and PM were simultaneously sampled for 15 min at 1.5 m height above the litter floor every fourth day at 5:45h, 9:45h, 13:45h,17:45h, and 21:45h. Concentrations of airborne bacteria at six size ranges (0.65-1.1 µm, 1.1-2.1 µm, 2.1-3.3 µm, 3.3-4.7 µm, 4.7-7.1 µm, and >7.1 µm) and the PM concentrations (0.5-20 µm) were determined. The daily mean (±SD) concentrations of PM count, PM mass and total bacterial concentration were, respectively, 1.70 (± 0.66) ×10 7 particles m -3 , 1.12 (± 0.47) mg m -3 and 3.39 (± 2.38) ×10 5 CFU m -3 . Concentrations of PM and total bacteria during the litteraccess period (12:00h-22:00h) were significantly higher than those during the rest of the day when the hens were off the floor (P <0.05). Median diameters for the PM count and mass were, respectively, 2.11 µm and 7.45 µm. PM <10 µm accounted for more than 95% of the total PM count, whereas PM >2.5 µm accounted for more than 90% of the total PM mass. The majority (>95%) of the airborne bacteria were contained in particles >3.3 µm. Airborne bacteria count was positively related to PM mass concentration (P <0.05) with a slope of 3.84(± 2.70) ×10 5 CFU mg -1 PM. Results of the study are useful for improving understanding of transport behaviors of aerosols in the aviary hen setting, assessing potential respiratory risks to humans and animals, and exploring mitigation techniques. Keywords Airborne bacteria, Particulate matter, Cage-free, Size distribution Disciplines Agriculture \| Bioresource and Agricultural Engineering Authors W. Zheng, Yang Zhao, Hongwei Xin, Baoming Li, Richard S. Gates, Y. Zhang, and Michelle L. Soupir An ASABE Meeting Presentation Paper Number: 131619353 Concentrations and Size Distributions of Airborne Particulate Matter and Bacteria in an Experimental Aviary Laying-Hen Housing System 1 W. Zheng 2 , Y. Zhao 1 , H. Xin 1 , B. Li 2 , R. S. Gates 3 , Y. Zhang 3 , M. Soupir 1 Agricultural and Biosystems Engineering, Iowa State University, Ames, IA, USA 2 College of Water Resources & Civil Engineering, China Agricultural University, Beijing, China 3 Department of Agricultural and Biological Engineering, University of Illinois at Urbana-Champaign, Urbana, IL, USA Written for presentation at the 2013 ASABE Annual International Meeting Sponsored by ASABE Kansas City, Missouri July 21 – 24, 2013 Abstract. High levels of airborne particulate matter (PM) and bacteria may exist in animal housing, which can be detrimental to the health of animals and workers. The sizes of these bioaerosols determine their aerialtransport behaviors and depositions in the respiratory tracts of animals and humans. However, little is known regarding the size distribution of airborne PM and bacteria in livestock houses, especially alternative animal housing systems that aim to enhance animal welfare, such as aviary hen-housing systems. The study reported here was therefore conducted to characterize the concentrations (both in count and in mass) and size distributions of airborne bacteria (in count) and PM (both in count and in mass) in a pilot-scale welfare-oriented aviary laying-hen setting. Thirty-four laying hens were kept in the environmentally-controlled aviary setting (L × W × H = 2.2 × 2.3 × 2.4 m) for 3 months. The hens were given a 16L:8D photoperiod (lights on at 6:00h and off at 22:00h); and access to the litter floor from 12:00h to 22:00h daily. Airborne bacteria and PM were simultaneously sampled for 15 min at 1.5 m height above the litter floor every fourth day at 5:45h, 9:45h, 13:45h,17:45h, and 21:45h. Concentrations of airborne bacteria at six size ranges (0.65-1.1 µm, 1.1-2.1 µm, 2.1-3.3 µm, 3.3-4.7 µm, 4.7-7.1 µm, and >7.1 µm) and the PM concentrations (0.5-20 µm) were determined. The daily mean (±SD) concentrations of PM count, PM mass and total bacterial concentration were, respectively, 1.70 (± 0.66) ×10 7 particles m -3 , 1.12 (± 0.47) mg m -3 and 3.39 (± 2.38) ×10 5 CFU m -3 . Concentrations of PM and total bacteria during the litter-access period (12:00h-22:00h) were significantly higher than those during the rest of the day when the hens were off the floor (P <0.05). Median diameters for the PM count and mass were, respectively, 2.11 µm and 7.45 µm. PM <10 µm accounted for more than 95% of the total PM count, whereas PM >2.5 µm accounted for more than 90% of the total PM mass. The majority (>95%) of the airborne bacteria were contained in particles >3.3 µm. Airborne bacteria count was positively related to PM mass concentration (P <0.05) with a slope of 3.84(± 2.70) ×10 5 CFU mg -1 PM. Results of the study are useful for improving understanding of transport behaviors of aerosols in the aviary hen setting, assessing potential respiratory risks to humans and animals, and exploring mitigation techniques. Keywords. Airborne bacteria, Particulate matter, Cage-free, Size distribution Introduction Airborne bacteria are normally associated with particulate matter (PM) in livestock housing environments. Exposure to such airborne PM and bacteria can have negative impacts on the health of the animals and farmers (Whyte et al, 2002; Andersen et al., 2004; Mitchell et al., 2004). Aviary hen-housing system is an alternative egg production system that features certain enrichment elements, such as litter floor, perches and nest boxes. While hen's natural behaviors are accommodated, much higher dust and bacterial concentrations were found in aviary housing systems than in cage housing systems (Ellen et al., 2000; Protais et al., 2003; Hayes et al., 2012). Airborne PM in livestock houses is a carrier of a large variety of microorganisms (Wang et al. 2000; Zhang, 2004; Zhang and Chen, 2006; Lee et al., 2006; Cambra-Lopez et al., 2010). Positive relationships between the airborne PM and bacteria have been previously reported (Bakutis et al., 2004; Lai et al., 2009; Verreault et al., 2010). Airborne PM with different aerodynamic sizes may harbor different colonies of bacteria. Airborne PM larger than 2 µm in diameter was found to contain high amounts of bacteria in livestock houses (Lee et al., 2006). Little information is found on the relationship of airborne PM and bacterial concentrations in aviary laying-hen systems, and the association of bacteria with particle size distributions. Knowledge of size distributions of airborne PM and bacteria in livestock housing is desirable for understanding the transport behaviors of bioaerosols and the health risk to animals and humans, and to improve the control techniques of the housing air environment. Several studies have investigated the size distributions of airborne PM or bacteria in broiler houses and pig houses (Heber et al., 1988; Roumeliotis and Heyst, 2007; Lai et al. 2012). However, with the continued trend toward alternative hen housing and increased use of aviary henhousing systems, baseline information on size distributions of airborne PM and bacteria in such systems is desirable. Investigation of diurnal variations of the airborne PM and bacterial concentrations is also needed for improved environmental management in aviary laying-hen systems. The objective of this research was to characterize the relationship of airborne PM and bacterial concentrations in six aerodynamic size ranges in an experimental aviary laying-hen setting. The size distributions of airborne PM and associated bacteria in the experimental setting and diurnal variations of airborne PM and bacterial concentration were also examined in this study. Materials and Methods Experimental aviary laying-hen setting The 3-month experiment was conducted in a 2.2 × 2.3 × 2.4 m environmentally-controlled chamber at the Livestock Environment and Animal Physiology Laboratory of Iowa State University, IA, USA. Thirty-four 78 week-old (onset age) CV22 laying hens were kept in the environmental chamber that was equipped with an aviary housing system (fig. 1 and fig. 2). A two-tier aviary system (1.8 × 1.0 ×1.75 m) was placed in the chamber and the floor was covered with litter (sawdust + dry manure, 1.8 × 1.8 m). The thickness of the litter (1-2 cm) in the aviary setting was based on that measured at the commercial farm where the hens were procured. Lighting was scheduled to be on at 6:00h and off at 22:00h (16L: 8D). Hens were given access to the litter from 12:00h to 22:00h (10 h) of each day. The feeders, drinkers, perches, and a nest box (0.6 × 0.5 × 0.5 m) were provided in the colony cage, and the resource allowance is listed in table 1. A negative-pressure ventilation system was used that consisted of a variable-speed sidewall exhaust fan and a ceiling air inlet. A manure collection tray was placed under the cage colony and the collected manure was scraped off and removed every 4 days. The authors are solely responsible for the content of this meeting presentation. The presentation does not necessarily reflect the official position of the American Society of Agricultural and Biological Engineers (ASABE), and its printing and distribution does not constitute an endorsement of views which may be expressed. Meeting presentations are not subject to the formal peer review process by ASABE editorial committees; therefore, they are not to be presented as refereed publications. Citation of this work should state that it is from an ASABE meeting paper. EXAMPLE: Author's Last Name, Initials. 2013. Title of Presentation. ASABE Paper No. ---. St. Joseph, Mich.: ASABE. For information about securing permission to reprint or reproduce a meeting presentation, please contact ASABE at firstname.lastname@example.org or 269-932-7004 (2950 Niles Road, St. Joseph, MI 49085-9659 USA). Table 1. Resource allowance in the aviary laying-hen setting. [a] Only the perches in the cage colony were included. Figure 1. A cross-sectional view of the aviary laying-hen setting. Experimental design Concentrations and size distributions of airborne bacteria and PM in the aviary laying-hen setting were measured at 1.5 m height above the litter floor (fig. 1). The airborne PM and total bacteria were simultaneously sampled at 5:45-6:00h, 9:45-10:00h, 13:45-14:00h, 17:45-18:00h, and 21:45-22:00h every fourth day (6 repetitions in total). Airborne bacteria sampling and analysis A bioaerosol impactor (Six-Stage Viable Andersen Cascade impactor; Thermo Fisher Scientific Inc., Franklin, MA, USA) was used for sampling airborne bacteria in this experiment. The impactor collects airborne microorganisms using an agar Petri dish in each of its six stages, which differentiate the collected microorganisms according to their size. From the first to sixth stages of the impactor, airborne microorganisms in the sizes of >7.1 µm, 4.7-7.1 µm, 3.3-4.7 µm, 2.1-3.3 µm, 1.1-2.1 µm and 0.65-1.1 µm were collected. The impactor was operated at an air flow rate of 28.3 L min -1 calibrated using a rotameter (Dwyer RMC-123-SSV Rate-Master Flow Meter; Michigan City, IN) before the experiment. Each Petri dish was filled with 27 mL of sterilized nutrient agar (Trypticase Soy-Yeast Extract Agar, Fisher Scientific, Pittsburgh, PA, USA). After sampling, each Petri dish with airborne bacteria collected on the medium was immediately rinsed with 2 mL sterilized 0.9% physiological saline using a sterilized spreader for three times in a biosafety cabinet following the same method described by Zhao et al. ( 2011b). The rinsing-off liquid received 20 µL of Tween 85 (Fisher Scientific, Pittsburgh, PA, USA) to disrupt any cell-particle aggregates (Krometis et al., 2009) followed by 30 s of vortex mixing at a speed of 3000 rpm. The volume of the rinsing-off liquid sample was recorded. The liquid sample was then serially diluted (1:10) in physiological saline and 0.5 mL of the original and the diluted samples were plated in duplicate on TSA agar. Then the Petri dishes and the glass Petri dish used in the impactor were incubated at 37ºC for 24 h. After incubation, colonies in the Petri dishes with 30-300 colonies are numerated. The airborne bacteria concentration in each range was calculated using equation 1. The airborne bacteria concentrations calculated based on the duplicate counting were averaged. Where C = airborne bacteria concentration at one of the six size range (colony-forming unit, CFU m -3 ) N1 = number of colonies in a Petri dish with 30-300 colonies where 10 -a liquid sample is cultured (CFU) V 1 = total volume of 10 0 liquid sample (mL) a = dilution factor of the rinsing-off liquid V2 = volume of 10 -a liquid sample cultured plated on TSA agar (0.5 mL) N2 = number of colonies in the Petri dish used in the impactor (CFU) Q = airflow rate through the impactor with the Petri dishes (28.3 L min -1 = 0.0283 m -3 min -1 ) t = sampling duration (15 min). Airborne PM measurement The count concentration of airborne PM was determined at 5-min intervals using an Aerodynamic Particle Sizer (APS) spectrometer (Model 3321, TSI Inc., Shoreview, MN, USA) which measured the particles count concentration in 51 channels (or consecutive size range) over the size range from 0.523 to 20.535 µm with lower limits of 0.523, 0.562, 0.604, 0.649, 0.698, 0.750, 0.806, 0.866, 0.931, 1.000, 1.075, 1.155, 1.241, 1.334, 1.433, 1.540, 1.655, 1.778, 1.911, 2.054, 2.207, 2.371, 2.548, 2.738, 2.943, 3.162, 3.398, 3.652, 3.924, 4.217, 4.532, 4.870, 5.233, 5.623, 6.043, 6.494, 6.978, 7.499, 8.058, 8.660, 9.306, 10.00, 10.746, 11.548, 12.409, 13.335, 14.330, 15.339, 16.548, 17.783, and 19.110 µm. The PM mass concentration in different size rage was also given by APS. Data analysis The daily average PM count concentration, PM mass concentration and bacterial concentration were calculated based on the 30 measurements for 5 different sampling periods. For each of the 5 sampling period, airborne bacterial concentrations (in the entire size range, >0.65 µm for bacteria and 0.65-20µm for PM) on the 6 sampling days were averaged. Statistical analysis was performed using the Statistical Analysis System (SAS 9.2, SAS Institute Inc., Cary, NC, USA). Tukey's test was used to determine the significant differences among the means of airborne bacterial concentrations for the 5 sampling periods at the 5% significance level. The same methodology was used to investigate the diurnal airborne PM mass concentration variations. The count and mass PM concentrations measured by APS in all ranges were averaged and plotted, as is, to show the concentration distributions of PM. Since the 51 different size ranges in which airborne PM was measured by APS are not of the same width, it is necessary to present standardized fractions in line graphs. Therefore, a spectrum of standardized PM fraction in these ranges, i.e., fraction distribution, was derived and plotted as well. The midpoint diameter was given in each size range by the APS, which is used in the distributions of standardized PM count and mass fraction. The standardized PM count and mass fraction of a size range was calculated using equations 2 and 3, respectively: Where f i,count = PM count fraction of the i th size range (µm -1 ) ni = particle population of the i th size range (particles m -3 ) ∆di = the i th size range (µm) N = total particle population of all size ranges (particles m -3 ) fi,mass = PM mass fraction of the i th size range (µm -1 ) mi = particle weight of the i th size range (mg m -3 ) M = total particle weight of all size ranges (mg m -3 ). The count median diameter (CMD) and mass median diameter (MMD) of PM over the size range of 0.52320.535 µm were calculated by equations 4 and 5, respectively: Where CMD = PM count median diameter (µm) Ni = PM count number in the i th size range (particles m -3 ) MDi = midpoint diameter of PM in the i th size range (µm) N = total particle population of all size ranges (particles m -3 ) MMD = PM mass median diameter (µm) ) Mi = PM mass concentration in the i th size range (mg m -3 M = total PM mass of all size ranges (mg m -3 ). To investigate the relationship between PM and airborne bacteria, concentrations of PM in the similar size range as the bacteria (i.e. 0.65-1.1 µm, 1.1-2.1 µm, 2.1-3.3 µm, 3.3-4.7 µm, 4.7-7.1 µm, and 7.1-20 µm) were calculated. PM count and mass concentrations in the range of 0.65-1.1 µm were calculated using equation 6 and equation 7, respectively. PM count and mass concentrations in ranges of 1.1-2.1 µm, 2.1-3.3 µm, 3.3-4.7 µm, 4.7-7.1 µm, and 7.1-20 µm were calculated similarly. These values were averaged based on the 30 measurements. Where N0.65-1.1, N0.649-1.075, N0.649-0.698, N0.604-0.649, N1.075-1.555, and N1.000-1.075 = PM count concentrations in the range of 0.65-1.1 µm, 0.649-1.075 µm, 0.649-0.698 µm, 0.604-0.649 µm, 1.075-1.555 µm, and 1.000-1.075 µm, respectively (particles m -3 ) MD0.649-0.698, MD0.604-0.649, MD1.075-1.555, and MD1.000-1.075 = PM midpoint diameters in the range of 0.649-0.698 µm, 0.604-0.649 µm, 1.075-1.555 µm, and 1.000-1.075 µm, respectively (µm) DL1 and DL2 = lower and upper diameter boundaries of the size range for bacteria, i.e. 0.65 µm and 1.1µm M0.65-1.1, M0.649-1.075, M0.649-0.698, M0.604-0.649, M1.075-1.555, and M1.000-1.075 = PM mass concentrations in the range of 0.65-1.1 µm, 0.649-1.075 µm, 0.649-0.698 µm, 0.604-0.649 µm, 1.075-1.555 µm, and 1.000-1.075 µm, respectively (mg m -3 ). The percent of PM count and mass in each size range to those in the entire size range (0.65-20 µm) was calculated using equation 8 and equation 9: Where Pi,count = percent of i th size range in the entire size range in count and in mass (%) Ni = number of PM count in the i th size range (particles m -3 ) N = sum of PM count in the entire size range (particles m -3 ) Pi,mass = percent of i th size range in the entire size range in count and in mass (%) Mi= PM mass in the i th size range (mg m -3 ) M = sum of PM mass in the entire size range (mg m -3 ). For each size range of 0.65-1.1 µm, 1.1-2.1 µm, 2.1-3.3 µm, 3.3-4.7 µm, 4.7-7.1 µm, and >7.1 µm (7.1-20 µm for airborne PM), airborne PM and bacterial concentrations based on the 30 measurements (5 times for each day, 6 days total) were recorded, respectively. To investigate the relationship between airborne PM and bacterial concentration, bivariate correlation analysis was performed using SAS software (SAS 9.2, SAS Institute Inc., Cary, NC, USA) at the 5% significance level. Linear regression equations were produced with Microsoft Excel software (Microsoft Corporation, Redmond, WA, USA). The bacterial concentrations related to airborne PM mass in each size range were calculated using equation 10. For each size range, the bacterial concentrations related to airborne PM mass based on 30 measurements were averaged. Statistical analysis was performed using the SAS (SAS 9.2, SAS Institute Inc., Cary, NC, USA). Tukey's test was used to determine the significant differences among the means of airborne bacterial concentrations related to airborne PM weight in the 6 size ranges at 5% significance level. Where Ci = bacterial concentration related to airborne PM mass in the i th size range (CFU mg -1 ) Cb = airborne bacterial concentration in the i th size range (CFU m -3 ) Cp = airborne PM concentration in the i th size range (mg m -3 ). Results and Discussion Thermal Environment During the experiment, ventilation rate was maintained at about 3.0 m 3 h -1 per bird. Air temperature was from 19.0°C to 26.3°C (averaging 21.6 °C), and relative humidity was from 22% to 68% (averaging 37%) in the environmental chamber. Concentrations of Airborne PM and Bacteria Total Concentration The daily average PM count concentration, PM mass concentration and bacterial concentration were 1.70 (± 0.66) ×10 7 particles m -3 , 1.12 (± 0.47) mg m -3 and 3.39 (± 2.38) ×10 5 CFU m -3 , respectively. Diurnal Variations of Airborne PM and Bacteria Concentrations As shown in figure 4, the airborne PM and total bacterial concentrations showed similar diurnal patterns during the sampling periods. The highest average airborne PM and total bacterial concentrations were found at 13:4514:00h, followed by 17:45-18:00h, 21:45-22:00h, 9:45-10:00h, and 5:45-6:00h. The airborne PM and total bacterial concentrations during the litter-access period (12:00h-22:00h) were significantly higher than those during the off-litter period (P < 0.05). Bird activity is a major cause of airborne PM concentration changes in poultry houses (Heber et al., 2006; Mitchell et al., 2004; Zheng et al., 2012). Litter is a major source of airborne PM and bacteria (Vucemilo et al., 2007, Zhao et al. 2013). Barker et al. (2010) reported aerobic bacterial concentration in the poultry litter was more than 7.0 log10 CFU g -1 . These high concentrations of airborne bacteria and PM during the litter-access period are attributable to the high bird activities on litter. Figure 4. Diurnal variations of airborne PM and bacterial concentrations of the experimental aviary hen housing. Vertical bars represent SE. Vertical bars labeled with different letters in the same series indicate significant difference (P < 0.05). Size Distributions of Airborne PM and Bacteria Particulate Matter (PM) Size distributions of airborne PM in count and in mass (0.523-20.535 µm) are shown in figure 5 and figure 6, respectively. It is apparent that the two distributions differ considerably. The standardized count fraction was high in the size range of 0.523-1.0 µm, and then reduced with increasing diameter. Specifically, PM1, PM1–2.5, PM2.5–10, and PM10-20 accounted for 26.6%, 28.5%, 42.4%, and 2.5% over the range of 0.523-20.535 µm, respectively, with PM2.5 dominating the distribution (55.1%). Lai et al. (2012) reported particle counts in animal houses accounted for 87% in the size range of < 1.0 µm. The high PM1-10 proportion in aviary hen housing results from the presence and use of litter by the hens for scratching and dust-bathing. Over the entire size range of 0.523-20.535 µm, the PM count had a median diameter of 2.11 µm, the PM mass had a median diameter of 7.45 µm. Airborne bacteria Concentrations of PM count, PM mass, and airborne bacteria in each sub-size range and the corresponding percentage of each sub-range relative to the entire size range are listed in Table 2. The distributions of PM count were by and large uniform, with the exceptions of the lower (0.65-1.1 µm) and upper (7.1-20 µm) subranges accounting for a larger and smaller proportion (24.7%, 8.0%), respectively. In contract, the distributions of PM mass depended on the particle size, with the smaller diameter range having the least share (0.1%) and the largest diameter range having the most share (61.5%). As shown in Table 2, size distribution of airborne bacteria essentially mirrored PM mass distribution. This result was consistent with the study done for pig housing by Zhao et al. (2011a) who found that airborne bacteria were predominantly associated with particles >3.3 µm. It is speculated that airborne PM (carriers of airborne bacteria) with larger aerodynamic sizes and higher mass contain more bacteria. Table 2. Size distributions of airborne bacterial concentration, airborne PM mass, and PM count concentration in the six ranges. [a] The size range of airborne PM is 7.1-20 µm. Relationship between Airborne PM and Bacteria The airborne bacteria concentration (Colony Forming Units or CFU m -3 ) and PM mass concentration (mg m -3 ) followed linear relationships (P < 0.05) for all the ranges. No significant differences in such relationships were detected among the sub-ranges; hence the data were pooled to plot the relationship for the entire range (fig. 7). Airborne PM is considered as the carrier of airborne bacteria, and airborne PM in livestock buildings contains a large variety of bacteria (Zhang and Chen, 2006; Lee et al., 2006). PM >20 µm was not detected in this experiment due to the instrument limit, realizing that PM >20 µm can be hardly suspended in the air. It has been demonstrated that the overall PM spectrum is contained within the range of 0.015-20 µm (Gloster et al., 2007). PM of 7.1-20 µm was taken as PM >7.1 µm when assessing the relationship between airborne PM and bacteria concentrations in this study. As shown in Table 3, specific bacterial concentration related to airborne PM mass was 3.84 (± 2.70) ×10 5 CFU mg -1 . It shows that equal mass of airborne PM (0.65-20 µm) would carry similar amount of airborne bacteria. Figure 7. Relationship between airborne bacterial concentration and airborne PM concentration in the range of 0.65-20µm. Values reported as means ± standard deviation (n=30, n=180 for >0.65 µm). No significant differences detected among the sizes (P > 0.05). Conclusions This study demonstrates that airborne bacteria concentration and airborne PM mass concentration follow linear positive relationships in the aerodynamic size range of 0.65-20 µm in the aviary laying-hen house setting (P < 0.05). Specific bacteria concentration relative to airborne PM mass was found to be 3.84 (± 2.70) ×10 5 CFU mg -1 , being independent of the size ranges under consideration (0.65-20 µm). PM and total bacterial concentrations during the litter-access period (12:00h-22:00h) were significantly higher than those during the off-litter period (P < 0.05). Airborne PM of 0.65-1.1 µm and 7.1-20 µm accounted for highest and lower percentage (24.7% vs. 8.0%) in the total particle count, respectively. The size distribution of airborne bacteria closely follows the PM mass distribution. Airborne PM mass of 3.3-20 µm in size and airborne bacteria of >3.3 µm in size were the respective majority. Acknowledgements This study was funded in part by the USDA-NIFA Program (Award number 2011-67021-20223), Midwest Poultry Research Program, China Agricultural Research System (CARS-41), and Iowa State University. References Andersen, C. I., S. G. Von Essen, L. M. Smith, J. Spencer, R. Jolie, and K. J. Donham. 2004. Respiratory symptoms and airway obstruction in swine veterinarians: A persistent problem. Am. J. Ind. Med. 46(4): 386-392. Bakutis B., E. Monstviliene, and G. Januskeviciene. 2004. Analyses of airborne contamination with bacteria, endotoxins and dust in livestock barns and poultry houses. Acta Vet. Brno 73: 283–289. Cambra-López, M., A. J. A. Aarnink, Y. Zhao, S. Calvet, A. G. Torres. 2010. Airborne Particulate Matter from Livestock Production Systems: A Review of an air pollution problem. Environ. Pollut. 158 (1): 1-17. Barker, K. J., J. L. Purswell , J. D. Davis , H. M. Parker , M. T. Kidd , C. D. McDaniel, and A. S. Kiess. 2010. 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Personal exposure to airborne dust and microorganisms in agricultural environments. J. Occup. Environ. Hyg. 3(3):118-130. Mitchell, B. W., L. J. Richardson, J. L. Wilson, and C. L. Hofacre. 2004. Application of an electrostatic space charge system for dust, ammonia, and pathogen reduction in a broiler breeder house. Appl. Eng. Agric. 20(1): 87-93. Protais, J., S. Queguiner, E. Boscher, J. C. Piquet, B. Nagard, and G. Salvat. 2003. Effect of housing systems on the bacterial flora of the air. Br. Poultry Sci. 44(5): 778-779. Roumeliotis, T. S., and B. J. V. Heyst. 2007. Size fractionated particulate matter emissions from a broiler house in Southern Ontario, Canada. Sci. Total Environ. 383(1-3): 174-182. Verreault, D., V. Létourneau, L. Gendron, D. Massé, C. A. Gagnon, C. Duchaine. 2010. Airborne porcine circovirus in Canadian swine confinement buildings. Vet. Microbiol. 141(3-4):224-230. Vucemilo, M., K. Matkovic, B. Vinkovic, S. Jaksic, K. Granic, and N. Mas. 2007. 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Gaines Charter Township 8555 Kalamazoo Ave SECaledonia MI 49316 PH: 616 698-6640Fax: 616 698-2490 www.gainestownship.org Building Department MINIMUM QUALIFICATIONS for SPECIAL INSPECTORS Fabricators, Special Inspection Agencies, Testing Labs and Laboratory Technicians FABRICATORS A. FABRICATORS A.1. Fabricators: Not Registered or Approved (MBC 2012 Section 1704.2.5.1) The designated Special Inspector and/or Special Inspection Agency inspecting the Fabricator Shop for compliance with Section 1704.2.5.1 of the Michigan Building Code 2012 (MBC 2012) shall be preapproved by the Building Department for the specified Category of the fabrication prior to Building Permit issuance. See the specific Category information for minimum qualifications criteria: - For Structural Steel – See Category B - For Concrete – See Category C - For Structural Wood – See Category E A.2. Fabricators: Registered and Approved (MBC 2012 Section 1704.2.5.2) Special Inspections are not required for work done on the premises of a registered and approved Fabricator that has a current accreditation from the International Accreditation Services (IAS), a current certification from a nationally recognized organization, or an equivalent certification. Equivalencies are subject to review and acceptance by the Building Department and shall be performed by an approved Special Inspection Agency in accordance with applicable provisions of Sections 1703 and 1704.2.5.2 of the MBC 2012. The following National Fabricator Certifying Organizations are recognized and acceptable by the Gaines Charter Township Building Department: - The American Institute of Steel Construction (AISC) for Fabricators of Structural Steel - American Steel Joist Institute (SJI) for Fabricators of Steel Joists - Precast/Pre-stressed Concrete Institute for Fabricators of Precast and Prestressed Concrete - Truss Plate Institute (TPI) for Fabricators of Wood Trusses B. STRUCTURAL STEEL B. 1. Steel – High Strength Bolting: The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. Date: 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current International Code Council (ICC) Certification as a Structural Steel and Bolting Special Inspector. 2. Current American Welding Society (AWS) Certification as a Certified Welding Inspector (CWI). 3. Current AWS Certification as a Certified Associate Welding Inspector (CAWI). B.2. Steel – Welding: The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. 5 Years Minimum. Minimum Certification Requirements: 1. Current Certified Welding Inspector from the American Welding Society. 2. Current ICC Certification as a Structural Steel and Welding Special Inspector. B.3. Steel – Nondestructive Testing (NDT): The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. As required for The American Society of Nondestructive Testing (ASNT) Level II Certification. Minimum Certification Requirements: 1. Personnel qualified in accordance with nationally-recognized NDT personnel qualifications practice or standard, such as ANSI/ASNT-CP-189 NDT or SNT-TC-1a NDT. 2. American Society of Nondestructive Testing (ASNT) Level II and a minimum of 120 hours of relevant testing experience or training as determined and approved by an ASNT Level III. B.4. Steel – Structural Cold-Formed Steel: The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience (see Note 1 below). 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Commercial Building Inspector. 2. Current ICC certification as a Residential Building Inspector. C. CONCRETE CONSTRUCTION C.1. Concrete – Reinforced Concrete: The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Reinforced Concrete Special Inspector. 2. Current American Concrete Institute (ACI) certification as a Concrete Construction Special Inspector. 3. Current ACI certification as a Concrete Field Testing Technician Grade 1. C.2. Concrete – Pre-Stressed/Precast: The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Pre-stressed Concrete Special Inspector and as a Reinforced Concrete Special Inspector. 2. Current ACI certification as a Concrete Construction Special Inspector. 3. Current ACI certification as a Concrete Field Testing Technician Grade 1. C.3. Concrete – Post-Installed Structural Anchor in Concrete: The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Reinforced Concrete Special Inspector 2. Current ICC certification as a Commercial Building Inspector or Residential Building Inspector. 3. Current ACI certification as a Concrete Construction Special Inspector. 4. Current ACI certification as a Concrete Field Testing Technician Grade 1. D. MASONRY CONSTRUCTION The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Structural Masonry Special Inspector. E. STRUCTURAL WOOD CONSTRUCTION The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience (see Note 1 below). 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Commercial Building Inspector. 2. Current ICC certification as a Residential Building Inspector. F. SOILS INSULATION & FINISH SYSTEMS (EIFS) The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience (see Note 1 below). 4 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Soils Special Inspector. 2. Current National Institute for Certification in Engineering Technologies Level II (NICET II) certification (geotechnical or construction or construction material testing or soils). G. DRIVEN DEEP FOUNDATIONS H. CAST-IN-PLACE DEEP FOUNDATIONS I. HELICAL PIERS The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience (see Note 1 below). 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current NICET II certification (geotechnical or construction or construction material testing or soils). J. SPRAYED FIRE-RESISTANT MATERIALS (SFRM) K. MASTIC & INTUMESCENT FIRE-RESISTANT COATING The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC Spray-Applied Fireproofing Special Inspector. 2. Current ICC Fire Inspector I. L. EXTERIOR INSULATION& FINISH SYSTEMS (EIFS) The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current Association of Wall and Ceiling Industry (AWCI) EIFS Inspector. 2. Current ICC certification as a Commercial Building Inspector. 3. Current ICC certification as a Residential Building Inspector. L. EXTERIOR M. FIRE RESISTANT PENETRATIONS & JOINTS The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience. 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Underwriters Laboratories (UL) Firestop Examination. 2. Factory Mutual (FM) Firestop Examination. N. SMOKE CONTROL SYSTEMS The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience (see Note 1 below). 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current Associated Air Balance Council (AABC) Technical Certification. Note: Special Inspectors for Smoke Control shall also have expertise in Fire Protection Engineering, Mechanical Engineering, and shall be certified as Air Balancers. O. SPECIAL CASES DETERMINED BY THE BUILDING DEPARTMENT The Special Inspector shall comply with at least one of the Education and Experience Requirements and at least one of the Certification Requirements noted below: Minimum Education and Experience Requirements: 1. Michigan Professional Engineer or Michigan Registered Architect and a minimum of three months of relevant work experience (see Note 1 below). 2. Bachelor of Science Degree in Engineering, Architecture, or Physical Science and a minimum of six months of relevant work experience. 3. Two years of verified college or technical school and a minimum of one year of relevant work experience. 4. High school or equivalent graduate and a minimum of two years of verified relevant work experience. 5. A minimum of three years of verified relevant work experience. Minimum Certification Requirements: 1. Current ICC certification as a Commercial Building Inspector. 2. Current ICC certification as a Residential Building Inspector. SPECIAL INSPECTOR IN TRAINING The intent of this provision is to provide practical opportunities for a Special Inspector in Training to gain the needed experience to qualify as a Special Inspector. An Inspector who does not meet the qualifications for a Special Inspector may be allowed to perform a "Special Inspection" at the discretion of the Special Inspection Agency's Responsible Professional Engineer, provided one or more of the following conditions have been met: - The individual is working under the direct and continuous supervision of a Special Inspector fully qualified for the type of work involved. - The individual is working under the indirect and periodic supervision of a Special Inspector, and the scope is minor and/or routine and within the capabilities of the individual. - The individual is specifically approved by the Building Department. The individual shall be declared in the Statement of Special Inspection and will be given one year to obtain all requirements to qualify as a Special Inspector in the Category of Special Inspection or testing involved. SPECIAL INSPECTION AGENCY QUALIFICATIONS The Special Inspection Agency shall comply with at least one of the Requirements noted below: - An Agency that maintains current International Accreditation Services accreditation with the scope of the accreditation covering the disciplines for which the Agency is designated. - An Agency that meets the requirements of Section 1703.1 of the Michigan Building Code 2012. The Registered Design Professional and/or Responsible Professional Engineer of the Agency shall provide all documentation necessary for the Building Department to determine if the Agency meets applicable Code requirements. - An Agency has been accredited by an approved Inspection Agency in accordance with ISO/IEC 17020. TESTING LAB QUALIFICATIONS Each designated Testing Lab shall be accredited by at least one of the following accreditation authorities: - International Accreditation Services Accreditation with the scope of accreditation covering the disciplines for which the Testing Lab is designated. - American Association of State Highway and Transportation Officials (AASHTO) Accreditation Program per either AASHTO R18 or International Organization of Standards/International Electrotechnical Commission (ISO/IEC) 17250. - American Association of Laboratory Accreditation Program. - National Voluntary Laboratory Accreditation Program. - Other Accreditation Authority Program. The Testing lab shall be accredited by a third-party and shall meet the requirements of Section 1703.1 of the 2012 Michigan Building Code. LABORATORY TECHNICIAN QUALIFICATIONS Each Laboratory Technician shall have certification in the appropriate Category and one year minimum experience. NOTES: 1. State of Michigan Licensed Engineers and Architects are exempt from the Required Certifications listed for B.4. Structural Cold-Formed Steel, E. Structural Wood, F. Soils, G. Driven Deep Foundations, H. Cast-in-Place Deep Foundations, I. Helical Pile Foundations, N. Smoke Control Systems, and O. Special Cases. The Building Department will require written verification of relevant work experience. 2. Written verification of Experience, Education, and Required Certificates shall be submitted with the Building Permit Application. 3. Some of the Qualification Requirements have been modified from the IAS, AC 291(June 2013) to give local Special Inspection Agencies, Special Inspectors, Testing Labs, Laboratory Technicians, and Fabricator Shops additional time to meet the criteria. 4. The Building Department will consider equivalent criteria for the qualifications of any designated party. The Registered Design Professional shall provide sufficient documentation to substantiate the equivalency request. 8 5. The Building Department will consider equivalent certifications from a Nationally Recognized Organization obtained by written examination when sufficient documentation to substantiate the request is provided. BASIS FOR FORMULATING THE GAINES CHARTER TOWNSHIP BUILDING DEPARTMENT SPECIAL INSPECTION PROGRAM This program is based on the "Model Program for Special Inspection" published by the International Code Council (ICC) and the International Accreditation Services (IAS) and reflects the following: a. Applicable provisions of Chapter 17 of MBC 2012. b. Applicable provisions of the following IAS Accreditation Criteria: 1. AC89 – Accreditation Criteria for Testing Laboratories 2. AC98 – Accreditation Criteria for Inspection Agencies 3. AC157 – Accreditation Criteria for Fabrication Inspection Programs for Reinforced Concrete 4. AC172 – Accreditation Criteria for Fabrication Inspection Programs for Structural Steel 5. AC196 – Accreditation Criteria for Fabrication Inspection Programs for Wood Wall Panels 6. AC204 – Accreditation Criteria for Calibration Laboratories 7. AC291 – Accreditation Criteria for IBC Special Inspection Agencies 8. AC370 – Accreditation Criteria for Product Certification Agencies 9. AC472 – Accreditation Criteria for Inspection Programs for Manufacturers of Metal Building Systems c. Applicable portions of the following Standards by International Organization for Standardization/International Electrotechnical Commission (ISO/IEC): 1 ISO/IEC 17011: 2004, Conformity Assessment – General Requirements for Accreditation Bodies Accrediting Conformity Assessment Bodies 2. ISO/IEC 17020: 2012, Conformity Assessment – Requirements for the Operation of Various Types of Bodies Performing Inspection 3. ISO/IEC 17024: 2012, Conformity Assessment – General Requirements for Bodies Operating Certification of Persons 4. ISO/IEC 17025: 2005, General Requirements for the Competence of Testing and Calibration Laboratories 5. ISO/IEC 17025: 2005/Cor.1:2006, General Requirements for the Competence of Testing and Calibration Laboratories 6. ISO/IEC Guide 65: General Requirements for Bodies Operating Product Certification Systems
SFI SPECIFICATION 14.4 EFFECTIVE: MARCH 23, 2004 * PRODUCT: Containment Valve Covers/Valve Cover Shields 1.0 GENERAL INFORMATION 1.1 This SFI Specification establishes uniform test procedures and minimum standards for evaluating and determining performance capabilities for Containment Valve Covers/Valve Cover Shields used by individuals engaged in competitive motorsports. 1.2 The procedures, test evaluations and standards contained herein, are intended only as minimum guidelines for construction and evaluation of products. Certification that products meet such minimum standards is made by the product manufacturer and products are not certified, endorsed or approved by SFI under this program. 1.3 Use of the "This Manufacturer Certifies That This Product Meets SFI Specification 14.4" logo/designation, the authorized artwork style, or conventional lettering by a manufacturer, on a subject product, is intended only to indicate that the manufacturer of the product has represented that they have submitted the product to the recommended tests, with positive results, in compliance with the standards established herein. 1.4 This SFI Specification requires a demonstration that the product of a manufacturer meets or exceeds the requirements when the manufacturer enters the program, and on a periodic basis thereafter. Any manufacturer may participate in the program by providing Containment Valve Covers/Valve Cover Shields that meet or exceed the SFI Specification 14.4 test standards, by complying with the requirements of the SFI Specification 14.4 program, and by signing a licensing agreement with the SFI Foundation, Inc. 1.5 Compliance with this specification is entirely voluntary. However, when a manufacturer provides Containment Valve Covers/Valve Cover Shields in compliance with all requirements of the SFI Specification 14.4 and enters into the licensing agreement with the SFI Foundation, Inc., they may certify that compliance with such standards is in accordance with the guidelines established herein. 1.6 Manufacturers wishing to participate in the program, in addition to the other requirements of this specification, must label each of their products with the manufacturer's name, trademark or symbol as well as the date of manufacture of the product. 1.7 No manufacturer may display the SFI logo/designation on their product unless the manufacturer has signed a licensing agreement with SFI and has successfully complied with all the requirements of this specification and the self-certification program. 2.0 DEFINITIONS 2.1 Containment Valve Covers/Valve Cover Shields are devices, as may be required, to restrain engine components such as head studs, pushrods, valve springs and spark plugs from being ejected in such a way that they may be propelled beyond the vehicle. A Containment Valve Cover/Valve Cover Shield can either be the valve cover itself or a shield constructed of flexible or rigid material. 2.2 Containment Valve Covers/Valve Cover Shields shall be inspected every two years by the original manufacturer for recertification. After inspection, when the part(s) is determined to be acceptable for continued service, a new conformance label marked with the inspection date shall be used. Any attachment straps made from material that is sensitive to ultraviolet light shall be replaced at that time. 2.3 Containment Valve Covers/Valve Cover Shields pertaining to this specification shall remain as designed by the original manufacturer and not modified. 2.4 The useful life of the Flexible Type shall not exceed five years. It must be replaced at or before that time due to environmental factors. 3.0 CONSTRUCTION Containment Valve Covers/Valve Cover Shields shall incorporate a configuration to contain the engine parts defined in paragraph 2.1. Containment Valve Covers/Valve Cover Shields shall be attached in a manner to constrain the device and to prevent any forward and aft movement of the shield. All types must have a minimum of four points of attachment, one in/on each corner of the device. Also, the device may have provisions to allow the engine attachment straps from the SFI 14.3 device to pass through, but not attach to, the device. If used, the 14.3 Engine Attachment Straps must be tightly secured with no more than two (2) inches of slack. 3.1 ATTACHMENT STRAPS (Flexible Type) Straps shall be made of material with a minimum elongation of 20 percent at the test load or an equivalent as stated by the webbing manufacturer. 3.2 CONTAINMENT VALVE COVER/VALVE COVER SHIELD COVERAGE The Containment Valve Cover/Valve Cover Shield shall be constructed of ballistic material and cover the engine components defined in paragraph 2.1. The breather opening shall not be over any of the engine components defined in paragraph 2.1. Any other opening, access port, spark plug holes, etc. in the main valve cover must be covered when in racing trim with a separate shield which must be tested as part of the sample in paragraph 5.2. Any Valve Cover/Valve Cover Shield shall be secured to a minimum of one attachment point at each corner. The Flexible Type must have sides to cover the front and back of the valve cover, the Rigid Type does not. 4.0 MODEL CLASSIFICATION Any variation of the original design, i.e. construction, ballistic material, straps or mounting method is considered a model change. 5.0 TESTING 5.1 ATTACHMENT STRENGTH 5.1.1 SAMPLES Test samples shall be fully processed new Containment Valve Cover/Valve Cover Shields that are representative of devices currently being produced or to be produced. All necessary mounting hardware along with mounting instructions shall be supplied by the certifying manufacturer. 5.1.2 APPARATUS The test machine shall be capable of applying a minimum tensile load of 36,000 lbs (16,363 kg) with an excursion travel of one to five inches per minute (2.5 - 12.7 cm/min) and have adequate instrumentation to verify the test load. The test machine shall also be in calibration and traceable to the National Bureau of Standards. 5.1.3 PROCEDURES The Containment Valve Cover/Valve Cover Shield shall be mounted to the test fixture per the certifying manufacturer's instructions and supplied attachment hardware. The Containment Valve Cover/Valve Cover Shield shall be subjected to the test load of a minimum of 2,500 lbs (1,136 kg) for a minimum of 10 seconds in a direction producing tension on the mounting system. The load shall be applied by a steel plunger at least 0.625 inches (15.8 mm) in diameter. 5.2 PENETRATION RESISTANCE (ALL TYPES) This test is based on Military Standard 662D, "Ballistic Test for Armor" (MIL-STD662D). 5.2.1 SAMPLES One sample of the ballistic material used in the valve cover enclosure segment, 11" x 14" ± 1" (27.9cm x 35.6cm ± 2.5cm) shall be supplied. The sample shall have the identical construction of the Containment Valve Cover/Valve Cover Shield that is being evaluated. If separate auxiliary opening covers are employed, the test sample shall contain the opening covers. 5.2.2 APPARATUS The apparatus shall be as specified in MIL-STD-662D. A. PROJECTILE Caliber .22 - Type 2, fragment simulators conforming to MIL-P46593A shall be used. 5.2.3 PROCEDURES The sample shall be tested in accordance with MIL-STD-662D for the Ballistic Limit, V50 BL(P). The maximum velocity span shall be 150 feet per second {fps} (46 meters per second {mps}). 5.2.4 INTERPRET RESULTS The V50 BL(P) shall be calculated by taking the arithmetic mean of the two highest partial, and the two lowest complete, penetration impact velocities within the allowable velocity span. 6.0 PROOF OF COMPLIANCE Containment Valve Cover/Valve Cover Shield certifying manufacturers are required to provide the following information to enroll in this program: 6.1 TEST RESULTS Test results shall be documented in a test report. 6.1.1 ATTACHMENT STRENGTH (SHIELD TYPE ONLY) The Containment Valve Cover/Valve Cover Shield must pass all applicable strength tests to be acceptable. Each model of Containment Valve Cover/Valve Cover Shield shall pass the attachment strength test if it is able to maintain the test load of 2,500 lbs (1,136 kg) for at least ten seconds. 6.2.1 PENETRATION RESISTANCE (ALL TYPES) The Containment Valve Cover/Valve Cover Shield shall pass all applicable penetration resistance tests to be acceptable. The ballistic resistance of the sample shall be greater than or equal to a V50 BL(P) of 1385 fps (425 mps). 7.0 TEST REPORTS A separate test report, or set of test reports if required, shall be submitted for each product model. If more than one test facility is required to complete all necessary tests, then a separate test report shall be submitted from each one. A test report shall be submitted for each component, if tested separately. The test facility shall assign a unique number to each test report. This number along with the report date and page number shall appear on each page. Each test report shall include: 7.1 RELEVANT INFORMATION 7.1.1 Manufacturer's name, contact name, address and telephone number. 7.1.2 Name, address and telephone number of the test facility. 7.1.3 Name and signature of the responsible test supervisor. 7.1.4 Actual date of the test. 7.1.5 Specification number and effective date. 7.1.6 Product name, description and model designation. 7.1.7 Component name and description. 7.2 TESTS Each test conducted shall be listed showing the test name, apparatus used, procedure used and test results obtained along with any other appropriate information. 7.3 AUTHENTICATION Test reports shall be authenticated and stamped by a Professional Engineer who is registered in the state in which the testing is conducted. If necessary, SFI may allow an equivalent entity to provide authentication. 8.0 INITIAL DESIGN VALIDATION To receive initial recognition from SFI as a participant in the SFI Specification 14.4 Program, the manufacturer must submit to SFI all information delineated in the Proof of Compliance section. This information shall be provided for each Containment Valve Cover/Valve Cover Shield model offered by the applicant that is to be included in the program. Any change in design, materials and/or methods of manufacturing not specifically excluded is considered a model change and, therefore, requires initial design validation. 9.0 PERIODIC REVALIDATION Test reports with successful test results must be submitted to SFI at least once every 24 month period following the date of the initial design validation test for each model of Containment Valve Cover/Valve Cover Shield manufactured by the participant. If multiple test reports are required to obtain all test results, then the earliest test date shall be used to determine when the periodic revalidation reports are due. 10.0 CERTIFICATION OF COMPLIANCE Upon demonstration of successful compliance with all the requirements of the specification and the self-certification program and upon entering the licensing agreement with SFI, the manufacturer may advertise, present and offer the Containment Valve Cover/Valve Cover Shield for sale with the representation that their product meets the SFI Specification 14.4. Continuing certification is contingent upon the following additional considerations: (1) the product shall be resubmitted for testing following any change in design, materials and/or methods of manufacturing not specifically excluded, and (2) periodic revalidation test reports are submitted when due to SFI. 11.0 CONFORMANCE LABELS The conformance label is a "punch-out" patch for the Flexible Type Shield and a "punchout" sticker for the Containment Valve Cover/Rigid Type Shield. On all types, the label shall be punched with the month and year of manufacture and be placed on the outside surface. The month and year of manufacture shall be punched in each label with a 1/8" hole punch. On either rigid type, besides placing the sticker on the part, the serial number of the sticker along with the date shall be permanently marked on the outside of the part. For a periodic inspection, the old label shall be removed and the foregoing procedure shall be followed using a new label. The serial number of should also appear on the customer invoice to aid in identification and tracking. 12.0 DECERTIFICATION Participating manufacturers are subject to decertification when not in compliance with the requirements of this program or when their products are not in compliance with the requirements of this specification. Decertification will provide SFI the right to effect any and all remedies, which are available to SFI in the licensing agreement. 13.0 APPEAL PROCEDURE In the event of decertification, the manufacturer is entitled to an appeal of the decision of SFI. Requests for appeal must be received by SFI no later than thirty days following receipt of the notice of decertification. Appeals of such decisions will be heard at the next meeting of the Board of Directors of SFI. 14.0 STATEMENT OF LIMITATIONS Testing procedures and/or standards contained in this specification are intended for use only as a guide in determining compliance with the minimum performance requirements as defined herein. The granting and assignment of the "This Manufacturer Certifies That This Product Meets SFI Specification 14.4" logo/designation is in no way an endorsement or certification of product performance or reliability by SFI. SFI, its officers, directors and/or members assume no responsibility, legal or otherwise, for failure or malfunctions of a product under this program. 15.0 COSTS All costs involved in this program will be absorbed by the submitting manufacturer. 16.0 COMPLIANCE PERIOD As this specification is revised to reflect changes in technology and/or field conditions, to remain current, participating manufacturers in the SFI Specification 14.4 Containment Valve Cover/Valve Cover Shield Program must demonstrate full compliance with the requirements of this specification within ninety (90) days of the latest effective date. * Original Issue: December 21, 1999 Reviewed: August 30, 2001 Proposal: December 6, 2003 Revised: March 23, 2004 Reviewed: December 3, 2005 Reviewed: December 8, 2007 Reviewed: December 12, 2009 Reviewed: December 3, 2011 Reviewed: December 12, 2013
Queries for Apps DBA It contains important queries for APPS DBA day to day operation Techgoeasy.com Apps Queries Script to find out patches applied between certain time periods ``` select orig_bug_number,to_char(max(last_update_date),'DD-MON-YYYY hh24:mi:ss') updated from ad_patch_run_bugs where orig_bug_number in ( select distinct app_patch.patch_name from ( select substr(ap.patch_name,1,10) patch_name from ad_patch_runs pr, ad_patch_drivers dr, ad_applied_patches ap where pr.start_date between to_date('&&1′,'MM/DD/YYYY') and to_date('&&2′,'MM/DD/YYYY') and dr.patch_driver_id = pr.patch_driver_id and ap.applied_patch_id = dr.applied_patch_id and not exists (select 'x' from ad_comprising_patches cp where cp.patch_driver_id = dr.patch_driver_id) UNION ALL select substr(b.bug_number,1,10) patch_name from ad_patch_runs pr, ad_patch_drivers dr, ad_comprising_patches cp, ad_bugs b where pr.start_date between to_date('&&1′,'MM/DD/YYYY') and to_date('&&2′,'MM/DD/YYYY') and dr.patch_driver_id = pr.patch_driver_id and cp.patch_driver_id = pr.patch_driver_id and cp.bug_id = b.bug_id) app_patch) group by orig_bug_number; ``` Version information select name, created from v$database; select * from product_component_version; select RELEASE_NAME from FND_PRODUCT_GROUPS; Materialized view select unusable, known_stale, invalid, REWRITE_ENABLED, mview_name from sys.dba_mview_analysis where MVIEW_NAME like 'MSC%'; What is File version in database ``` set pages 52 set verify off set term on set feedback off col "APP NAME" format a10 col filename format a15 col version format a15 col last_update_date format a15 set linesize 90 select af.app_short_name "APP NAME", af.filename, afv.version, afv.LAST_UPDATE_DATE from ad_files af, ad_file_versions afv where af.file_id = afv.file_id and af.filename like '&1' order by afv.LAST_UPDATE_DATE desc / ``` What is the package versions? Useful Printer Query for apps select text from dba_source where line = 2 and name = upper('&enter_package_name') order by line / The package version return from above query can be checked with the version of file in $APPL_TOP Printer Queries ``` The log files are located in $LOG_HOME ($INST_TOP/logs) in Oracle Applications R12 Database Tier SELECT NUMBER_OF_COPIES ,NLS_LANGUAGE ,NLS_TERRITORY ,PRINTER , PRINT_STYLE ,COMPLETION_TEXT ,OUTPUT_FILE_TYPE , NLS_CODESET ,OUTFILE_NODE_NAME,OUTFILE_NAME FROM apps.FND_CONCURRENT_REQUESTS WHERE REQUEST_ID= &REQID; SELECT PRINTER_STYLE_NAME ,SRW_DRIVER ,WIDTH , LENGTH , ORIENTATION FROM apps.FND_PRINTER_STYLES WHERE PRINTER_STYLE_NAME= ( SELECT PRINT_STYLE FROM apps.FND_CONCURRENT_REQUESTS WHERE REQUEST_ID= &REQID ); SELECT PRINTER_DRIVER_NAME, USER_PRINTER_DRIVER_NAME , PRINTER_DRIVER_METHOD_CODE , SPOOL_FLAG , SRW_DRIVER , COMMAND_NAME , ARGUMENTS , INITIALIZATION , RESET FROM apps.FND_PRINTER_DRIVERS WHERE PRINTER_DRIVER_NAME =( SELECT PRINTER_DRIVER FROM apps.FND_PRINTER_INFORMATION WHERE PRINTER_STYLE=( SELECT PRINT_STYLE FROM apps.FND_CONCURRENT_REQUESTS WHERE REQUEST_ID= &1 AND PRINTER_TYPE=( SELECT PRINTER_TYPE FROM apps.FND_PRINTER WHERE PRINTER_NAME=( SELECT PRINTER FROM apps.FND_CONCURRENT_REQUESTS WHERE REQUEST_ID= &REQID)) ); ``` Database Tier log files location ``` Alert Log File location: $ORACLE_HOME/admin/$CONTEXT_NAME/bdump/alert_$SID.log Trace file location: $ORACLE_HOME/admin/SID_Hostname/udump Logs for the adpreclone.pl are located: $ORACLE_HOME/appsutil/log/$CONTEXT_NAME/StageDBTier_< timestamp >.log Logs for the adcfgclone.pl are located: RDBMS $ORACLE_HOME/appsutil/log/$CONTEXT_NAME/ApplyDBTier_< timestamp >.log Logs for the adconfig are located: RDBMS $ORACLE_HOME/appsutil/log/$CONTEXT_NAME/< timestamp >/adconfig.log RDBMS $ORACLE_HOME/appsutil/log/$CONTEXT_NAME/< timestamp >/NetServiceHandler.log ``` Application Tier Apache Logs (10.1.3 Oracle Home which is equivalent to iAS Oracle Home - Apache, OC4J and OPMN) $LOG_HOME/ora/10.1.3/Apache - > Location for Apache Error and Access log files $LOG_HOME/ora/10.1.3/j2ee - > location for j2ee related log files $LOG_HOME/ora/10.1.3/opmn - > location for opmn related log files Forms & Reports related logs (10.1.2 Oracle home which is equivalent to 806 Oracle Home) $LOG_HOME/ora/10.1.2/forms $LOG_HOME/ora/10.1.2/reports Startup/Shutdown Log files location: $INST_TOP/logs/appl/admin/log Patch log files location: $APPL_TOP/admin/$TWO_TASK/log/ Logs for the adpreclone.pl are located: $INST_TOP/admin/log/StageAppsTier_< timestamp >.log Where the logs for the admkappsutil.pl are located? $INST_TOP/admin/log/MakeAppsUtil_< timestamp >.log Logs for the adcfgclone.pl are located: $INST_TOP/admin/log/ApplyAppsTier_< timestamp >.log Logs for the adconfig are located: SQL to check the AQ setup in Apps ``` set echo on set timing on set feedback on set pagesize 132 set linesize 100 col name form a30 col queue_table form a30 col enqueue_enabled form a7 col dequeue_enabled form a7 col retention form a20 select name, queue_table, enqueue_enabled, dequeue_enabled, retention from dba_queues where owner = 'APPLSYS' and queue_type = 'NORMAL_QUEUE' order by 1; ``` Sql to check Workflow Agent Listener/WF Java Deferred Agent Listeners are running ``` set pagesize 132 set linesize 90 col COMPONENT_NAME form a50 col COMPONENT_STATUS form a15 col COMPONENT_TYPE form a25 col STARTUP_MODE form a10 col CONTAINER_TYPE form a5 col INBOUND_AGENT_NAME form a20 col OUTBOUND_AGENT_NAME form a20 col CORRELATION_ID form a30 col MAX_IDLE_TIME form 9999999 rem select COMPONENT_NAME, COMPONENT_STATUS, COMPONENT_TYPE, ``` STARTUP_MODE, CONTAINER_TYPE, INBOUND_AGENT_NAME, OUTBOUND_AGENT_NAME, CORRELATION_ID, MAX_IDLE_TIME from FND_SVC_COMPONENTS order by COMPONENT_NAME / ``` JVM connection queries A) To find total number of open database connections for a given JVM PID s.process ``` SELECT s.process, Count() all_count FROM v$session s WHERE s.process IN () GROUP BY B) To find number of database connections per JVM that were inactive for longer then 30 minutes SELECT s.process, Count() olderConnection_count FROM v$session s WHERE s.process IN () and s.last_call_et>=(3060) and s.status='INACTIVE' GROUP BY s.process C) To find the modules responsible to JDBC connections for a process id SELECT Count(), process,machine, program, MODULE FROM v$session s WHERE s.process IN ('&id')GROUP BY process,machine, program, MODULE ORDER BY process,machine, program, MODULE; column module heading "Module Name" format a48; column machine heading "Machine Name" format a15; column process heading "Process ID" format a10; column inst_id heading "Instance ID" format 99; prompt prompt Connection Usage Per Module and process select to_char(sysdate, 'dd-mon-yyyy hh24:mi') Time from dual / prompt ~~~~ select count(), machine, process, module from v$session where program like 'JDBC%' group by machine, process, module order by 1 asc / ``` How to find if the bug number or patch is applied to Apps ERP ``` select substr(APPLICATION_SHORT_NAME,1,10) Product,substr(BUG_NUMBER,1,10),Version,last_update_date applied_date from ad_bugs where BUG_NUMBER= to_char('&bug_no'); ``` How to find the patch level of particular application ``` select pi.patch_level, Application_short_name from fnd_product_installations pi, fnd_application fa where fa.application_id = pi.application_id and Application_short_name like '&App_Short_Name' / select patch_level from fnd_product_installations where patch_level LIKE ('%&1%'); ``` How to find EWT version ``` unzip -l $FND_TOP/java/jar/fndewt.jar \| grep 3_ ``` How to list out the various information of various product ``` set linesize 1000 column application_id format a999999 heading "APPL\|ID" column application_short_name format a10 heading "APPL\|SHORT NAME" column application_name format a50 heading "APPLICATION NAME" column language format a4 heading "LANG" select a.application_id, a.application_short_name, a.basepath, at.application_name from fnd_application a, fnd_application_tl at where at.application_id = a.application_id and at.language='US' group by a.application_id,a.application_short_name,a.basepath,at.application_name,at.language order by a.application_id / ``` How to find the installed status of all the products ``` set linesize 1000 column APPS format a10 select decode(nvl(a.APPLICATION_short_name,'Not Found'), 'SQLAP','AP','SQLGL','GL','OFA','FA', 'Not Found','id '\|\|to_char(fpi.application_id), a.APPLICATION_short_name) apps, decode(fpi.status,'I','Installed','S','Shared', 'N','Inactive',fpi.status) status, fpi.product_version, nvl(fpi.patch_level,'-- Not Available --') Patchset, to_char(fpi.last_update_date,'dd-Mon-RRRR') "Update Date" from fnd_oracle_userid o, fnd_application a, fnd_product_installations fpi where fpi.application_id = a.application_id(+) and fpi.oracle_id = o.oracle_id(+) order by 1,2 / ``` This script helps in identifying the various versions of a particular file, the associated BUG NUMBERS, the Date on which it was applied.Input is the FILE NAME whose VERSION is to be determined ``` set linesize 1000 column filename format a15 column bug_number format a10 column version format a15 set pages 250 set verify off select a.bug_number,h.filename,g.version, to_char(c.start_date,'DD-MON-YYYY HH:MI:SS')start_time, to_char(c.end_date,'DD-MON-YYYY HH:MI:SS')end_time, to_char(to_date('00:00:00','HH24:MI:SS') +(c.end_date - c.start_date), 'HH24:MI:SS') Duration from ad_bugs a, ad_patch_run_bugs b, ad_patch_runs c, ad_patch_drivers d, ``` ad_applied_patches e, ad_patch_run_bug_actions f, ad_file_versions g, ad_files h where a.bug_id = b.bug_id and b.patch_run_id = c.patch_run_id and c.patch_driver_id = d.patch_driver_id and d.applied_patch_id = e.applied_patch_id and b.patch_run_bug_id = f.patch_run_bug_id and f.patch_file_version_id = g.file_version_id and g.file_id = h.file_id and h.filename='&File_Name' order by c.end_date desc / ``` You can tell if you're on OAF 5.7 version OAF 5.10 on the database tier by running the following SQL: ``` select jdr_mds_internal.getRepositoryVersion from dual; If it returns something like 184.108.40.206.0_### then you are on OAF 5.7. If it returns 220.127.116.11.0_### then you are on OAF 5.10. ``` how to find .o file version ``` adident Header FNDCRM \| grep afpcrm.oc ``` To find forms session in database ``` set linesize 1000 column username format a8 heading "User\|Name" column sid format 9999 column serial# format 99999 column user_form_name format a25 column spid format a5 column unix_process format a7 heading "UNIX\|Process" ``` column user_name format a15 trunc heading "USER NAME" column Responsibility_name format a20 heading "Responsibility \|Name" select s.sid, s.serial#, s.audsid, s.username, s.process unix_process, p.spid, u.user_name, f.user_form_name, to_char(a.start_time ,'DD-MON-YY') start_time, f.responsibility_name from v$process p, v$session s, fnd_form_sessions_v f, applsys.fnd_logins a, applsys.fnd_user u where p.addr = s.paddr and p.spid = f.PROCESS_SPID (+) and s.process=a.spid and p.pid=a.pid and a.user_id=u.user_id order by 1 / ``` To find application information ``` set linesize 1000 column application_short_name format a15 heading "APPL\|SHORT_NAME" column product_version format a15 heading "PRODUCT\|VERSION" column oracle_username format a12 heading "ORACLE\|USER" select a.APPLICATION_SHORT_NAME, a.BASEPATH, p.PRODUCT_VERSION, o.ORACLE_USERNAME, p.PATCH_LEVEL ``` from fnd_application a, fnd_product_installations p, fnd_oracle_userid o where a.application_id = p.application_id and p.oracle_id = o.oracle_id / ``` To determine active JDBC sessions ``` col program format a40 col module format a40 select sid,serial#,module,program,sql_hash_value,last_call_et from v$session where status = 'ACTIVE'and program like 'JDBC%' order by sql_hash_value / ``` To determine dependency ``` set linesize 1000 column object_name format a40 column owner format a15 select owner,object_name,object_type,status, to_char (LAST_DDL_TIME,'DD-MON-YYYY HH:MI:SS') LAST_DDL_TIME from dba_objects where object_name IN (SELECT referenced_name FROM dba_dependencies WHERE name = '&Invalid_Object_Name'); set linesize 1000 column object_name format a40 column owner format a15 select owner,object_name,object_type,status, to_char (LAST_DDL_TIME,'DD-MON-YYYY HH:MI:SS') LAST_DDL_TIME from dba_objects where object_name =upper ('&object_name'); ``` Profile Related queries Site level profile ``` select a.PROFILE_OPTION_ID,a.PROFILE_OPTION_NAME,b.USER_PROFILE_OPTION_NAME,c.PROFILE_ OPTION_VALUE ,c.level_id from fnd_profile_options a,fnd_profile_options_tl b ,fnd_profile_option_values c where a.PROFILE_OPTION_NAME=b.PROFILE_OPTION_NAME and a.PROFILE_OPTION_ID=c.PROFILE_OPTION_ID and b.LANGUAGE='US' and b.USER_PROFILE_OPTION_NAME like '&1'; ``` Application level ``` select a.PROFILE_OPTION_ID,a.PROFILE_OPTION_NAME,b.USER_PROFILE_OPTION_NAME,c.PROFILE_ OPTION_VALUE from fnd_profile_options a,fnd_profile_options_tl b ,fnd_profile_option_values c where a.PROFILE_OPTION_NAME=b.PROFILE_OPTION_NAME and a.PROFILE_OPTION_ID=c.PROFILE_OPTION_ID and b.LANGUAGE='US' and c.LEVEL_ID=10002 and c.level_value='&2' b.USER_PROFILE_OPTION_NAME like '&1'; ``` Compile code of package and package body ``` set pages 999 set head off select 'alter '\|\|decode(object_type,'PACKAGE BODY','PACKAGE', 'VIEW','VIEW',object_type) \|\|' '\|\|object_name\|\|' compile '\|\| decode (object_type,'PACKAGE BODY','body')\|\|';' from dba_objects where status='INVALID' order by decode(object_type,'PACKAGE',1,'VIEW',2,'PACKAGE BODY',3,4) / column owner format a5 compute sum of "TOTAL" on report SELECT owner,object_type,COUNT()"TOTAL" FROM DBA_OBJECTS WHERE status='INVALID' and owner='APPS' GROUP BY owner,object_type ; and status ='ACTIVE' ``` To find out the passwords of schema using apps password :- ``` Set serveroutput on declare sche_var varchar2(2000); begin sche_var:=fnd_oracle_schema.getopvalue('schema_name','apps password'); dbms_output.put_line(sche_var); end; / ``` Check XML file in MDS repository ``` exec JDR_UTILS.printDocument('/oracle/apps/fnd/framework/navigate/webui/test'); ``` Check messages ``` select message_text from fnd_new_messages m, fnd_application a where upper('&message_name') = m.message_name and upper('&language_code') = m.language_code and upper('&application_short_name') = a.application_short_name and m.application_id = a.application_id / ``` Check profile options ``` set linesize 140 set pagesize 132 column SHORT_NAME format A30 column NAME format A40 column LEVEL_VAL format 999999999 column VALUE format A60 wrap select p.profile_option_name SHORT_NAME, n.user_profile_option_name NAME, decode(v.level_id, 10001, 'Site', 10002, 'Application', ``` 10003, 'Responsibility', 10004, 'User', 'UnDef') LEVEL_SET, v.level_value LEVEL_VAL, v.profile_option_value VALUE from fnd_profile_options p, fnd_profile_option_values v, fnd_profile_options_tl n where p.profile_option_id = v.profile_option_id (+) and p.profile_option_name = n.profile_option_name and upper(n.user_profile_option_name) like upper('%&profile_name%') / ``` SQL shows details about users connected to the ERP system ``` select usr.user_name "Apps Username" ,i.first_connect "First Connect Date" ,ses.sid ,ses.serial# ,ses.module ,v.spid "Oracle Server Process" ,ses.process "Application Server Process" ,rsp.responsibility_name "Responsibility Name" ,null "Responsibility Start Time" ,fuc.function_name "Function Name" ,i.function_type "Function Type" ,i.last_connect "Function Start Time" from icx_sessions i ,fnd_logins l ,fnd_appl_sessions a ,fnd_user usr ,fnd_responsibility_tl rsp ,fnd_form_functions fuc ,gv$process v ,gv$session ses where i.disabled_flag = 'N' and i.login_id = l.login_id and l.end_time is null ``` and i.user_id = usr.user_id and l.login_id = a.login_id and a.audsid = ses.audsid and l.pid = v.pid and l.serial# = v.serial# and i.responsibility_application_id = rsp.application_id(+) and i.responsibility_id = rsp.responsibility_id(+) and i.function_id = fuc.function_id(+) and i.responsibility_id not in (select t1.responsibility_id from fnd_login_responsibilities t1 where t1.login_id = l.login_id) and rsp.language(+) = 'US' and usr.user_name like '&APPS_USER_NAME' union select usr.user_name ,l.start_time ,ses.sid ,ses.serial# ,ses.module ,v.spid ,ses.process ,rsp.responsibility_name ,r.start_time ,null ,null form_start_time from fnd_logins l ,fnd_login_responsibilities r ,fnd_user usr ,fnd_responsibility_tl rsp ,gv$process v ,gv$session ses where l.end_time is null and l.user_id = usr.user_id and l.pid = v.pid and l.serial# = v.serial# and v.addr = ses.paddr and l.login_id = r.login_id(+) and r.end_time is null and r.responsibility_id = rsp.responsibility_id(+) ``` and r.resp_appl_id = rsp.application_id(+) and rsp.language(+) = 'US' and r.audsid = ses.audsid and usr.user_name like '&APPS_USER_NAME' union select usr.user_name ,l.start_time ,ses.sid ,ses.serial# ,ses.module ,v.spid ,ses.process ,null ,frm.user_form_name ,ff.type ,f.start_time from fnd_logins l ,fnd_login_resp_forms f ,fnd_user usr ,fnd_form_tl frm ,fnd_form_functions ff ,gv$process v ,gv$session ses where l.end_time is null and l.user_id = usr.user_id and l.pid = v.pid and l.serial# = v.serial# and v.addr = ses.paddr and l.login_id = f.login_id(+) and f.end_time is null and f.form_id = frm.form_id(+) and f.form_appl_id = frm.application_id(+) and frm.language(+) = 'US' and f.audsid = ses.audsid and ff.form_id = frm.form_id and usr.user_name like '&APPS_USER_NAME' ``` Important Concurrent Manager Tables FND_NODES FND_CONCURRENT_PROCESSES FND_CONCURRENT_REQUESTS FND_CONCURRENT_QUEUES FND_CONCURRENT_PROGRAMS FND_EXECUTABLES FND_CP_SERVICES FND_CONCURRENT_QUEUE_SIZE FND_CONCURRENT_QUEUE_CONTENT FND_CONCURRENT_PROGRAM_SERIAL FND_CONCURRENT_TIME_PERIODS FND_CONCURRENT_PROCESSORS Database queries Script to find the sid of the session you are logged in as select distinct(sid) from v$mystat; To see all active session select username,osuser,sid,serial#, program,sql_hash_value,module from v$session where username is not null and status ='ACTIVE' and module is not null; To see waiters set linesize 1000 column waiting_session heading 'WAITING\|SESSION' column holding_session heading 'HOLDING\|SESSION' column lock_type format a15 column mode_held format a15 column mode_requested format a15 select waiting_session, holding_session, lock_type, mode_held, mode_requested, lock_id1, lock_id2 from dba_waiters / ``` This query will show all users that have active transactions and the rollback segment each user is writing to: ``` col RBS format a15 trunc col SID format 9999 col USER format a15 trunc col COMMAND format a60 trunc col status format a8 trunc select r.name "RBS", s.sid, s.serial#, s.username "USER", t.status, t.cr_get, t.phy_io, t.used_ublk, t.noundo, substr(s.program, 1, 78) "COMMAND" from v$session s, v$transaction t, v$rollname r where t.addr = s.taddr and t.xidusn = r.usn order by t.cr_get, t.phy_io / ``` To check Library Cache locks and pin ``` select /+ all_rows / w1.sid waiting_session, h1.sid holding_session, w.kgllktype lock_or_pin, w.kgllkhdl address, decode(h.kgllkmod, 0, 'None', 1, 'Null', 2, 'Share', 3, 'Exclusive', 'Unknown') mode_held, decode(w.kgllkreq, 0, 'None', 1, 'Null', 2, 'Share', 3, 'Exclusive', ``` 'Unknown') mode_requested from dba_kgllock w, dba_kgllock h, v$session w1, v$session h1 where (((h.kgllkmod != 0) and (h.kgllkmod != 1) and ((h.kgllkreq = 0) or (h.kgllkreq = 1))) and (((w.kgllkmod = 0) or (w.kgllkmod= 1)) and ((w.kgllkreq != 0) and (w.kgllkreq != 1)))) and w.kgllktype = h.kgllktype and w.kgllkhdl = h.kgllkhdl and w.kgllkuse = w1.saddr and h.kgllkuse = h1.saddr / ``` To monitor long running queries for the particular session ``` set linesize 1000 select OPNAME, sid,SOFAR/TOTALWORK100, to_char(start_time,'dd-mon-yy hh:mi') started, elapsed_seconds/60,time_remaining/60 from v$session_longops where sid =&sid ``` To see all lock objects ``` set term on; set lines 130; column sid_ser format a12 heading 'session,\|serial#'; column username format a12 heading 'os user/\|db user'; column process format a9 heading 'os\|process'; column spid format a7 heading 'trace\|number'; column owner_object format a35 heading 'owner.object'; column locked_mode format a13 heading 'locked\|mode'; column status format a8 heading 'status'; select ``` substr(to_char(l.session_id)\|\|','\|\|to_char(s.serial#),1,12) sid_ser, substr(l.os_user_name\|\|'/'\|\|l.oracle_username,1,12) username, l.process, p.spid, substr(o.owner\|\|'.'\|\|o.object_name,1,35) owner_object, decode(l.locked_mode, 1,'No Lock', 2,'Row Share', 3,'Row Exclusive', 4,'Share', 5,'Share Row Excl', 6,'Exclusive',null) locked_mode, substr(s.status,1,8) status from v$locked_object l, all_objects o, v$session s, v$process p where l.object_id = o.object_id and l.session_id = s.sid and s.paddr = p.addr and s.status != 'KILLED' / ``` To see waits events across the database ``` set linesize 1000 column sid format 999 column username format a15 wrapped column spid format a8 column event format a30 wrapped column osuser format a12 wrapped column machine format a25 wrapped column program format a30 wrapped select sw.sid sid , p.spid spid , s.username username ``` , s.osuser osuser , sw.event event , s.machine machine , s.program program from v$session_wait sw , v$session s , v$process p where s.paddr = p.addr and event not in ('pipe get','client message') and sw.sid = s.sid / ``` To see session wait event select sid,seq#,wait_time,event,seconds_in_wait,state from v$session_wait where sid in (&sid); To see all user accessing that objects ``` set linesize 1000 column object format a30 column owner format a10 select from v$access where object='&object_name' / ``` This script gives information about the user sessions locking a particular object ``` set linesize 1000 column program format a15 column object format a15 select substr(username\|\|'('\|\| se0.sid\|\|')',1,5) "User Session", substr(owner,1,5) "Object Owner", substr(object,1,15) "Object", se0.sid, substr(serial#,1,6) "Serial#", substr(program,1,15) "Program", logon_time "Logon Time", process "Unix Process" from v$access ac, v$session se0 where ac.sid = se0.sid and Object = '&package_name' order by logon_time,"Object Owner","Object" ``` / ``` To see execution sql plan for the hash value. This could be different from what we get from explain plan as execution condition like bind variable changes the thing ``` set linesize 9999 column QUERY format a999 set pages 250 set head off set verify off select id,lpad(' ',2*(depth-1)) \|\| depth \|\|'.' \|\| nvl(position,0) \|\| ' '\|\| operation \|\| ' '\|\| options \|\| ' '\|\| object_name \|\|' ' \|\|'cost= '\|\| to_char(cost)\|\|' '\|\| optimizer "QUERY" from v$sql_plan where hash_value = &sql_hash_value order by child_number,id / ``` To find database server location ``` select nvl(username,'ORACLE SHADOW PROCESS'), machine from v$session where username is null and rownum < 2 / ``` SQL script displays the columns for each index of a table. ``` col table_name head 'Table Name' format a20 col index_name head 'Index Name' format a25 col column_name head 'Column Name' format a30 break on table_name on index_name select table_name, index_name, column_name from all_ind_columns where table_name like upper('&Table_Name') order by table_name, index_name, column_position / ``` Sql to show all the datafiles,redo logs and controlfiles in the database ``` set pages 50000 col file_type format a10 head 'File Type' col tablespace_name format a20 head 'Tablespace Name' col file_name format a41 head 'File Name' col bytes format 999,999,999,999 head Bytes col group# format 99999 head 'Group' col member format a40 head 'Member' col name print format a40 head 'File Name' break on tablespace_name skip 1 on report compute sum of bytes on tablespace_name compute sum of bytes on report select tablespace_name, file_name, bytes from sys.dba_data_files order by 1, file_id / ttitle off break on file_type on report select 'Redolog' file_type, log.group#, lf.member, log.bytes from v$log log, v$logfile lf where log.group# = lf.group# / select 'Control' file_type, name from v$controlfile / ```
MALVERN COLLEGIATE INSTITUTE A GUIDE FOR PARENTS OF GRADE 9 STUDENTS PREPARED BY MALVERN HOME & SCHOOL COUNCIL 2013-2014 Welcome to Malvern Collegiate Institute For many of you, this year will be your first experience at Malvern and you and your child will likely have a lot of questions. Please make a point of reading this handbook with children or allow them to read it on their own. We remember the feelings associated with going into grade nine and to a new school and thought that a booklet like this would help promote a positive start to this great school! We wish your child much success during his or her time at Malvern. Please feel free to contact the Home & School Council at any time should you have questions, concerns, suggestions or comments. We usually meet the first Tuesday evening of every month, during the school year. We meet in the Malvern Library at 7pm. We hope to see you there! Malvern Collegiate Home & School Council Council Treasurer: Vicky Tsorlinis email@example.com Welcome from the Principal It is with great pleasure that I welcome you to the Malvern family! Malvern is a wonderful school filled with history and tradition that dates back to 1903. We have a strong reputation for excellence in academics, athletics and the arts. We also have a very active and supportive Home & School Council and I am thrilled that some of our parents decided to put together a handbook designed specifically for Grade 9 parents. I hope this handbook will answer many of the questions you may have about your child's first year at Malvern and help ensure that they have a positive and successful start here. It is important to note that you should review the information contained in this handbook as well as the Student Agenda your child will receive at registration. Malvern offers an incredible range of extra curricular opportunities and I sincerely hope your son or daughter will get involved in some of the teams, clubs or sports available to our students. If you have any questions or concerns, please contact me at the school. I invite you to the parent council meeting on Tuesday September 10 th in the Malvern Library at 7pm, and to Grade 9 Parents' Night on Wednesday September 25 th . I look forward to meeting you in the coming months! Diane Sharpe Dear Future Grade 9s, My name is Daniella Rizza and I was the last year's Grade Nine Representative. Going into Malvern I didn't know what to expect - a big school with a lot of new faces is intimidating! Luckily, Malvern knows exactly how to make you feel at home. There is honestly a group of friends to fit everyone's personality and interest. If that being art, drama, sports, music, computer technology, or math! If you are worried about not fitting in, Malvern has so many amazing clubs and sports teams that it's almost impossible to not find a group of people who are exactly like you. Sports are a big part of Malvern's reputation, but don't worry if you don't make a team! All you have to do is try your hardest, and our amazing coaches will acknowledge you no matter what. If you find that you are the only one out of your friends that is coming to Malvern, being in eight different classes with different people in each, you are bound to make friends that will last you a lifetime. Also, don't be afraid to try out for councils or committees. I especially suggest running for Student Council; it's a blast. You get to do the announcements, organize events, and meet people in all grades. The teachers at Malvern are very understanding. If you're late to a class because the school is relatively big, don't worry because they will understand and in no time you'll find your way. I can't wait to see all of your new faces in September! Remember, high school is supposed to be the best four years of our lives, so make it count! Sincerely, Daniella Rizza 2 Hey 9ners! Welcome to Malvern Collegiate, where people unite and dreams come true! Right off the bat, you're probably thinking one of two things, "How is it I'm already in Grade 9?!" or "How is it I'm only in Grade 9?!" Either way, Grade 9 is the opening to a four-year adventure of life, laughs and lessons! And even if change isn't your thing.... know that Grade 9 is easily the 4th best grade of high school! And if you think about it...4th place isn't too bad. Over all, be sure to be perceptive and to use the environment around you to your best advantage! Join clubs, sports, committees and councils! Participate in as many different extracurricular as possible and join as many things as you can at Malvern. Student council really wants school spirit to be strong this year and getting involved is your ticket to a fun year! And of course there's school work; remember that you can always go to your teachers or the guidance counselors to discuss your future and your academics. When I started I would've liked to know that because now I discuss a lot of that stuff with the staff at Malvern and it really helps me. By the end of high school, you want to be able to look back and say, "Wow, I really was a Malvern Black Knight!" Malvern may be a tad confusing at first but give it a few weeks and you'll know the school like the back of your hand. If you're ever concerned with anything, find a student council member or peer leader to help out! If there's a will, there's a way. Looking forward to a great year Malvern! Onward! - Sincerely your Student Council President, Taylor Patterson Introducing your student council for 2013-14 Carter Pinkowski - Vice President Mariana Kirkwood- Lazazzara - External Affairs Officer Scott Phyper- Spirit Leader Megan Phyper - Social Convener Alex Mulligan - Secretary Austin Read - Treasurer Abraham Rogers - Grade 12 Representative Maxine Wright-Stein - Grade 11 Representative Daniella Rizza - Grade 10 Representative Taylor Patterson - President Table of Contents 2013-2014 Home & School Council Executive ......................................................... 14 Before School Starts Before your child gets to Malvern - Malvern staff is very excited about meeting your children. They spend a lot of time during the previous school year and the last weeks of August preparing for their arrival. When your child walks through the front doors this year, they will be part of 110 years of history. - We hope your child is excited about coming to Malvern. They may also feel anxious. Anxiety may be increased if they aren't attending with friends. Please talk to your child about these feelings. - Cliques are a part of life in high school. Please know that Malvern's values are based on inclusion and respect. If your child is coming to Malvern not having attended one of the feeder schools, they may feel isolated or disconnected at first – making friends is critical to feeling a sense of belonging and comfort. This may take time and you are encouraged to monitor your child's mood and behaviour in the event that this early adjustment becomes problematic. Malvern has many clubs and teams your child can join. Visit the Malvern website and look under Clubs & Teams. http://schools.tdsb.on.ca/malvern/clubs/ Encourage children to visit this page and familiarize themselves to what's available. Perhaps they could choose several teams or clubs they want to pursue. - High School is a very different environment from elementary school – with more independence and autonomy and much less monitoring from teachers. Your child should take some time before the start of school to set up a work space in your home and get organized for the year ahead. - Discuss routes your child will take to and from school. They should avoid the ravine systems. Have them meet up with friends if they can, so they can travel in a group. Registration: Wednesday August 28 th - This is a time for your child to receive their timetable, agenda and pay their student activity fee. This day provides an important first opportunity for your child to connect with the school. Try not to book a vacation or a camp at this time. - There is a student activity fee of $75, which your child needs to bring on registration day (cash). The fee covers the cost of the agenda, the yearbook and helps fund events and extra-curricular activities/clubs/teams/groups/student council, E.g. Red and Black day, the Equity Conference, guest speakers and Pink Day. If this is a financial challenge, please speak to a vice principal. - Your child may not want you to accompany them to the school for registration. If possible, have them go with a friend. - This year's Grade 9 registration will take place on Wednesday, August 28 th from 10:00 to 12:00 in the cafeteria. If you are away at this time, your child can register during the first week of school. 5 - Please review the Agenda with your child. The Agenda is filled with valuable and useful information. Go over the Code of Conduct. Note the rules on cell phones and media devices in the school and also the section on Respect for Safety. - Please note that Malvern strives to be a "nut free" and "scent free" school. Please encourage your child not to wear perfume or body sprays/lotions. Other children and staff may react very strongly to those scents making it difficult to concentrate. - If you need help deciphering the timetable codes, review your "Choices" booklet, available on-line at TDSB Choices. In high school each student has his or her own individualized timetable. The First Week at Malvern - Malvern staff, teachers and students take a lot of time during the previous school year preparing for your child's first week at school with a specific orientation to ease the transition. This orientation spans several days from the first day of school until the end of the first week. - Grade 9 students will meet with Peer Leaders on the first day of school – please encourage your child to connect with these students, especially if they are feeling alone or have questions. These volunteers are there to make the Grade 9 students comfortable. Your child may choose to remain silent for fear of being thought "uncool". Please talk to them about reaching out to these trained volunteers. - On the morning of the first day, the Grade 9 students participate in a variety of activities to familiarize themselves with the students in their Home form class. They are given a tour of the school and are provided with lockers. The grade 9 students are the only students in the school at this time. Grade 9 students work specifically with staff and Peer Leaders during this time to develop a stronger sense of community within their classes as well as strong connections with these senior students. On Feeling Safe - Malvern has made strong efforts to address issues of hazing. Our Home & School Council, Safe Schools Team, Peer Leaders and Staff collaborate to ensure the first week of school is safe and inclusive for all of our new students. Last year, Malvern reported no incidents. Our coordinating groups have again been preparing for another safe and inclusive first week. Below is some information about our special safety measures, events as well as tips for new students and parents. Email Malvern or its Safe Schools staff coordinator Mike Izzo at firstname.lastname@example.org for more information. - During this first week your child may want to go to lunch off Malvern property. Encourage your child to stay at the school for lunch during this first week. - Encourage your child to walk to and from school in groups. Devise meeting times and places in the weeks before school starts. Your child should not use the ravine routes or "short cuts" to get home, particularly during the first week of school. - If your child feels unsafe at any time during their time at Malvern, they should report this immediately to a staff member. Malvern employs two School-Based Safety Monitors, Lena Deonarine and Steve Mlilo, who patrol the halls and the outside area of the school throughout the day. Lena and Steve are very approachable and are there to help students feel safe. - Malvern works closely with 55 Division. Parents are always welcome to contact the Youth Bureau directly if you have specific questions or concerns. - Important contact information: - Caution your child to keep all expensive electronics and clothing either in their locker (locked) or on their person. Theft is a reality at most high schools and Grade 9s are often looked on as an easy target. Likewise, caution your child not to share their locker combo as theft becomes much easier that way. - Malvern is a Wi-Fi school and the temptation to "stay connected" is always there. Ensure that your child knows that cell phones, iPods, and other communication devices may be confiscated by the teacher if the student repeatedly refuses to put them away as per the Code of Conduct at Malvern. Parents will then be required to retrieve the items. Some teachers do allow the use of these devices in class for independent study. Your child should consult with each teacher on their specific rules for media use in class. See your child's agenda for more information. - It is important that your child is aware of their surroundings when off the school grounds or on public transit. Being distracted by cell phones and iPods may make them an easy target. o 55 Division: 416 808-5500 o Crime Stoppers: 416-222-TIPS o TDSB Student Safety Line: 416-395-SAFE General Information Making Connections/Getting Involved Malvern offers a "Co-Curricular Fair" early in the year that coincides with the Grade 9 Student Council Elections. The Fair highlights all clubs, sports and various activities. Students are strongly encouraged to attend this event and to consider joining at least one club or sport as a way to get involved and stay connected. This is especially important if your child doesn't know many people at Malvern. If your child doesn't make a team the first time, encourage them to try again. School spirit is big at Malvern and there is tremendous support for the sports teams, the music groups and the many clubs that do amazing things such as Student Council, arts, sports, and clubs that promote the Environment and Equity-related issues. This year Malvern's CoCurricular Fair will take place the last week of September. Check the website calendar. Getting In Touch with Malvern - The School website is an invaluable resource. http://schools.tdsb.on.ca/malvern/. Please bookmark this site. It lists the school's phone number and teachers and staff extensions. It lists the day's schedule, important timetable changes, upcoming events and the daily announcements in the Tackler section. - Please give the office your email address for inclusion on the "Blast Email" list. Through this you will be notified of a range of topics from Home & School meetings, special events, sanctioned dances, special school dismissals, fundraisers, etc. - The school's main number is 416-393-1480. You may also dial "0" and have someone in the office redirect your call. The extension numbers for all the school's staff is available on the Malvern Website. Google: tdsb Malvern staff. - It is suggested you bookmark the Malvern Website and check its calendar and tackler section for all announcements and upcoming events. Update your agenda and home calendars to suit. - Teachers are in class most of the day or may be involved in before and after-school activities, they may not be able to reply to your message immediately. We suggest that you establish the desired means of communication (phone, email, in person) with each teacher individually. - Most teachers have blogs that students may refer to for homework, assignments and upcoming tests. Have your child make a note of these web pages and reference them daily. - The principal sends home a newsletter (also available online) at the end of each Reporting Period. Memos addressing immediate events or issues may also be sent home. Student Absences - You are expected to advise the school if your child is going to be absent or late. If the school doesn't receive notice, you will receive an automated voice message at the end of the day alerting you to the class(es) your child has missed. The school expects a response to the call. Please be aware that the students are familiar with this policy and there have been instances where the student has erased the message before the parents got home. If you suspect that your child is not coming to class, please speak to their Vice Principal. It is also suggested that you have the automated voice message re-directed to your cell phone to ensure that you don't miss any calls from the school. - To report your child's absence call the school at 416-393-1480, extension 20005 for students with the last name beginning A to L, or extension 20004 for students with the last name beginning M to Z. If you know in advance, send a note in with your child. - If your child is repeatedly late or absent, the school may require the use of a tracking form. This means that each teacher signs an attendance form for the student and also notes the student's behaviour and indicates if homework was completed. You will be contacted by one of the Vice Principals should this be applicable to your child. School Attire - Malvern doesn't have a uniform policy; however, the Code of Conduct outlines clothing that is not appropriate (half shirts, messages that are of a racist nature/ sexist/homophobic/drug promoting, etc.) - Expensive footwear/outerwear left unattended is an easy target for theft – encourage your child to use their locker at all times when they can't keep something with or on them. - As per the Code of Conduct outlined in your child's agenda, bags, backpacks and coats need to be locked in your child's locker. This is a safety issue. Coats and backpacks are not to be brought in the Auditorium during assemblies. - Be reminded that Malvern strives to be scent-free. - Malvern branded clothing will be available for purchase late in the fall offering everything from "Spirit Wear" (athletic clothing) to vintage style items such as scarves, hats and rugby shirts. The Hall Pass System - Students who need to leave the classroom require a hall pass. They must complete the 'Sign In/Out' sheet when they leave class and carry the hall pass with them. Malvern also employs two School-Based Safety Monitors, Lena and Steve who patrol the halls and the outside area of the school throughout the day. Lena and Steve are there to help students feel safe. Report Cards, End of Year Exams and Summative - Report cards are issued at the end of each reporting period. The final report card is mailed at the end of June. There will be an expectation of work and assignments prior to these issue dates. - Many of the courses your child will take at Malvern are evaluated by an end of year exam, a summative, or a combination of the two. (A summative, also referred to as a Culminating activity, is work your child will do in class during the end of the school year.) These are normally worth 30% of the final mark in that course, so it is critical that students be present during that time. Parents are therefore encouraged not to take early family vacations, as teachers are not required to accommodate vacations, which could significantly impact the final grade your student earns in a course. Exams are written during the exam period scheduled for mid to late June. - If your child is away for a significant course, test, lab or project, the classroom teacher may request a note. If your child is sick, a medical note may be required. - The Ontario Ministry of Education has implemented a new assessment and evaluation policy. Information can be obtained at the following link: http://www.edu.gov.on.ca/eng/policyfunding/growSuccess.pdf. - In late September, Malvern offers a Grade 9 Parents' Night where you can meet your child's teachers and get a sense of how your child is adjusting. The 2012 Grade 9 Parents' Night will be held on Wednesday, September 25th at 7 pm. - Keep in mind you can always schedule a phone call or a school visit to meet with a teacher if you feel it is necessary or you have concerns. - The first general Parent/Teacher interviews for the 2013/2014 school year will be held at the end of November after the first report cards come home. You will be provided with an opportunity to book these appointments using the online appointment booking system. We encourage you to attend to get a sense of your child's progress in first term. These "sessions" are only 4 minutes long so anything requiring in depth discussion will need to be scheduled separately. Research shows that attending a parent/teacher interview is one of the most important ways parents can help their children succeed in school. Take Our Kids to Work Day - Mark Wednesday November 6 th on your calendars. In November of each year, the TDSB participates in a day organized by the Learning Partnership in which Grade 9 students are encouraged to attend a day of work with a parent or adult caregiver. It's a great opportunity for students to experience a real work setting helping to prepare them for the Grade 10 Career Studies Course (GLC2O). More information will be forthcoming early in the year but it may be helpful to check with your employer in advance to ensure that this may be an option for your child. Late Starts/Early Dismissals - Throughout the year students may be instructed to arrive later or be dismissed earlier as a result of staff meetings, Ministry related testing or other events underway. These dates are all listed on the School Year Calendar fridge magnet included in the summer mailing and are published in the Student Agenda and on the Malvern website. In addition, written information may be sent home with your child. You may need to check your child's backpack, as many students seem to forget about these papers! The website will have up to date information on each day's schedule. - All staff meetings and most Professional Development sessions will be held in the morning of the second and last Tuesday of each month. Students come to school at 10:15 on these Tuesdays. Refer to the Student Agenda for specific dates. Please check the Malvern website regularly. http://schools.tdsb.on.ca/malvern/. Community Involvement Hours - All students of the TDSB must complete a minimum of 40 hours of approved Community Involvement work as a condition for graduation. Students are strongly encouraged to begin accumulating these hours in Grade 9 so that they are not overwhelmed in the senior grades when the workload has intensified and they might also have a job. - Students can pick up a community volunteer log sheet in the Attendance Office or on-line by searching "Community Involvement Passport." Hours can be submitted to the Guidance Office, once they have accumulated 40 or more hours. Submit your community involvement hours on November 1 st or on April 1 st . - There are many volunteer opportunities at Malvern. Students should listen to the Tackler and visit the Volunteer Opportunities Board outside of the Guidance Office. For more information visit: http://www.tdsb.on.ca/wwwdocuments/programs/Co- operative_Education/docs/Community_Involvement.pdf Equity Conference Malvern will host an Equity & Social Justice Conference. This is a conference on topics of equity, diversity and social justice in which all students participate. The conference includes discussion defining Malvern's values of being an inclusive, respectful and safe environment for all students. It includes a variety of workshops selected by students and attended within a revised school schedule. Students, teachers, volunteers and community organizations lead these workshops. The workshops focus on issues of diversity and safety and on topics of social justice, the environment and humanitarian issues. The date for this conference will be announced in the Fall. This is the largest conference of its type in the TDSB and is a key component in Malvern's strategy to create a more inclusive environment. - Parent volunteers are needed for this event, as presenters and to help with its organization. Please contact the school if you can offer your time to help organize or present at this conference. Special Events - Malvern has a tradition of offering unique events that promote school spirit and support important causes. Here are a few of these events: o Malvern Red & Black Day – an off-site sport day held in to promote school spirit. The 2013 date is Friday October 11 th . The school will run on a special schedule that day. o Malvern on the Move – events organized by the Student Council during December where the school works together to raise money for a local community organization. o Winter Formal – This is a sanctioned dance for all Malvern Students and is organized by the Student Council. o Sportathon – an onsite overnight event in March. This is a fundraiser and spirit opportunity for all grades. o Pink Day – held in April to celebrate diversity and gender equality. Students are encouraged to wear pink. o The Spring Social Justice Campaign that is in April is five days of special events and workshops related to global and local issues of social justice, equity and safety. Please note that there will always be an email from the school advising you of schoolsanctioned events. - Unsanctioned Dances: ex-Malvern or current Malvern students usually run these. They are not organized nor sanctioned by Malvern CI. They charge upwards of $25 a ticket for students to attend an all-ages event, usually in the Club district in downtown Toronto. The target group is Grade 9 & 10 and "predrinking" is usually the activity of choice prior to attending the event. Your child may be under the impression it is a "semi-formal" but it is nothing like the semi-formals you may have attended. This is a situation that requires an individual response by each family, but is advised that drug and alcohol use is common and thus high risk for 14 and 15 year olds who, until now, might not have had exposure to this kind of event/behaviour. As always, conversation with your child is recommended so that your rules and expectations are clear. Buyouts - Occasionally, the school permits opportunities for students to pay a fee - anywhere from $2 to 5 - and be excused from classes to attend a sporting event in support of a Malvern team. This is called a "Buyout". Parents are required to sign a permission form allowing students to miss class. Students participating in buyouts are still responsible for missed work. They should speak to their teachers and see if they will be missing a test or assigned class work. Lunch Time - One of the tougher things in High School is to get your child to eat a healthy lunch. There is a cafeteria at Malvern and some students go off-site to local restaurants or eateries. However, consistent with other strategies to promote healthy bodies and learning, encourage your child to take a nutritious packed lunch. - Please be aware that as of September 2011 the School Food and Beverage Policy has been in effect and does not permit the sale of many of the popular food and beverages in Toronto schools. See www.ontario.ca/healthyschools. Please talk to your child about these changes as with their new found freedom they may be tempted to go off site and purchase items at local stores. - Malvern is a Platinum level Eco-School so reusable lunch containers are recommended. - Malvern strives to be "nut free". Parents are asked not to include nuts in lunches from home. School Trips - Malvern offers a range of trips related to sports, music, and clubs and subjectrelated field trips. Should an opportunity occur, you will receive a permission form to be completed; some will require additional funds. It is your choice as to whether your child attends or remains in class. Connecting with the School and with other Parents - A great way for parents to get connected with the school is to attend the monthly Home & School meetings. These are held the first Tuesday of the month in the library at 7pm. The first meeting for the 2013-2014 school year is: Tuesday, September 10 th . There are lots of opportunities to get involved or to simply hear about many of the exciting activities and programs going on at Malvern. - These nights offer an opportunity to meet school administration in a friendly relaxed atmosphere and to connect with other parents and make decisions affecting your child's experience at Malvern. Information about the meetings is sent out in the email blasts along with the minutes, which are also posted on the Malvern website on the Parents page. This is a really great way to stay in touch with what is happening at the school, including key dates and events. - You are strongly encouraged (even though your child will likely do everything to discourage you) to network with the parents of your child's friends. In this way you can confirm activities, homework and discuss other potential concerns when your child says, "Everybody's parents are letting them do….". We suggest getting email addresses so that you can even have a group conversation if necessary. This is especially important when it comes to discussing participation in what could be seen as "high risk" events. Key Home & School Events - Commencement Reception in November: Organized by a couple of great Malvern parents this is a "pay it forward" event where parents of students in Grade 9,10 & 11 prepare and host a reception for graduated students and their families. Contributing food, assisting with decorating the cafeteria and hosting the Alumni reception are all roles available that evening. This is a great way to meet other parents and give back in a one-time way to the school. The 2013 date for commencement is November 8 th . - Staff Appreciation Night: Held in early December, this is an event relatively unique to Malvern. A parent graciously donates their home for a reception for Malvern staff. Parents donate money and Home & School executive members assist with hosting the event. - The Boardwalk Ball: The main fundraiser for Home & School, this takes place near the end of the school year and features the incredible talents of the music students. The event features a dinner, Silent Auction and Gift Basket Raffle and requires many volunteers, both with pre-event planning and assisting during the night of the event. This event takes place in early June. You will be notified via an email blast. - The Home & School Council will also involve itself in other activities and/or partner with other related Malvern groups such as the Malvern Red & Black [Alumni] Society and the Onward Malvern Foundation – e.g. fundraisers, events for Remembrance Day and other activities. The Onward Malvern Foundation - This organization exists to raise funds that are not covered in the operating budget for the current needs of the school and its students. - The Onward Foundation can receipt donations for a variety of initiatives including scholarships, specific activities such as "Save the pool" (which occurred in 2009) and other opportunities. - Donations can be sent to the Onward Malvern Foundation c/o Malvern Collegiate Institute 55 Malvern Ave., Toronto, ON M4E 3E4. You may also contribute online at Canada Helps. You will receive a tax receipt via email very quickly. Tax receipts for cheques mailed to the school are sent out by the year's end. The Malvern Red & Black Society - The Malvern Red & Black Society (MRBS) is the alumni organization for Malvern CI. It was founded in 2004 following the hugely successful Malvern Centennial in 2003. MRBS is open to all graduates, past students, staff, parents and community members and is active in the life of the school. Its website is www.malverncollegiate.com. - We welcome your child's participation. For interested student volunteers, we offer opportunities to earn community service hours at our various events. 2013-2014 Home & School Council Executive Please note that the Home and School Council Meetings are the first Tuesday of every month starting Tuesday September 10 th at 7pm in the Malvern Library. We are looking for new council members. Please join us! Home and School Council Treasurer Vicky Tsorlinis email@example.com
Quarterly Activities Report March 2016 Offer to acquire Cyber Security company GENOME Successful completion of Shareholder Non-Renounceable Rights Issue Continued support for incumbent board, results of 249D General Meeting OFFER TO ACQUIRE GENOME On the 11 March 2016 Drake Resources Limited ('Drake' or 'the Company') announced signing a Term Sheet to acquire 100% of the issued shares in Genome Technologies Ltd ('Genome') for $11,000,000. Genome is an Israeli company in the cyber security sector adopting a practical approach to mitigate cyber threats in organisations related to the human factor (the employee). The human factor is considered the weakest point in an organisations security. Genomes proprietary technology and algorithm analyses profiles each employee's risk level providing customised mitigation, intelligence and training solutions. The technology is based on Predictive Identity Engine (PIE) comprising multiple software and service modules. PIE analyses the various ways a cyber attack can potentially enter IT systems and references the behaviour or actions of an employee that could result in a successful infection of the organisations IT systems Genome Founder & CEO Amir Rasilevski said: "We are delighted to have this opportunity with Drake Resources Limited which will better position our company internationally. Cyber-attacks are having and will continue to pose a major threat to the global economy and are costing businesses between US$400 billion and US$500 billion a year. Current cyber security solutions have proven ineffective and therefore there is a need to adopt new approach. There is significant research highlighting the lack of human-related factors in the existing market for solutions to cyber-attacks, Genome's advantage over other solutions is that it focuses more on human weaknesses. This is widely acknowledged by the market, governments and the professional services community as one of the biggest and emerging problems of cyber threats." P: +61 8 6141 3585 F: +61 8 6141 3599 29 April 2016 According to market research conducted by Gartner, global spending in IT security will reach US$101 billion in 2018, while the cybersecurity market is expected to grow from US$77 billion in 2015 to US$170 billion by 2020 at a Compound Annual Growth Rate (CAGR) of 9.8% from 2015 to 2020 according to a report from Markets and Markets. Drake Resources non-executive Chairman Brett Fraser said: "The cybersecurity market is massive and continues to grow with cyber-attacks having a major impact from financial institutions through to government departments. Prime Minister, Malcolm Turnbull, announced this month the blueprint to spend $230 million on a cyber security strategy for Australia. There is pressure on company boards and organisations generally to consider cyberattacks in their governance review since it is emerging as a significant, growing risk becoming more difficult to contain, quantify and insure against. Every organisation is IT enabled and every employee is a potential entry point for a cyber attack, this is the reaility of business today and the focus of Genome.. Therefore, this Genome transaction will provide our shareholders with a fantastic opportunity to participate in the exciting cybersecurity market offering strong prospects for growth." Genome has received significant interest internationally with a number of Letters of Intent (LoI) from organisations in the telecommunication, accounting and insurance sectors to adopt the Genome platform Once the Acquisition is finalised, Drake plans to replace all but one of the existing board and seek to appoint new Australian board members, together with board members from Genome. Drake's CEO Jason Stirbinskis will also exit the Company as part of the Acquisition. Drake has no immediate plan or requirement to appoint a new CEO. Mr Fraser added: "Jason's dedication to Drake and uncompromising advocacy for what's in the best interest of Drake's shareholders has been exemplary over the last 3 years including his current proactive support for Drake's proposed strategic re-positioning." Genome's research and development arm will remain in Israel post-Acquisition. As part of the Acquisition and Drake's proposed re-compliance with Chapters 1 and 2 of the ASX Listing Rules, Drake will be required to consolidate its issued capital to facilitate a share price of at least $0.02. Company details on Genome and key conditions relating to the acquisition is fully disclosed in the announcement. Please refer to the Company's website or the ASX platform to read the full announcement. http://www.drakeresources.com.au/asxannouncements.html Genome video clip http://www.genomecyber.tech/genome-marketing-video NON-RENOUNCEABLE RIGHT ISSUE Drake issued a prospectus on the 11 March 2016 for a fully underwritten non-renounceable rights issue to shareholders of the Company on 21 March 2016 (Record Date). The entitlement was 10 shares for every 32 shares held by shareholders on Record Date at a price of $0.002 for each new share. 708 Capital Pty Ltd fully underwrote the rights issue. The shortfall of $311,143 was fulfilled by the underwriters and Drake successfully concluded the raising of $447,922. 249D REQUISITION A Notice of Meeting was despatched to all shareholders on the 4 March 2016, pursuant to a 249D notice received from 2 dissident shareholders. The meeting was convened to remove all incumbent directors and replace with 3 new nominees. All resolutions were convincingly defeated at the meeting. Each board member thank every shareholder for their continuing support. EXISTING DRAKE ACTIVITIES The Acquisition of Genome will result in a significant change to the nature and scale of the Company's main activity which Drake's board considers to be positive and in the best interests of Drake's shareholders. Whilst Drake intends to continue funding certain current obligations, if Drake shareholders approve the Acquisition of Genome, then post-Acquisition, the new board of Drake will undertake a review of the Company's assets to investigate opportunities to divest or relinquish existing assets and projects. For further information, please contact: Mr Brett Fraser Chairman, Drake Resources +61 (0)8 6141 3585 firstname.lastname@example.org Appendix 5B Mining exploration entity quarterly report Name of entity DRAKE RESOURCES LIMITED ABN 12 108 560 069 Quarter ended ("current quarter") 31 March 2016 Consolidated statement of cash flows \| \| - (87) - - (22) (81) (86) - 1 - - - - \| \|---\|---\| \| \| (275) \| \| Cash flows related to investing activities 1.8 Payment for purchases of: (a)prospects (b)equity investments1 (c) other fixed assets 1.9 Proceeds from sale of: (a) prospects (b) equity investments (c) other fixed assets 1.10 Loans to other entities 1.11 Loans repaid by other entities Net Investing Cash Flows 1.13 Total operating and investing cash flows (carried forward) \| - (69) - - - - - - \| \| \| - (69) \| \| \| (344) \| 1 Non-refundable deposit for the acquisition of the equity in Genome Technologies Ltd (USD 50,000) Appendix 5B Page 1 Rule 5.3 \| 1.13 Total operating and investing cash flows (brought forward) \| (344) \| (1,179) \| \|---\|---\|---\| \| Cash flows related to financing activities 1.14 Proceeds from issues of shares, options, etc. net of costs 1.15 Proceeds from sale of forfeited shares 1.16 Proceeds from borrowings – convertible notes 1.17 Repayment of borrowings 1.18 Dividends paid 1.19 Other (provide details if material) Net financing cash flows \| (2) - 150 - - - \| 128 - 150 - - - \| \| \| 148 \| 278 \| \| Net increase (decrease) in cash held 1.20 Cash at beginning of quarter/year to date 1.21 Exchange rate adjustments to item 1.20 1.22 Cash at end of quarter \| (196) 404 - \| (901) 1,101 8 \| \| \| 206 \| 206 \| Payments to directors of the entity and associates of the directors Payments to related entities of the entity and associates of the related entities Current quarter $A'000 1.23 Aggregate amount of payments to the parties included in item 1.2 25 1.24 Aggregate amount of loans to the parties included in item 1.10 - 1.25 Explanation necessary for an understanding of the transactions Company secretarial and corporate management fees paid to associated company. Non-cash financing and investing activities 2.1 Details of financing and investing transactions which have had a material effect on consolidated assets and liabilities but did not involve cash flows 2.2 Details of outlays made by other entities to establish or increase their share in projects in which the reporting entity has an interest Financing facilities available Add notes as necessary for an understanding of the position. 3.1 Loan facilities 3.2 Credit standby arrangements \| Amount available $A’000 \| Amount used $A’000 \| \|---\|---\| \| - \| - \| Estimated cash outflows for next quarter Reconciliation of cash \| Reconciliation of cash at the end of the quarter (as shown in the consolidated statement of cash flows) to the related items in the accounts is as follows. \| Current quarter $A’000 \| Previous quarter $A’000 \| \|---\|---\|---\| \| 5.1 Cash on hand and at bank 5.2 Deposits at call 5.3 Bank overdraft 5.4 Other (provide details) \| 206 \| 404 \| \| \| - \| - \| \| \| - \| - \| \| \| - \| - \| \| Total: cash at end of quarter (item 1.22) \| 206 \| 404 \| Changes in interests in mining tenements Issued and quoted securities at end of current quarter Description includes rate of interest and any redemption or conversion rights together with prices and dates. \| \| Total number \| Number quoted \| Issue price per security (see note 3) \| Amount paid up per security (see note 3) \| \|---\|---\|---\|---\|---\| \| 7.1 Preference +securities (description) 7.2 Changes during quarter (a) Increases through issues (b) Decreases through returns of capital, buy-backs, redemptions \| - \| - \| \| \| \| \| - \| - \| \| \| \| 7.3 +Ordinary securities 7.4 Changes during quarter (a) Increases through issues (b) Decreases through returns of capital, buy-backs \| 716,675,857 \| 716,675,857 \| \| \| \| \| 35,870,203 \| 35,870,203 \| $0.002 . \| $0.002 . \| \| 7.5 +Convertible debt securities (description) 7.6 Changes during quarter (a) Increases through issues (b) Decreases through securities matured, converted \| 100,000,000 \| - \| \| $0.0015 \| \| \| 100,000,000 \| - \| \| $0.0015 \| \| 7.7 Options (description and conversion factor) 7.8 Issued during quarter 7.9 Exercised during quarter 7.10 Expired during quarter \| 366,047,882 \| Listed Options \| Exercise price $0.03 \| Expiry date 1 Aug 2017 \| \| \| 395,000 \| \| $0.72 \| \| \| 7.11 Debentures (totals only) \| - \| \| \| \| \| 7.12 Unsecured notes (totals only) \| - \| \| \| \| Interests in Mining Tenements Disclosure in accordance with ASX Listing Rule 5.3.3 \| Project/Tenements \| Location \| Held at end of quarter \| Acquired during the quarter \| \|---\|---\|---\|---\| \| Granmuren Project: Tullsta 2010:171 Tullsta nr 2 2012:78 Tullsta nr 3 2012:158 \| Sweden Sweden Sweden \| 100% 100% 100% \| 0% 0% 0% \| \| Other Swedish Tenements: Ekedal nr 3 2012:101 Erlandsbo nr 1 2013:42 Gamla Jutbo nr 1 2012:104 Grällsta nr 1 2013:43 Gruvsjön nr 2 2010:116 Heden nr 1 2012:102 Hedsåsen nr 1 2012:58 Jugansbo nr 5 2007:265 Jugansbo nr 6 2011:1 Kältorp nr 1 2013:49 Korsheden nr 1 2012:135 Kuså nr 2 2013:44 Lainejaur nr 1 2012:141 Lainejaur nr 2 2013:40 Lainejaur nr 3 2013:90 Ljusberget nr 1 2013:50 Orsen 2010:117 Prästhyttan nr 1 2012:105 Skillberg nr 1 2013:51 Skogsbo nr 1 2012:85 Staffansbo nr 1 2012:134 Stripa nr 2 2012:103 Vigelsbo nr 1 2010:8 Vitmyran nr 1 2012:146 \| Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden Sweden \| 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% \| 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% \| \| Joma/Gjersvik Project: Grong 1-9 Orvatnet 1-2 \| Norway Norway \| 100% 100%* \| 0% 0% \| * Note: Orvatnet 1 & 2 are held under an exclusive exploration and exploitation agreement with permit holder Joma Naeringspark AS which provides that the exploration permits will be transferred to Drake Resources Limited in the event that it decides to apply for an Extraction Permit. Interests in Mining Tenements (Continued) \| Seimana Project: Permis I (Option to Purchase 100%) Permis II (Option to Purchase 100%) \| Guinea Guinea \| 0% 0% \| 0% 0% \| 0% 0% \| \|---\|---\|---\|---\|---\| \| Tasiast South Project: Touerig Taieuh 1163B2 Hadeibet Belaa 1164B2 \| Mauritania Mauritania \| 100% 100% \| 0% 0% \| 0% 0% \| \| Farm-in Agreements / Tenements \| Location \| Held at end of quarter \| Acquired during the quarter \| \|---\|---\|---\|---\| \| None \| \| \| \| \| Farm-out Agreements / Tenements \| Location \| Held at end of quarter \| Acquired during the quarter \| Disposed during the quarter \| \|---\|---\|---\|---\|---\| \| Royal Falcon Joint Venture: Falun nr 100 2007/61 Falun nr 101 2007/62 Falun nr 102 2007/254 Falun nr 104 2007/254 Falun nr 105 2007/384 Haghed 2009/140 Krondiket 2009/141 \| Sweden Sweden Sweden Sweden Sweden Sweden Sweden \| 100% 100% 100% 100% 100% 100% 100% \| 0% 0% 0% 0% 0% 0% 0% \| 0% 0% 0% 0% 0% 0% 0% \| \| Panoramic Alliance: Sulitjelma 1-17 \| Norway \| 100% \| 0% \| 0% \| Compliance statement 1 This statement has been prepared under accounting policies which comply with accounting standards as defined in the Corporations Act or other standards acceptable to ASX (see note 5). 2 This statement does give a true and fair view of the matters disclosed. Signed: Dated: 29 March 2016 Director and Company Secretary Print name: Jay Stephenson Notes 1 The quarterly report provides a basis for informing the market how the entity's activities have been financed for the past quarter and the effect on its cash position. An entity wanting to disclose additional information is encouraged to do so, in a note or notes attached to this report. 2 The "Nature of interest" (items 6.1 and 6.2) includes options in respect of interests in mining tenements acquired, exercised or lapsed during the reporting period. If the entity is involved in a joint venture agreement and there are conditions precedent which will change its percentage interest in a mining tenement, it should disclose the change of percentage interest and conditions precedent in the list required for items 6.1 and 6.2. 3 Issued and quoted securities. The issue price and amount paid up is not required in items 7.1 and 7.3 for fully paid securities. 4 The definitions in, and provisions of, AASB 6: Exploration for and Evaluation of Mineral Resources and AASB 107: Statement of Cash Flows apply to this report. 5 Accounting Standards ASX will accept, for example, the use of International Financial Reporting Standards for foreign entities. If the standards used do not address a topic, the Australian standard on that topic (if any) must be complied with. == == == == ==
PHULE ROHINI (RPASV 3): A SPECIAL RABI SORGHUM VARIETY SUITABLE FOR PAPAD PURPOSE Shinde M.S., Patil V.R., Awari V.R., Gadakh S.R, Chavan U.D., Nirmal S.V. and Dalvi U.S. All India Coordinated Sorghum Improvement Project, Mahatma Phule Krishi Vidyapeeth, Rahuri-413722, Dist: Ahmednagar E-mail: email@example.com Abstract: Phule Rohini (RPASV 3) a rabi sorghum variety suitable for papad purpose was developed from local land races through pure line selection at Rahuri found superior in better papad quality over the checks M 35-1, Dadar Local and local variety Chikani. Average of fourteen tests, it gave 1715 kg/ha grain yield and 4886 kg fodder yield. This is special purpose genotype for processing. There is no grain yield advantage over the M 35-1 and Dadar local but 75.4 % increase over Chikani local variety. Organoleptic studies revealed that the papad of RPASV 3 had more crispiness and very good test. Average number of papad per kg flour of RPASV 3 is 65 pieces (each piece weight average 14 to 15 gram). Papad quality studies revealed that papad prepared from RPASV 3 had red brown attractive colour with more expansion (34.54 %) and less oil absorption (17.9%). Nutritional constituent's of grains revealed that the genotype RPASV 3 had recorded higher Crude Protein (8.93%), soluble proteins (1.21 %), Total sugars (1.42%) , Starch (42.6 %), zinc (4.02 mg /100g) , iron (9.68 mg /100g) and calcium (21.83 mg /100g). The variety RPASV 3 is tolerant to charcoal rot (21.2%), shootfly (30.0 % Dead Heart) and stem borer (6.9 % Dead Heart). Beside, being the better papad qualities, it is characterized as Non-Tan plant pigment. Flowers in 73-75 days, matured in 116-118 days, mid -tall plant stature (170 to 190 cm). It had semi-compact oval shape panicle with red round grains at maturity. This variety was observed to be drought tolerant (higher in RLWC, Photosynthetic rate, stomatal conductance, ear head exertion and root traits and lower in Stomatal frequency and transpiration rate. The variety RPASV 3 was therefore released under the name Phule Rohini for special purpose suitable for papad. Keywords: Papad, crispiness, red brown, organoleptic. Introduction Sorghum is nutritionally superior to other fine cereals such as rice and wheat .It is sustainable choice for dry land of Maharashtra during rabi season facing frequent drought. Because of its lower digestibility, sorghum is being recommended for diabetic and Jaundice affected and abase people. There is a need to popularize the sorghum food as sorghum with its high mineral and fiber content and with low or slow starch digestibility and makes an ideal food for diabetic and abase population in the urban and rural society. Papad is one of the popular snac items and it is very tasty so it is used in every Indian diet since older days. It is consumed either as such often frying or roasting or as adjunct along with vegetable soup and curries. The demand for papad is greater scope for introduction of varieties from cost effective raw ingredient such as grain sorghum. Today consumption of papad from udid and mung are popular among the peoples in the day to day time. It is also popular in the restaurants and hotels. Preparation of papad from mung or udid are economically costlier than the papad made from sorghum. In the Kandesh tract viz, Jalgaon, Dhule and Nandurbar, the peoples are preparing the papad from local variety like Chikani and local Dadar. Among these Chikni is kharif adapted genotypes while Local Dadar is rabi adapted genotype. These papads prepared from above genotypes are popular among the Khandesh region. The special genotype can provide to end users and hence can make sorghum commercially viable in food enterprises provided their yield level and nutritional quality are comparable for better than existing popular local variety. In this view, to identify a suitable genotype for food processing like papad making special rabi sorghum variety RPASV was tested with local varieties for its field performance and nutritional analysis of grains and papad. The objective of this paper is to describe the development and characteristics of land race papad purpose variety. Materials and Methods The Sorghum Improvement Project,MPKV,Rahuri has collected the four local land races (Lal chikani, Dark red chikani, Pandhri Chikani and local dadar) during the year 2004-05 from the Shirpur local market (Dhule District). During the 2005-06, the above four local land race Lal Chikani, Dark Chikani, Pandhri Chikani and Local Dadar along with 21 IS lines i.e. total 25 genotypes were evaluated during rabi season. The purifications particularly in above four local land races were made during the year 2006-07. During the year 2007-08 to 2010-11, these local land races were purified and maintained and numbered as RPASV-3 (Lal Chikani), RPASV 5 (Dark Chikani), RPASV 24 (Pandhri Chikani) and RPASV 25 (Local Dadar). Among these, RPASV 3 is found promising for papad purpose during the rabi season. During the year 2011-12 the genotype RPASV 3 along with M 35-1, Dadar local and Chikani local variety were evaluated in station trial for grain and fodder yield. The genotype RPASV 3 was tested in station trials during the year 2011-12 and in University Multilocation trials during 2012-13 to 2014-15 at Rahuri, Mohol, Chas, Solapur and Jalgaon for grain and fodder yield potential. The varietal trials were conducted as per the norms and recommended procedure as per university programme (Anonymous. 2011). The observations were recorded viz., phenological, morphological, grain, fodder, shootfly, stem borer and charcoal rot data as per the standard procedure. The organoleptic papad properties of RPASV 3 along with M 351, finger millets and Black gram were evaluated for various sensory quality parameters (colour and appearance, texture, flavor and taste and overall acceptability) was carried out by using the standard method of Amerine et al (1965). For this ten semi trained judges were used and one to nine points hedonic scale was used for rating the quality of papad. The mean of ten judges was consider for evaluating the quality at Rahuri during 2013-14. The nutritional composition of grain and fodder was analyzed at Sorghum Project, MPKV, Rahuri during the year 2012-13 and 2011-12, respectively (Amerine et al, 1965). The papad quality and its keeping quality (storage) studies was taken during the year 2013-14 at Rahuri .The drought tolerance studies of RPASV 3 with M 35-1, Dadar Local and Chikani local were conducted from 2012-13 to 2014-15 at Rahuri. The statistical analysis was done as per the methods of Panse and Sukhatme (1985). During the rabi 2014-15, 24 adaptive trials of the PPASV 3 and checks (M 35-1 and Chikani local) were evaluated on farmers field under rainfed condition in Ahmednagar, Pune, Solapur, Satara, Sangali, Kolhapur, Nashik, Nadurbar, Dhule and Jalgaon for grain and fodder yield. Results and discussion The genotype RPASV 3 was evaluated in station trial during the year 2011-12 and in university MLT from 2012-13 to 2014-15 with the checks M 35-1, Dadar local and Chikani local variety. Based on overall performance for four years over 14 tests (Table 1), RPASV 3 produced mean grain yield (1715 kg/ha) over M 35-1 (1819 kg/ha), Dadar local (1822 kg/ha) and Chikani local variety (978kg/ha). The results indicated that there were no grain yield increase over M 35-1 and Dadar local but 75.4 % increase over Chikani local variety. As regard fodder yield (Table 2), it yielded 4886 kg/ha fodder yield in 14 tests over M 35-1 (6973 kg/ha), Dadar local (6834 kg/ha) and Chikani local variety (4333 kg/ha). The results revealed that there were no fodder yield increase over M 35-1 and Dadar local but 12.8 % increase over Chikani local variety. The data on 24 adaptive trial on farmers field (Table 3) indicated that the genotype RPASV 3 produced 934 kg/ha grain yield over M35-1 (1382 kg/ha) and Chikani local variety (781 kg/ha). The results revealed that there were no grain yield increase over M 35-1 and dadar local but 19.6 % increase over Chikani local variety. In respect of fodder yield, the genotype RPASV 3 exhibited 3470 kg/ha fodder yield over M35-1 (4490 kg/ha) and Chikani local variety (2900 kg/ha). The results revealed that there were no fodder yield increase over M 351 but 18.4 % increase over Chikani local variety. The papad prepared from the genotype RPASV 3 along with M 35-1, Finger millet and Black gram were studied for organoleptic properties (Table 4). The result revealed that the 10 semi trained judge panel preferred papad prepared from RPASV 3 and Finger millet due to attractive colour, flavor, more crispiness and taste as compared to M 35-1 and Black gram papad. The result also indicated (Table 5) that the genotype RPASV 3 showed red brown attractive colour papad with less oil absorption (17.9 %) as compared the papad prepared from Finger millet and Black gram that gives additional benefit to the product. Therefore the papad prepared from RPASV 3 are far better than other papad which are available in the market. The keeping quality (storage) studies (Table 6) indicated that the papad of RPASV 3, M 35-1, Finger millet and Black gram stored up to 12 months in plastic bags and card board box at room temperature was observed very good. The nutritional constituent of grain revealed that (Table 7), the genotype RPASV 3 recorded higher crude protein (8.93%) and comparable soluble protein (1.21%), total sugar (1.42%), starch (42.64%), zinc (4.02 mg /100g), iron (9.68 mg /100g) and calcium (21.83 mg /100g) and lower phenolics (1.94%) as compared to the checks. As regard fodder quality (Table 8) it recorded higher crude protein (7.81%), comparable crude fiber (31.54 %), NDF (62.12%), ADF (42.37%) and IVDMD (49.37%) as compared to the checks. The variety RPASV 3 (Table 9) had tolerance to charcoal rot (21.2%), Shoot fly (30% Dead Heart) and stem borer (6.9% Dead heart) as compared to the checks. The variety of RPASV 3 was found drought tolerant (Table 10) due to its higher RLWC (83.0 %), photosynthetic rate (32.9 µ moles CO2/m 2 /sec ), stomatal conductance (26.2 µ moles m 2 /sec), lower transpiration rate (1.44 µ moles H2O/m 2 /sec), stomatal frequency on adaxial (148) and abaxial (159), higher ear head exertion percentage (83%) and better root traits (number (39), width (55 cm), volume (40 ml) and root mass (43 g/plant)). The rabi sorghum variety RPASV 3 has medium maturity of 116-118 days with plant height 170 to 190 cm. It had semi compact oval panicle with red colour round grain. Because of better quality papad with high grain and fodder yield over the Chikani local variety, tolerant to drought, shoot fly, charcoal rot and good fodder quality, it was recommended for release for commercial cultivation during the year 2015 in the name of Phule Rohini for papad only. References Amerine, M.A., Pangborn, R. M. and Rossler, E.B., 1965. Principal of sensory evaluation of foods. Acad. Press, New Yark. pp 350-376. Anonymous, 2011. Guidelines for conduct of University and state level trials, Sorghum Improvement Project, Mahatma Phule Krishi Vidyapeeth, Rahuri, PP 1-20. Anonymous, 2014. Report of Research Review Sub-committee in Sorghum. Pre-release proposal of rabi sorghum genotype RPASV 3 for papad. Mahatma Phule Krishi Vidyapeeth, Rahuri. PP. 1-32. Anonymous, 2015. Report of Research Review Sub-committee in Sorghum. Release proposal of rabi sorghum variety Phule Rohini (RPASV 3) for papad. Mahatma Phule Krishi Vidyapeeth, Rahuri. PP. 1-36. Anonymous, 2015-16. Report of Joint Agresco 2015. Release proposal of rabi sorghum variety Phule Rohini (RPASV 3) for papad. Mahatma Phule Krishi Vidyapeeth, Rahuri. PP. 1-36. Panse V.G., and P.V. Sukhatme, 1985. Statistical Method for the Agricultural workers, ICAR, New Dheli, Publ., 2 nd ed. Table 1: Grain yield (kg/ha) of rabi sorghum variety for papad purpose RPASV 3 (Phule Rohini) in various trials \| Name of the trials \| Year \| No. of trial \| Proposed variety RPASV 3 \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| \| M 35-1 \| Dadar Local \| \| Station trial \| 2011-12 \| 1 \| 1346 \| 1720 \| - \| \| University MLT \| 2012-13 \| 3 \| 2041 \| 2700 \| 2424 \| \| University MLT \| 2013-14 \| 6 \| 1636 \| 1458 \| 1437 \| \| University MLT \| 2014-15 \| 4 \| 1682 \| 1725 \| 1947 \| \| Over all mean \| \| 14 \| 1715 \| 1819 \| 1822 \| \| % Increase Over \| \| - \| - \| - \| - \| Table 2: Fodder yield (kg/ha) of rabi sorghum variety for papad purpose RPASV 3 (Phule Rohini) in various trials \| Name of the trials \| Year \| No. of trial \| Proposed variety RPASV 3 \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| \| M 35-1 \| Dadar Local \| \| Station trial \| 2011-12 \| 1 \| 4031 \| 6587 \| - \| \| University MLT \| 2012-13 \| 3 \| 5433 \| 7159 \| 6950 \| \| University MLT \| 2013-14 \| 6 \| 4327 \| 5625 \| 6006 \| \| University MLT \| 2014-15 \| 4 \| 5255 \| 7116 \| 7930 \| \| Over all mean \| \| 14 \| 4886 \| 6973 \| 6834 \| \| % Increase Over \| \| - \| - \| - \| - \| Table 3. Grain and fodder yield of rabi sorghum variety for papad purpose RPASV 3 (Phule Rohini) in adaptive trials on cultivars field during the year 2014-15. \| Sr. No \| Location of trials at farmers fields \| No. of trials \| Grain yield (kg/ha) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| RPASV 3 \| M 35- 1 \| Chikani Local \| RPASV 3 \| M 35- 1 \| \| 1. \| Ahmednagar \| 5 \| 875 \| 1302 \| 662 \| 2970 \| 4110 \| \| 2. \| Solapur \| 2 \| 685 \| 1050 \| 565 \| 2325 \| 3450 \| \| 3. \| Pune \| 2 \| 925 \| 1175 \| 800 \| 3650 \| 4200 \| \| 4. \| Satara \| 2 \| 930 \| 1350 \| 785 \| 3000 \| 3845 \| \| 5. \| Sangali \| 2 \| 845 \| 1165 \| 680 \| 2895 \| 3735 \| \| 6. \| Kolhapur \| 1 \| 910 \| 1650 \| 790 \| 3150 \| 5100 \| \| 7. \| Nashik \| 2 \| 940 \| 1370 \| 815 \| 3180 \| 4382 \| \| 8. \| Dhule \| 3 \| 843 \| 1333 \| 730 \| 2850 \| 4300 \| \| 9. \| Nandurbar \| 2 \| 1015 \| 1400 \| 865 \| 3225 \| 4500 \| \| 10. \| Jalgaon \| 3 \| 990 \| 1496 \| 860 \| 3470 \| 4490 \| \| Mean (Total 24 trials) \| \| - \| 934 \| 1382 \| 781 \| 3178 \| 4365 \| \| % increase over \| \| - \| - \| - \| 19.6 \| - \| - \| Table 4. Organoleptic studies of sorghum papad with Finger millet and Black gram papad for general consumer acceptance during the year 2013-14 at Rahuri \| Sr. No. \| Name of the papad \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| Color and appearance \| Texture \| Flavour \| Taste \| \| 1. \| Sorghum papad (RPASV 3) \| 8.5 \| 8.2 \| 8.0 \| 8.2 \| \| 2. \| M 35-1 \| 7.10 \| 7.6 \| 7.3 \| 7.5 \| \| 3. \| Nachani Papad \| 8.8 \| 8.4 \| 8.3 \| 8.5 \| \| 4. \| Black gram papad \| 8.0 \| 7.8 \| 7.6 \| 7.8 \| Table 5. Papad quality traits of RPASV 3 with Finger millet and Black gram papad during 2013-14 at Rahuri \| Sr. No. \| Physical characters \| \| \| \| \|---\|---\|---\|---\|---\| \| \| \| Sorghum \| \| Nachani (Finger millet) \| \| \| \| RPASV 3 \| M 35-1 \| \| \| 1. \| No of papad/kg \| 65 \| 65 \| Market sample \| \| 2. \| Color of papad \| Red brown \| Faint yellow \| White faint brown \| \| 3. \| Thickness of papad (mm) \| 0.059 \| 0.057 \| 0.058 \| \| 4 \| Diameter of papad (mm) \| \| \| \| \| a. \| Before Frying \| 16.5 \| 15.8 \| 11.2 \| \| b. \| After frying \| 22.2 \| 20.1 \| 23.2 \| \| c. \| Expansion % \| 34.54 \| 27.21 \| 107.14 \| \| 5 \| Weight of papad (gm) \| \| \| \| \| a. \| Before Frying \| 16.2 \| 19.4 \| 3.6 \| \| b. \| After frying \| 19.1 \| 23.4 \| 14.6 \| \| c. \| Increase in weight % \| 17.9 \| 20.6 \| 30.35 \| Table 6. Keeping quality/ shelf life of sorghum papad stored in plastic bags and card board box at room temperature with nachani (Finger millet) and Black gram papad during 2013-14 at Rahuri \| Sr. No. \| Packing material \| \| \| \| \|---\|---\|---\|---\|---\| \| \| \| Sorghum \| \| Nachani (Finger millet) \| \| \| \| RPASV 3 \| M 35-1 \| \| \| 1. \| \| \| \| \| \| \| 0 \| Very good \| Very good \| Very good \| \| \| 6 \| Very good \| Very good \| Very good \| \| \| 12 \| Very good \| Very good \| Very good \| \| 2 \| \| \| \| \| \| \| 0 \| Very good \| Very good \| Very good \| \| \| 6 \| Very good \| Very good \| Very good \| \| \| 12 \| Very good \| Very good \| Very good \| Table 7. Nutritional constituents of grain of sorghum varieties during 2012-13 \| Sr. No. \| Genotypes \| Nutritional constituents (%) \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| Crude Protein \| Soluble Protein \| Total sugars \| Starch \| Phenolics \| Zinc \| Iron \| \| 1. \| RPASV 3 \| 8.93 \| 1.21 \| 1.42 \| 42.64 \| 1.94 \| 4.02 \| 9.68 \| \| 2. \| M 35-1 \| 8.47 \| 1.87 \| 2.64 \| 49.23 \| 1.82 \| 3.87 \| 7.35 \| \| 3. \| Dadar Local \| 8.28 \| 2.00 \| 1.57 \| 51.92 \| 1.74 \| -- \| - \| \| 4 \| Chikani (Local) \| 7.07 \| 1.68 \| 1.61 \| 42.8 \| 1.68 \| 3.63 \| 7.11 \| \| \| SE + \| 0.26 \| 0.63 \| 0.73 \| 2.34 \| 0.27 \| - \| - \| \| \| CD at 5 % \| 0.84 \| 1.98 \| 2.27 \| 7.02 \| 0.82 \| - \| - \| Table 8. Nutritional constituents of fodder of sorghum varieties during 2011-12 \| Sr. No. \| Genotypes \| Crude Protein % \| Crude fibre % \| NDF % \| ADF % \| \|---\|---\|---\|---\|---\|---\| \| 1. \| RPASV 3 \| 7.81 \| 31.54 \| 62.12 \| 42.37 \| \| 2. \| M 35-1 \| 7.38 \| 33.75 \| 64.13 \| 41.32 \| \| 3. \| Dadar Local \| 7.68 \| 30.31 \| 54.03 \| 43.65 \| \| 4. \| Chikani (Local) \| 7.51 \| 29.8 \| 55.91 \| 42.71 \| \| \| SE + \| 0.2 \| 2.06 \| 3.63 \| 1.11 \| \| \| CD at 5 % \| 0.6 \| 6.2 \| 10.9 \| 3.32 \| Table 9. Incidence of charcoal rot disease, shoot fly and stem borer pest in the rabi sorghum variety for papad RPASV 3 (Phule Rohini ) and checks (mean of three years i.e. 2012-13 to 2014-15) \| Sr. No. \| Variety \| Charcoal Rot % \| Shoot fly (Dead Heart %) \| \|---\|---\|---\|---\| \| 1 \| RPASV 3 \| 21.2 \| 30 \| \| 2 \| M 35-1 \| 23.8 \| 35.5 \| \| 3 \| Dadar Local \| 24.4 \| 36.5 \| \| 4 \| Chikani Local variety \| 22.8 \| 40 \| Table 10. Drought tolerant studies of sorghum genotypes' under moisture stress during 2012-13 to 2014-15 at Rahuri (Mean of three years) \| Sr. No. \| Physiological traits \| Proposed variety RPASV 3 \| \| \| \|---\|---\|---\|---\|---\| \| \| \| \| M 35-1 \| Dadar Local \| \| 1. \| LAI at 50 % Flowering \| 4.05 \| 4.76 \| 4.42 \| \| 2. \| RLWC (%)at 50 % Flowering \| 80.7 \| 73.7 \| 75.3 \| \| 3. \| SPAD at 50% flowering \| 57.8 \| 48.6 \| 53.0 \| \| 4. \| Leaf temperature (0C) \| -5.2 \| -4.8 \| -4.2 \| \| 5. \| Photosynthesis rate (u moles co /m2sec) 2 / \| 32.9 \| 23.9 \| 31.2 \| \| 6. \| Stomatal cond. (u moles/ m2/sec.) \| 26.2 \| 18.5 \| 23.6 \| \| 7. \| Transpiration rate (u moles H O/m2sec) 2 / \| 1.44 \| 1.28 \| 1.60 \| \| 8. \| PAR (u moles/ m2/sec ) \| 460 \| 618 \| 435 \| \| 9. \| Stomatal frequency (mm2) Adax. \| 148 \| 150 \| 145 \| \| 10. \| Stomatal frequency (mm2) Abax. \| 159 \| 168 \| 170 \| \| 11. \| Ear head exertion (%) \| 83 \| 79 \| 83.5 \| \| 12. \| No. of roots \| 39 \| 34 \| 36 \| \| 13. \| Root length (cm) \| 55 \| 53 \| 54 \| \| 14. \| Root volume (ml) \| 40 \| 40 \| 35 \| \| 15. \| Root mass (g/plant) \| 43 \| 43 \| 40 \|
Centre on Aging, University of Manitoba The Centre on Aging, established on July 1, 1982 is a university-wide research centre with a mandate to conduct, encourage, integrate, and disseminate research on all aspects of aging. For further information contact: Centre on Aging 338 Isbister Building University of Manitoba Winnipeg, Manitoba, Canada R3T 2N2 Phone: 204.474.8754 \| Fax: 204.474.7576 Email: email@example.com \| Web site: www.umanitoba.ca/centres/aging © 2011 Centre on Aging University of Manitoba Fostering Knowledge Development and Exchange on Age-Supportive Communities Report of the June 9, 2011 Meeting Toronto, Ontario Table of contents Executive summary The Public Health Agency of Canada (PHAC, Division of Aging and Seniors) collaborated with the Canadian Institutes of Health Research (CHIR), Institute of Aging and the Canadian Association on Gerontology (CAG) to host a meeting designed to foster knowledge development and exchange on age-supportive communities. The meeting, held on June 9, 2011 in Toronto, brought together 33 researchers and decision-makers. Objectives for the day were to: identify major questions and issues relevant for age-friendly • community (AFC) policy and practice; and, identify opportunities, models, potential partnerships, avenues and • requirements for ongoing AFC knowledge development and exchange The meeting involved presentations from several speakers to situate the topic and inform subsequent discussion by participants. The speakers were: Cathy Bennet (PHAC, Division of Aging and Seniors); Louise Plouffe (PHAC, Division of Aging and Seniors); Anne Martin Matthews (CIHR, Institute of Aging); Judy Brownoff (Saanich, BC); Norah Keating (University of Alberta); Richard Milgrom (University of Manitoba); and Catharine Ward Thompson (Edinburgh College of Art). The first breakout session allowed participants to discuss what evidence already exists in the area of age-supportive environments and gaps in knowledge. The second breakout session had participants identify research questions and activities to address the gaps. Lastly, participants were asked to identify next steps and activities to move ahead knowledge development and exchange in the area of age-friendly communities. Some of the key next steps mentioned by the participants included the need to: compare and align AFC with other initiatives (e.g., Smart Growth, • Leadership in Energy and Environmental Design (LEED)Neighbourhood Development). "We should not re-invent the wheel, but rather dovetail with what is already happening"; continue the dialogue by bringing together researchers, policy-makers, • older adults and other stakeholders; synthesize and disseminate existing knowledge; for example, compile • success stories (and failures); conduct evaluation projects that document the process of • implementing AFC in different contexts and examine outcomes for different groups; examine a range of research topics, including a focus on the "big • picture"—how do age-friendly domains interact and intersect—as well as how AFC plays itself out for different groups of people, across contexts, and over time; secure funding for knowledge development and exchange; • build capacity by getting students involved in AFC; and, • continue to assist communities by creating tools (e.g., guidelines) and • providing meaningful recognition. Overview Background The Public Health Agency of Canada (Division of Aging and Seniors) collaborated with the Canadian Institutes of Health Research (CHIR), Institute of Aging and the Canadian Association on Gerontology (CAG) to host a meeting designed to foster knowledge development and exchange on age-supportive communities. The meeting, held on June 9, 2011 in Toronto, brought together 33 researchers and decision-makers (see Appendix A for participant list). Objectives Objectives for the day were to: identify major questions and issues relevant for age-friendly • community (AFC) policy and practice; and, identify opportunities, models, potential partnerships, avenues and • requirements for ongoing AFC knowledge development and exchange • Overview of meeting The meeting involved: several presentations to situate the topic; and, 1. breakout sessions with participants to discuss: 2. What do we know about age-supportive communities and research ▪▪ to this point and what don't we know? What are the key gaps in research, knowledge, policy and ▪▪ planning? How can we address the gaps and what are the next steps forward? ▪▪ The agenda for the day is provided on the following page. Purpose of this report This report provides a summary of the presentations provided at the meeting, as well as a compilation of the issues that were discussed by participants. Fostering Knowledge Development and Exchange on Age-Supportive Communities Agenda Introductory comments Cathy Bennett (Acting Director, Public Health Agency of Canada, Division of Aging and Seniors) welcomed researchers and decision-makers from across Canada and abroad to the meeting. She noted that it was a mere five years ago that the Age-Friendly Cities research project was launched out of the World Health Organization (WHO) headquarters in Geneva. The needs of seniors from 33 cities around the globe were the primary data source in determining community features that promote active/ healthy aging. Today, more than 400 communities in Canada have committed to working towards becoming age friendly - and that number is growing. She further indicated that, with the collaboration from stakeholder groups from across Canada, the Division has recently developed a consistent model for agefriendly community (AFC) implementation in Canada which is referred to as the "milestone process". This process allows for recognition of AFC initiatives by the provinces, PHAC, and the WHO. Ms. Bennet concluded by noting that the initial participatory research spearheaded by the WHO was critical to the implementation and success of AFC initiatives and that responsible public policies are always evidence-based. Verena Menec (Professor, Centre on Aging, University of Manitoba) subsequently welcomed participants on behalf of the Canadian Association on Gerontology (CAG). She further introduced the objectives of the day: What research do we have? What is it that we do not know? What are the gaps? What, ultimately, do we need to do to address those gaps? How can we foster knowledge exchange? The Facilitator for the day, Peggy Edwards from the Division of Aging and Seniors (PHAC), next provided a brief introduction and overview of the day. Presentations Age-friendly communities: Policy context—Louise Plouffe Louise Plouffe (Public Health Agency of Canada, Division of Aging and Seniors) provided a policy context of age-friendly communities in Canada. She noted that the vision is to have an age-friendly approach and planning in all communities so that older adults can participate actively and be in good health. Canada has been part of the age-friendly movement since 2006, with four cities participating in the WHO Age-Friendly Cities project (Saanich, BC; Portage la Prairie, MB; Sherbrooke, QC; and Halifax, NS). Canada also took the initiative to develop an age-friendly rural/remote communities' guide. Since the launch of the two guides in 2007, there has been much progress. Partnerships have been created as well as suggested activities (milestones) by which communities can develop a consistent approach. The province of Manitoba was the first to start a provincial recognition program, linked to federal recognition and recognition by the WHO. As well, a community of practice has been created through webinars. Dr. Plouffe further indicated that the Division of Aging and Seniors has partnered with CIHR in research and knowledge translation activities in the area of age-supportive communities. The Division is partnering with CAG to develop an AFC knowledge translation platform. Lastly, Dr. Plouffe noted that the Division has been working on a logic model. One key question which requires more investigation is how, ultimately, AFC can reduce health inequalities. CIHR Institute of Aging activities in the area of agesupportive communities—Anne Martin Matthews Anne Martin-Matthews (Scientific Director, CIHR Institute of Aging) presented a brief overview of the Institute of Aging's activities in regards to age-supportive environments. She first noted that the CIHR's mandate is two-fold: 1) to create new knowledge; and 2) the translation of that knowledge into improved health for Canadians. She went on to note that it is, therefore, important to create dialogue with the community, stakeholders and older people so that the right questions that need addressing are developed. In 2005, the Institute of Aging introduced a strategic funding initiative on mobility in aging. A variety of projects were funded under this initiative. Although all the funding for the initiative has been allocated at this point, mobility in aging remains an area of particular interest. The Institute also brought together researchers from Canada and the United Kingdom (U.K.) to discuss issues in the area of the built environment. Dr. Matthews concluded by indicating that the 10-year, international review of CIHR will be available in July and that the Institute of Aging's Advisory Board will be looking at the whole array of initiatives at that point. Panel discussion of age-supportive environments—Judy Brownoff, Norah Keating, Richard Milgrom The purpose of the Panel was to set the stage for the breakout sessions. Three participants with different perspectives (political/policy perspective; rural/research perspective; and planning perspective) addressed two questions: 1) where does research fit into the decision-making process? and 2) what kinds of evidence will be valuable? Panelists had ten minutes to present. Questions and comments were taken from the floor following the presentations. Judy Brownoff Judy Brownoff (Councillor, Saanich, British Columbia) described the role research plays in decision-making processes at the municipal level. She noted that when government invests tax dollars it is important to have the data to show that there are improvements to the community. For example, in her area, municipal government has invested millions of dollars into trails. They then started to keep statistics of trail use, which showed that last year there were 1.6 million users. This demonstrated that the trails were in the right place. Although it not known whether creating trails makes people healthier, these statistics provided the opportunity to go to politicians to argue that there is a need to hire staff to clean the trails, provide washrooms, etc. Ms. Brownoff further noted that although municipal government does not have the funds to monitor health outcomes, there is a need for doing so. For example, although we know that health levels are better for those engaging in activity we do not have research-based evidence that this was accomplished with seniors in her community. She also suggested that a standard questionnaire about health outcomes would be useful to have – one to use before and after a program that would illustrate these health outcomes. Finally, Ms. Brownoff noted that there is a need to demonstrate to businesses the financial benefits of being age-friendly. Norah Keating Norah Keating (Professor, Department of Human Ecology, University of Alberta) commented on the need to be critical and evaluative in what we are doing in relation to AFC and where we are going. It is important to be aware of how political agendas affect seniors and communities; for example reducing public sector resources translates down to individuals and communities and can lead to compulsory volunteerism, whereby a small group of older adults are compelled to keep the community going. Dr. Keating further noted that it is important to consider questions such as, What do we mean by age-friendly? What does it mean across the lifecycle, across generations? For example, the Age Friendly (AF) initiative in sub-Saharan Africa is not the same as in Ontario. We also need to understand what we mean by "community", "city", "neighborhood", as these terms may mean different things depending on one's perspective (e.g., politicians, planners, or geographers). Dr. Keating further highlighted the concept of "best fit" between community resources and particular groups of older adults. Important issues to consider include: Which groups of people do we need to target or want to target? How does the size and scope of communities make a difference? Which of the age-friendly domains are most prominent? How do communities and personal characteristics and resources change over time? Finally, Dr. Keating commented on the need for applied research to gain an understanding of which interventions work for which people to bring about specific outcomes, keeping in mind that "health" is not always the key outcome. Richard Milgrom Richard Milgrom (Associate Professor, Department of City Planning, University of Manitoba) began by describing his work with communities, politicians, and people in regards to making communities more agefriendly. The challenge, he finds, is in trying to get people to understand something other than what they already have. He suggested that by visualizing it and showing it to the community, they are better able to understand the concept. He noted that research needs to document, compare and examine precedents—from not age-friendly to agefriendly. Each community is different and so the strategies for getting the community involved must be different. A solution to this would be to build a catalogue of different age-friendly strategies. Dr. Milgrom further suggested that planning should be based on research (which is currently not always the case); that we need informed community engagement (public education); that we need political will to implement plans (a city can come up with a plan, but politicians can choose to ignore it); and that we need practice-based plans that evolve and change as needed. We further need to continue research to evaluate plans as they are implemented. We also need to know who the decisionmakers are (policy-makers, politicians, communities/public, developers) so that the research can be packaged to suit different audiences. Finally, Dr. Milgrom noted that a challenge is to have people think about longterm rather than short-term goals—it is easy to have short-term goals (e.g., put in a crosswalk), but more difficult to think in the long-term (e.g., implement mixed use environments that work for older and younger people) and overcome the inertia of "this is always the way we have done things". He concluded by suggesting that demonstration projects are needed. Questions and comments from the floor The panel discussion generated a number of comments and questions from participants. Key points included: Barriers to becoming age-friendly Local governments often do not have the funding. For example, a • school board will close a school due to demographic and financial pressure to keep schools where the population is growing and close those with fewer students. Due to these school closures, children that cannot walk to school have to get a ride and therefore miss out on the aspect of walking and staying active and healthy. An interesting demonstration project would be to come up with ways to fund things we know work, to avoid having negative demonstrations like closing a school. Public health should be looking into ways to transfer resources so that we don't have negative demonstrations. There may be resistance to the concept of AF; for example there can be • resistance because a community wants to be a "young" city. There are countless by-laws and regulations that can stop us from • effecting change. For example, streets are often designed at a speed of 60km/hour but the best speeds are 40km/hour for walking and an exemption is needed to change the speed to this level. Taking into account diversity Age-friendliness is about people and places. We need to recognize the • diversity of places as they exist, the capacity of those municipalities to engage in these initiatives, and the types of people who live in those places. Age-friendliness is more than the built environment; social aspects are • also critical. We need to think about health more broadly; for example, the WHO • definition of health includes spirituality. Research evidence and funding We need to know more about causal relationships. If we change a • community is it going to make a difference? Will it improve people's health? How do we make these changes and where do we intervene? With the person or the community? For example, how do we know that if we fix a sidewalk that this is going to make the older people in the community get out and walk? We need to be clear about what kind of research we are doing within • the context of the policy-making cycle: a) agenda setting; b) policy formulation; c) decision-making; d) policy implementation; or e) or policy evaluation. The timing of natural experiments and funding opportunities are often • not aligned to allow evaluation projects. Communication and collaboration Politicians and planners work in silos – they often do not connect. • At the local level it is not the mandate of the Ministry of Health to examine programmatic effects. So bringing groups together is important and challenging. Creating relationships and community building is part of the research. Having models with researchers that work together is a win-win. • Platforms of sharing information are critical. Taking research into practice—Catharine Ward Thompson Catharine Ward Thompson (Professor, Edinburgh College of Art and the University of Edinburgh) presented on what her research team has learned when trying to get research translated into practice. Some of Dr. Ward-Thompson's suggestions to facilitate translating research into practice include: having a lot of partners; this makes a big difference in ensuring that • research is useful and useable. producing attractive publications with catchy titles and full of pictures. • creating well-illustrated guides with examples that planners and • designers can use. raising contentious issues in guides by using quotes from qualitative • research. combining qualitative and quantitative research in publications and on • websites and using numbers to make concepts easier to understand; for example, "Do you live within a 10 minute walk of a local open space? Those who do are twice as likely to achieve the recommended levels of walking". targeting current policy and practice, which gets individuals involved • more quickly and allows targeted research on issues that are relevant to public authorities and policy makers Dr. Ward Thompson also discussed some key lessons she has learned from conducting longitudinal research on environmental design such as: the difficulty and need to provide evidence on health and well-being; getting funding approval in time to undertake baseline studies; the difficulty in recruitment and retention of participants over many years, particularly in deprived communities; the strength of taking advantage of natural experiments for research, but at the same time the many delays that can occur when environmental work is put in place. These delays then also impact the research. Breakout sessions What do we know? What don't we know? The purpose of this session was to summarize the state of our current knowledge and the research activities underway or completed in terms of age-supportive community design and implementation. Further, this session aimed to identify key gaps in knowledge and research. Participants broke out into four groups pre-determined by meeting organizers to maximize the diversity of the backgrounds of the members of the groups. Each group chose a rapporteur to report back to the plenary for the group. After introductions, the groups were tasked with discussing the following three issues: In terms of age-supportive community design (built and social environments) and implementation: What relevant research activities are completed or underway/planned? 1. How robust is the state of our current knowledge? 2. What are the key gaps in knowledge and research activities? 3. Comments were grouped into the following two major categories and subthemes: What we know We know about some specific improvements that are age-friendly (e.g., benches), as • well as specific aspects of the built environment and how they relate to mobility (e.g., Geoff Fernie's research) the home environment and how to design homes to allow people • to age in place (e.g., allow space for an elevator to be added, make bathroom adaptations possible, and having all on one-level) how to make public buildings more age-friendly • assistive technology • that the data suggests associations between age-friendly community • characteristics and health the affordability of housing and transportation and that because many • seniors have low incomes, places where seniors should be living will be out of their price range walkability audits, social and economic costs of care, care-giving in • communities, migration issues and impacts, and social exclusion driving as a key issue; many seniors will at some point no longer be • able to drive We have existing data that can be mined There are national databases we can statistically test for which age- • friendly domain(s) may impact particular groups; for example, how income and neighborhood characteristics impact health. We have data from focus groups in the four cities that participated in • the WHO Age-Friendly Cities project and 11 communities that were part of the Age-Friendly Rural/Remote Communities' project. We have research on similar initiatives, including: literature on the active living movement in communities • over 20 years of information on healthy communities; we need to find • connections and partner with this initiative and others literature across disciplines • We have evaluation projects underway The focus has been on looking at the implementation of the model; we • are only beginning to look at questions for the outcomes. There is novel research underway (such as in Quebec) using an • innovative participatory approach that engages with the community and implements, assesses, and evaluates the steps. What we don't know The big picture We do not have evidence on the bigger picture of age-friendly as a • process. Why do some communities embrace the age-friendly initiative and others not? Lots of wonderful work is happening in each of the eight domains, but • we don't know how all of those fit together. We do not have evidence as to which of the eight age-friendly themes • are important for specific groups. We need to learn how it all fits together – one thing may not produce • change, two may not, but three may change the community. There may be non-linear effects (there may be a tipping point among social networks). We do not know the role of the private sector and should we look there • instead of loading this entirely on governments? Should we redefine health? Is it broad enough and does it capture • enough? We need to look at geographical versus social issues and neighborhood • versus city. We need to look at the interface between the individual and the community. What is my community and how do I influence it? But also how does it influence me? Are we too focused on the environment? If we create a better • environment for older adults will they use it? We must examine the built, social, and natural environment. How • does the natural environment affect the age friendly community? For instance, climate change. Addressing diversity—one size doesn't fit all We have a one-size fits all approach; for example curb cuts – one • design may not be for everyone. We need a more nuanced understanding. Can we really have a • universal design? Do the needs of one group mesh with the needs of another? We have not looked at issues for different cohorts within a senior • population, such as between the young-old and the old-old. Are there generations of connectedness? Is it very different in the • current cohort to the generation coming soon? What about those that Twitter and use Facebook? How will social media affect social connections? Research needs to start to look at differences in age, ethnicity, socio- • economic status, regional differences and mindsets (values and attitudes) in these areas. We need to understand political attitudinal differences, cohorts (e.g., • the baby boomers – will they move?). We need to examine the life course and understand how the different • groups transition into stages. Do urban and rural communities differ with respect to features that are • considered age- friendly by senior residents? Evidence of causality and/or methodological issues What is the robustness of our knowledge – what comes first? That is, • if we make the changes, how do we know it works? If we build it, will they come or do we need them first before we build it? We need better evidence of causal relationships. • Research around place is challenging because of migration of people • into and out of the community. We need to "walk the talk," but we need the evidence to convince • decision-makers. We don't have it to the degree that we would like. We do not know if the association between age-friendly communities • and health is enough to make decisions. Do we need this information to make decisions? What evidence do we need? Can we localize this evidence to the communities? Can the evidence be creative or does it have to be empirical research from a quantitative approach? We are not good at interdisciplinary/cross-sectoral research. Different • stakeholders need different evidence. The evidence gets interpreted by decision-makers and researchers can • only give evidence shaded by /caveats of research. Researchers need to be conscious of this. What counts as evidence? It is hard to step outside our disciplines to • understand what counts. Policy and cost-benefit We do not know about costs (to whom) and benefits; for example, the • cost is to the city, but the benefit may be to the province. Where do policy levers lie? Who controls policy? Who sets the • standards? We do not know the broad policy context and how to effect change? As • policy is implemented, how does it impact age-friendly communities? Knowledge synthesis and transfer There needs to be a central fact forum where researchers can go to find • out what is going on. There is a gap in systematic sharing of what is happening. • When you go into a community they often say they do not need • change – so we need to coach them as to why they do need change. Evaluation projects We need a better understanding of the activities underway in • age-friendly communities' projects that are related to the social environment, and an evaluation of these activities. Do age-friendly community changes make a difference for seniors? Does getting outdoors make a difference for older people? We need an evaluation where the mechanism plus the context equals • the outcome. In other words, find out what works for whom under what circumstances. Is the mechanism realistic and how was it changed and distorted? We need the implementation context. What is the impact of age-friendly community interventions on the • physical and mental health of older persons and what are the economic impacts/benefits? What is the impact of cognitive impairment on exercise and social • engagement (and vice versa)? We need to tease out the causal effects of the interventions (there is a lot of interplay and it is difficult to assess a particular effect or impact). We need to look at the competitive advantage of cities as an age- • friendly city. The argument is being built around the idea that the people with money are going to move to places that are attractive to grow old in. We need to do migration studies. For example, some towns are pitching themselves as age-friendly which is a boon for them. However if the other towns around them are not changing as well, this may exacerbate inequities among cities/towns and may displace other people. We need to have before and after studies of current interventions. For • example, the effects of urban densification on access to open space; the effects of shared spaces where cyclists, motorists and pedestrians share the same space; and the user-friendliness of tactile paving. We need an evaluation of equipment and designs intended to promote • mobility. There is a need for intervention studies and programmatic • interventions in different communities. Is it enough to change the environment or do you also need programs to make change happen? For instance, a pilot study could be undertaken that looks at the feasibility and power of one-on-one interventions with older adults to see how they move currently and then with a new destination. We need to look at the intergenerational relevance of age-friendly • communities, further exploring the implementation of age-friendly communities and if they are sustainable. Addressing the gaps In this session, groups were asked to review the gaps identified in the first session and then to identify key research questions and activities to help address the gaps and strengthen policy and practice related to agefriendly communities. Comments were grouped into the following major categories: Taking a holistic approach We need to know what the points of intersections are along some of • the action plans. Can we bring them together? How can this strengthen our understanding of age friendliness? Sometimes the eight agefriendly domains are not discrete and are overlapping. It is hard to disentangle them. Sometimes policies are discrete and sometimes they intersect. Are there certain ones that cluster together more than others? How do you do a study that captures the gestalt? When you put it • under a microscope you find so much divergence. Can you break it down? As a whole, can you capture it? Is the age-friendly community template flawed? Is the starting place of research a process evaluation? We need to get single-track research themes to interact; the reality • is more complex than the domain-specific themes (e.g. housing; transportation) Where do interactions occur between domains? Can domains be • clustered, and can the cluster components be measured? How do these interactions affect our understanding of age-friendly communities? With age-friendly communities we can focus on particular domains • such as transportation and housing and leave out the other domains, but it is hard to imagine those ones alone since they can touch the others. Comparative research—across groups, contexts, and time We need to examine the extent of the compatibility of needs of any • one group and the incompatibility of needs. How can we bring them together as one group? How can incompatibilities be resolved? What incentives are effective in influencing behaviours? For examples, • what tradeoffs do people make in deciding to go or not go to the park? We need to compare older people who had to move towards the city • center and see what they have gained and lost versus those who stayed in place. What do people seek in the environment and how does this change • over time? How can the environment become more age-friendly around specific issues, for instance in cognitive impairment? How do we build in flexibility and adaptability to that group? What demands do people make on the environment and how does this • change as people grow older? What kinds of environmental features are effective in accommodating aging-related changes? We should conduct an environmental scan on what has been done on • intergenerational projects. What can we learn? What changes to the built environment that are good for older adults are good for other age groups/ everyone? What can we learn from intergenerational work in other sectors? What is the benefit of intergenerational programs on older adults/ • youth/child health (with health broadly defined)? How do different generations use space to live, work, play? How do • they perceive "play"? Is what is good for older adults also good for children and youth? How can generations come together to learn how to share space? We need to look across generations, socio-economic groups, and • abilities. What is the impact on seniors, economics, relationships, and for the • decision makers? We need to assess the gap between the public and private sphere. • Evaluation projects We need evaluations of indirect/direct causality. As such, we have to • be cautious in choosing long-term outcomes; rather we might choose shorter-term outcomes. We need to include a process evaluation that documents the process • and identifies the barriers and facilitators to change/implementation and sustainability. For example, collect stories, and develop case studies (successes and failures) including all the details, that is, fully contextualized. Age-friendly communities must be recognized not as an end point, but • an ongoing process. We require a logic model with outputs specified (process evaluation). • We need to determine what success is at the level of the community • and at the level of the individual. What predicts community success and what predicts individual success? At the individual level health and happiness are important indicators • of well-being. Can we measure this? We need to examine where age-friendly community initiatives have • not met the goals or has not been carried forward. We like to orient towards success, but we often learn more from the failures and asking questions as to why that happened. How adaptable is the age-friendly cities process to a range of • communities? When and why does the age-friendly cities process fail? Benefits to municipalities What are the benefits to municipalities? Can we look at some of • the different policy perspectives and the ways they act at different jurisdiction levels, and how they create age –friendly changes? What are the benefits to municipalities of investing in seniors? • Is the age-friendly toolkit a research tool or a community development • tool? We need to get a dialogue going with the people who developed it. Specific topics We should conduct research from a real estate perspective; for instance, • is there any change in looking for houses regarding age-friendliness? How do we make suburbia more age -friendly? Should we be thinking • about aging in place? What is the experience of people who move? What do they experience • as gains and losses? How do they evaluate their decision to move? We need to look at factors that influence changing housing type. • We need to understand how age-friendly communities start from • a community approach and then go theoretical. A theory driven approach is useful as well, but theory can also come out of the research. Research designs Mixed methods, interdisciplinary and cross-sectoral are important. • Quasi-experimental designs to assess the effect of the environment at • different points along the causal chain are needed. What is required is a multi-year, international case study approach – • applied age-friendly city approaches and then a meta-analysis to see what the successes and failures are. Alignment of age-friendly initiatives with other initiatives What is the difference between age friendly communities and healthy • communities? Age friendly and active aging? It is a new name but perhaps it is the same thing. We need to harmonize, align, and recognize the common elements of • age-friendly communities currently used by planners and decisionmakers. Can the WHO active aging framework, which is comprised of three domains (health, participation, security) provide a common language for the age-friendly model? We could design a matrix that includes the three active aging domains (health, participation, security) and a number of initiatives planners are using (see Table 1 below). Advantages of this approach would be: We do not need to create a new tool, but instead highlight where ▪▪ age-friendly communities fits into other tools and this therefore provides a common language for communication. A matrix design could bring people together and ground the ▪▪ different systems of organization at the scale of local municipalities, planners, politicians, etc. The matrix design could be part of an interactive website that ▪▪ shows what other places are doing. Within the matrix one can have: ▪▪ Case studies and examples in a tool box * Similarities and differences with other initiatives and tools * A link to political priorities and government mandate * (opportunity to advocate for health through other issues like participation and security) Matrix developed by one breakout group that links the WHO Table 1: active aging framework to existing frameworks and AFC Next steps Participants were asked to consider the question: "What next steps/ activities are needed to move knowledge development and exchange ahead in the area of age-friendly communities?" They were then tasked with writing their answers on an index card. Each participant could provide as many as three next steps. The following presents key groupings of the next steps written down by participants: Aligning age-friendly with other initiatives We need to dedicate capacity to identify the co-benefits that exist • between the goals of age-friendly communities (AFC) and those of other local development initiatives. We need to limit the perception that the AFC agenda is competing with other initiatives in all aspects. We need to work to highlight and/or compare how AFC fits into • already established planning tools. We should not re-invent the wheel; rather we should dovetail with what is already happening. We must analyze existing initiatives and tools for common elements • (matrix – see Table 1 above) that overlap with AFC. There is a need to research and develop a list of relevant planning • philosophies and models (e.g. Healthy Communities, LEED, Regional Growth Strategy, Built Environment, Climate Change, Green Buildings Framework, etc). Maybe the development industry (i.e. Urban Development Institute, Home Builders) could help fund this. We should flesh out and develop the matrix model (see Table 1) and • link it to the policy agenda. We must create knowledge transfer framework(s). The matrix model • (see Table 1) should be a high priority. We need to move forward on the matrix (see Table 1). • Continuing the dialogue We must support ongoing dialogue between researchers and policy- • makers; i.e. there are opportunities to translate knowledge to action over time. There needs to be continued opportunities for researchers, policy • makers and older adults to talk about AFC and the research agenda. We should have policy meetings among municipalities that are • interested in AFC and those where it has been successful and those where not. Researchers can be observers. This would inform process research. We need to continue the dialogue around AFC (e.g. with workshops) • to take steps like creating teams and starting specific projects. We need to get communities working together in partnership • (including citizens, policy and decision-makers, etc.) to ensure the needs of all are met. We need to allow time and funds to get to know people in advance as • it potentially leads to excellent collaboration. We must continue with the engagement that has begun today, as it has • provided an opportunity to think outside the box and to be creative in a warm nonthreatening environment. Regular forums should be started to get researchers and policy-makers • together. Knowledge synthesis and transfer We should share the information gathered today with relevant federal, • provincial, territorial, and municipal departments (e.g. CMHC, HRSDC, CIC, Health, Planning) We need to create an interactive website repository of AFC and related • projects, research, and tools (e.g. development, evaluation, etc.). We must disseminate existing knowledge on AFC in Canada through a • website (and perhaps other means). It is necessary to mobilize research knowledge across the country. We • do not always know what people in other regions are doing. There should be a follow up to this meeting at the one-year mark with • research updates, progress, and examples. Workshops should be held with city planners, health planners, etc. to • communicate research and findings. We must provide an area of exchange for partners and stakeholders • working in AF communities. There is a need to establish inventory of AFC projects in each province • (to date) and lessons learned (one or two). We should compile and describe successful precedents of age- • friendly interventions at various scales and in all topic areas; include information on how they gained approval, gained funding, and evaluations (if available). There must be a knowledge synthesis of literature, including gray • literature. There needs to be more sharing of experiences, "success stories". • We need a data base of activities and AFC initiatives based on type • (e.g. transportation, housing) We need to develop a framework within which findings can be fitted • and shared. We need to create and populate a user-friendly platform to present • evidence available and how it matters and to whom. Start compiling stories on AFC projects—from citizens, champions, etc. • (could be topic focused). Collect stories from people in different circumstances who have aged • in different environments. Provide a summary of an example of AFC municipal councilors and • researchers working well together. Evaluation projects There is a need for creating a research network that includes policy- • makers, planners, older adults, developers and researchers. This network should develop multi-site AFC research projects focusing on: process and implementation evaluation; outcomes evaluation; and costs/benefit analysis. We need to bring key influential policy-makers together with • researchers committed to making something happen. We need to forge a partnered agenda that serves to establish a rigorous and relevant evaluation (including baseline data, outcome focused measures, and longitudinal design) so as to create appropriate practice-based evidence for AFC. Develop a base questionnaire at the start of program (or initiative) and • one for after the program is completed. This might help develop more relevant on-the-ground results. Commit to 3 to 5 year evaluation of AFC process/implementation. • Facilitate applied research to measure the effects of the AFC • implementation underway There is a need to get commitment from municipalities to offer • interventions as opportunities for research and evaluation. Specific research questions and topics A focus on developing a research agenda that answers the right • questions. Lots of gaps and ideas for research, but we need to ask what is most important and most likely to be funded. Decide whether research questions are short-term (need to develop • indicators) or long-term (more fundamental). Distinguish (AFC) research questions from applied community • development research questions. Get consensus and creation of research teams, i.e., develop some key • research questions through research development workshops. Research on interventions with "seniors-in-training" (i.e. age 50–64). Is • this the place to start AFC type awareness and programming? Address the sustainability of AFC projects. • How to address the representation of elders in AFC (moving from • tokenism to full participation). Address housing issues. • Identify three areas of research; for example housing/aging in place, • health outcomes of built environment, and cost benefits of AFC; and then develop strategies for disseminating the results. Survey the needs of those involved in AFC—the seniors only. • What would an age friendly community look like in a First Nations • community? There are many diverse communities and so a universal design may be difficult. Support and enable critical analysis of AFC. Much of the literature is • blindly supportive. It is hard to believe it is all good. Communities are interested in AF initiatives but are restricted by • resources and time. Thus, we need research that would help them choose between different AF initiatives. Identify gaps (theoretical, methodological, and practical). • Understand the complexity of the issue (AFC is global and micro) and • work towards solutions that are not necessarily "quick", "neat" or over-simplified. We need to be sustainable and reflective. Consolidate the research questions and send them to all participants • for comments. Tools Create AFC guidelines and checklists that are usable by planners at the • municipal level. Refine AFC tools and identify ways to empower non-traditional • decision-makers to push the AFC agenda. Continuing the momentum To move forward we should localize the AFC certification process • (i.e. provincial/territorial) and tie certification to meaningful benefits/ penalties. We must establish processes needed to develop partnerships that will • lead to adoption/implementation of AFC model and guidelines. Funding $ $ $ • We need targeted funding to support intervention research. • Allow long-term funding for research/demonstration projects and • follow-up studies. Funding, vision, and support needs to be provided for • interdisciplinary research teams to form and collaborate in understanding how communities interact and change. Allocate research/knowledge transfer funds to AFC ($ $ $). • Collect and analyze longitudinal data of effectiveness of environmental • interventions. This kind of research needs long and flexible funding for up to 10 years and not only for 3 or 4. Building capacity Provide student researchers with opportunities to share their • enthusiasm and experiences. We should address the question of how to promote student researchers • in AFC. Fireside chats with students and postgraduate fellows participating in • AFC research from Canada and other jurisdictions. Student presentations on process evaluation. • Closing remarks Louise Plouffe from the Division of Aging and Seniors (PHAC) closed the meeting by describing the next steps to be taken and thanking participants for attending the meeting. She noted that as a first step, the Canadian Association of Gerontology will create an inventory of research that is underway or completed relevant to age-friendly communities on their website. The meeting today will help towards the set up of a Knowledge Translation tool that will be available for different audiences. As well, it is hoped, today's meeting will help generate applied research. Appendix A: Participant list Fostering Knowledge Development and Exchange on AgeSupportive Communities—Participants List Thursday June 9, 2011 Toronto, Ontario Appendix B: Workshop evaluation At the end of the workshop, a survey was handed out to assess the usefulness of the meeting and obtain suggestions for future workshops. Twelve participants (36%) completed the survey. The following is a summary of responses. All participants that completed the evaluation felt that the workshop • was a good use of their time. 67% felt that the workshop was able to identify major questions and • relevant issues for AFC policy and practice to a "great extent". The remainder felt it do so to a "standard extent". Half of the participants felt that the workshop was able to identify • opportunities, models, potential partnerships, avenues and requirements for ongoing AFC knowledge development and exchange to a "great extent"; the other half indicated it did so to a "standard extent". All participants felt that the workshop agenda was structured in a way • that maximized information sharing and interaction. Key areas participants mentioned that should be continued or • implemented in future workshops included: following up sessions regarding partnerships for AFC projects ▪▪ continuing to blend researchers and policy-makers in workshop ▪▪ invitees maintaining the size of the meeting, as it was a good size and had ▪▪ good group dynamic using the breakout (small group) format as it made knowledge ▪▪ sharing much easier providing introductions from all participants and not only those in ▪▪ one's group allowing time to discuss the review documents sent beforehand ▪▪ including in future meetings a person from the WHO and other ▪▪ relevant federal departments focusing more on opportunities, models, potential partnerships, ▪▪ avenues and requirements for ongoing AFC knowledge development and exchange having multiple breaks to provide networking with others ▪▪
FOUNTAIN YOUTH of Fee-only planner Marnie Aznar finds success and satisfaction serving her peers: young professionals juggling the demands of work and family BY KAREN HANSEN WEESE I F YOUR CLIENTS CALL TO SAY THEY'RE BRINGING THEIR CHILDREN to your meeting this afternoon, you'll probably put on an extra pot of coffee for the additional visitors, review the succession plan that is transferring ownership of the family business to the next generation, and print out some materials regarding the grandchildren's college funding. Not Marnie Aznar. When her clients call to say they're bringing their kids, she's more likely to set out some apple juice in sippie cups for the extra guests, scare up a few stuffed animals, and arrange coloring books on an office coffee table that's just the right height for pint-sized artists. While many advisors duke it out over the wealthy silver-haired set, Aznar, of Aznar Financial Advisors in Morris Plains, New Jersey, has found success and satisfaction serving folks who are more likely to have a stroller in the trunk than a set of golf clubs, and whose night on the town is less likely to be an evening at the opera than a dance recital of a dozen kindergartners twirling about in pink tutus. comfortable with me." When Aznar tells her clients, who range in age from the mid-20s to the mid-40s, that she understands their concerns about educating their children, affording a home, or handling the tug-of-war between career and family, they know she really does, because she's facing them, too. "I have a lot of young professional women who are moms, and they're dealing with the same struggles I am," she says. "It just makes it easier for them, and for me, to be able to relate." At 29, married, and with a two-year-old daughter, Aznar fits her own client profile to a T—but she found her target clientele almost by accident. When she founded her fee-only firm four years ago, she simply didn't think that most well-heeled retirees would trust a 25-year-old with their seven-digit portfolios. "Maybe I didn't have enough confidence at the time, but I just didn't think that a 65-year-old man with $3 million was going to hire me," she says. "Perhaps inevitably, I felt more comfortable with clients who were more similar to me, and they felt more Although Aznar started her professional life working with the aforementioned moneyed oldsters (she spent two years providing financial planning to corporate executives at the Ayco Company, LLP, and one year doing so at PriceWaterhouseCoopers), she especially enjoys helping young clients because their futures are wide open. A few smart moves early in the game can change the shape of a young client's future on a scale that can't be matched by even the cleverest financial strategies implemented for an older client, she notes. "I had a young couple, both 25 years old, with no idea where to even begin. To spend a couple of hours with them and get them on the right track, so that they're saving in the right places, can make such a tremendous difference. They hadn't even heard of a Roth IRA, and weren't contributing to their 401(k)s because they didn't think they could," she says. "It makes you feel great to be able to help them start out on the right foot." Despite the industrywide drooling over the prosperous baby boom demographic, an equally appealing market can be found among the next generation, says Aznar. "But they're much more skeptical than the baby boomers, and so they're looking for conflict-free, objective advice," she says. That skepticism works out well for the fee-only Aznar, who charges clients one of three ways: an annual retainer fee; a one-time project fee for a comprehensive financial plan; or an hourly rate. The different models enable her to help people who wouldn't typically get the benefits of working with a fee-only planner, she says. Moreover, since so few fee-only planners accept her target clients, the referral pipeline is almost always brimming. "When someone in their 30s in northern New Jersey without a tremendous amount of assets types their zip code into NAPFA's Web site, there aren't that many options for them [other than my firm]. So I get a lot of business that way!" she says with a laugh. Saving Grace Aznar's clients generally have few assets in the bank, but their incomes are substantial, and one of their most pressing concerns is the way those substantial sums seem to slip through their fingers. Getting clients to cut spending might seem like one of the less appealing aspects of financial planning. While nobody wants to be the grim-faced party-pooper forever glowering at a client's every splurge, clients who are overspending generally know they're overspending, Aznar says. They just don't know what to do about it. Aznar starts by having the clients track their spending for at least two months to establish where the money is actually going. "The process, although sometimes a bit painful, has been a real eye opener for a lot of clients who are shocked at how much money is going to Dunkin' Donuts or Starbucks every month, or to dining out or personal care," she says. "This process can often be the beginning of a reduction in spending because it raises their awareness about their actual cash flow, which is very different than what they had thought." To reduce insurance expenses, she may recommend raising the deductibles on the clients' policies; to reduce entertainment expenses, she may suggest that they reduce or cancel subscription services (such as cable TV) that they're not actually using. If the client pays a health club membership but never actually goes to the club, she'll encourage them to cancel it, too. "I'm a big believer in exercise and physical health, but if they're not going and they know they're not going to go, why waste the $60 every month?" she says. To diminish the impact of future spending, she'll counsel clients to spread their major expenses over several years, rather than incurring them all at once. "If the client wants to redo their basement, their kitchen, and their landscaping, showing them the impact of doing it over four years instead of all right now is usually appealing to them," she says. As for encouraging future savings, Aznar often recommends a "savings by default" approach, rather than a traditional budgeting regimen. Once the clients decide how much they can contribute each month to their MARNIE AZNAR Marnie Aznar Aznar Financial Advisors 14 Raymond Road Morris Plains, NJ 07950 Phone: 973-540-8850 Fax: 973-755-9196 www.aznarfinancialadvisors.com email@example.com Year practice began: 1999 Number of advisors in office: 1 Number of clients: 45 Compensation method(s): Fee-only (annual retainer, project fee for one-time financial plan, or hourly) Fee for managing assets: NA Hourly rate: $150 Clientele: Typically young professional couples ranging in age from mid-20s to mid-40s and living in northern New Jersey Education: Bachelor’s degree in hotel administration from Cornell; MBA from Fairleigh Dickinson University (New Jersey) Previous incarnations: Comprehensive financial planner for corporate executives at Ayco Company, LLC; similar posi- tion at PriceWaterhouseCoopers Professional designations: CFP Outside interests: Running, playing volleyball, teaching finance courses at a local university, spending time with husband and two-year-old daughter 401(k) plans, 529 plans, IRAs, and other savings vehicles, she sets up the clients' accounts so that all of the contributions are made automatically. "I have found that when money is automatically withdrawn, be it through a deferred comp plan, a 529 plan for their kids, or a taxable account for long-term savings, somehow they manage to live without it," she says. The approach works. Aznar helped one client couple that was saving $20,000 per year to begin saving a whopping $125,000 instead, simply by enrolling both spouses in their deferred comp plans at work, enrolling one spouse in a supplemental savings plan, establishing an automatic monthly contribution to a 529 plan, and setting up an automatic monthly transfer to a savings account for shorter-term goals. Striking Out on Her Own Providing comprehensive planning can be a stretch for the staff of any firm, but when that staff is only one person, it can be especially tough. Still, Aznar wouldn't have it any other way. Being her own boss allows her to set her own schedule: She generally works all morning in her home office, spends a few afternoon hours with her two year-old, Chloe, and then works again for several hours in the evening. "It works out well because most of my clients want to meet in the evenings or mornings, anyway," she says. "I end up putting in more than 40 hours a week; TURNING THE TABLES T HE CLICHÉ ABOUT BEING "ON THE same side of the table" as the client is about as old and tired as they get in the planning world. There are times, however, when it pays to really sit there—not just on the client's side, but in their chair (preferably when they're not in it, unless you want a whole different set of problems). When Marnie Aznar conducted her client evaluations recently, she was pleased by the positive responses, but totally surprised by one entry: "Your chairs are uncomfortable." "Who knew?" she says with a laugh. "I don't sit in those chairs, so I would never have known that without the evaluation. Client evaluations are really helpful, because certain issues comes back that you wouldn't necessarily think of." Still, as Aznar notes, it's even more helpful to put yourself in the client's place on an emotional level, especially when things don't go as planned. Soon after launching her firm, Aznar helped a client roll over an annuity, and although she and the client discussed surrender charges and she even asked the client to confirm that the surrender charge period had ended, neither of them actually confirmed that fact, and the client was charged. Although the client didn't expect Aznar to eat the fee herself, she did so. "I felt that the right thing to do was pay for it, learn from my mistake, and move on," she says. "I think in the long run, it was a small price to pay." The client was impressed, says Aznar. "She told me, 'I never would have asked you to pay it, but you're a good businesswoman.'" it's just kind of a split shift." She also enjoys not having to deal with the rigmarole of office politics. "Working at home, you get so much more done. That was one of my frustrations in the corporate environment—that it was all about face time," she says. "If I'm efficient enough to get 10 hours worth of work done in 6 hours, I should be able to reap the benefits of that, rather than having to stay at my desk and look busy. When I'm in my office, I can work, and get my work done." Aznar makes the most of her hours in the office by embracing technology in a variety of forms. She maintains a paperless o f f i c e u s i n g P a p e r P o r t s o f t w a r e (www.paperport.com) for electronic filing and an e-mail service called MaxEmail (www.maxemail.com), which enables her to receive faxes as PDF files sent to her email account. The latter service "seems so minor, but it's a great change, because if you're paperless, you'd have to scan those faxes," she says. "Now I just save them and never have to print them at all." To skip a step in the other direction (for outgoing e-mails), she uses a program called AttachPlus (www.attachplus.com) to convert files of all types into PDF files in a single step. "If I have a Word or Excel document and I want to attach it to an e-mail as a PDF, I can attach it, convert it, and password-protect it, all in one move," she says. She employs e-mail for client communications as much as possible, and d e p e n d s u p o n a p r o g r a m c a l l e d ProTracker (www.protracker.com) for client contact management. Without an onsite IT staff person, it can be difficult to stay on top of the latest technology advances, but Aznar finds assistance in industry publications, particularly The Virtual Office News (www.virtualofficenews.com), published by Joel Bruckenstein and David Drucker. She also calls upon experts from time to time; she recently consulted Trumpet, Inc., a technology consulting firm serving financial planners, for assistance with her scanner and electronic filing system. "It was only a couple of hours over the phone, but it was a really good investment," she says. Outsourcing Her Way to Success Outsourcing has also proven fruitful for this one-woman firm. Aznar depends upon L o w L o a d I n s u r a n c e S e r v i c e s (www.llis.com) of Tampa, Florida, to handle the legwork associated with procuring insurance. For clients with significant portfolios, she looks to a company called Portfolio Solutions (www.psinvest.org) in Troy, Michigan, for asset management services. After assessing the client's risk tolerance, Aznar contacts the company with a general recommendation, such as a 60/40 stock/bond allocation. The company responds with an allocation of specific funds for Aznar to review and revise; once she's happy, she takes the portfolio directly to the client. All client communication is funneled through her, and the service costs 20 basis points, charged directly to the client. "They're 100% passive, so they use DFA and Vanguard and exchange-traded funds, and they build muni bond portfolios in taxable accounts," says Aznar. "They do all of the actual investing and portfolio reporting, they look at the accounts every week to see if they need rebalancing, and they're very aggressive with tax-loss harvesting. So far, it's worked out really well." Giving an Education As if running a one-woman firm and chasing after a two-year-old weren't enough to keep her busy, Aznar also enjoys teaching finance courses at Fairleigh Dickinson University, where she herself earned an MBA. She teaches undergraduate and graduate courses, as well as a program aimed at teaching high school students about personal finance. "It scares me that people can go through 12 grades, four years of college, get an MBA, and still have no idea about personal finance. I can't believe the level of professional people who come into my office and don't know what a stock or bond is, though it's not their fault, because [that kind of information] isn't integrated into our educational system," she says. "We as a profession really need to make an effort to educate our youth about personal finance, and [this course] is my way of trying to contribute a bit to that." SPREADING THE WORD D O YOU EVER FEEL LIKE YOU SPEND MORE TIME, EFFORT , AND MONEY luring new clients to your door than actually working with existing clients? Perhaps you're making things harder than they need to be. and then simply sends an e-mail introducing herself and directing the prospect to her Web site for more information. Marnie Aznar keeps it simple by eschewing several old marketing standbys, including the glossy brochure, the seminar, and the direct-mail campaign. Instead, she prefers a more subtle approach: She makes herself available as a media source, networks with other planners and professionals, and keeps her Web site and her NAPFA and FPA referral profiles as up-to-date as possible. While many NAPFA members aggressively court the many referrals that come to them through the organization's Web site— plying them with shiny pamphlets, phone calls, and tomes of information—Aznar tends to hold off until the right client comes along, Once prospects reach Aznar's Web site (www.aznarfinancialadvisors.com), the process of getting them into her office for an initial meeting requires only a small investment of time on her part. The site spells out her credentials, ideal client profile, compensation structure, and other details, and there's a link on the site with directions to her office, so she doesn't even have to call to give them directions. Aznar's young clients respond well to this Web-based approach. "The people that I'm targeting look for a planner by going online and doing a Google search for a feeonly planner in the area," she says. "A lot of times I'll have a prospect come in, never having spoken to them on the phone; we've just communicated by e-mail." In an industry where advisors are encouraged to focus on wealthy retirees and to flock together into ensemble firms, Marnie Aznar and her single-proprietor firm are doing just fine. In a world where the most common form of fee-based compensation is based on assets under management, Aznar's approach to serving young clients on a retainer or hourly basis is proof that you can find rewards, both personal and professional, in ignoring the conventional wisdom. Young professionals struggling to manage expenses and build their portfolios may not be the slam-dunk revenue producers that older, wealthier clients are, and it might seem odd to have crayons and teddy bears in your office for the emergency entertainment of young visitors. Then again, whom would you rather serve: The people you can guide to financial security, or the ones who are already there? IA IA Assistant Managing Editor Karen Hansen Weese can be reached at firstname.lastname@example.org. INVESTMENT ADVISOR™ (ISSN 1069-1731) is published monthly except semimonthly in December by Wicks Business Information, LLC, 3 Revmont Drive, Suite 200, Shrewsbury, NJ 07702. Tel: 732-389-8700. Periodical postage paid at Shrewsbury, NJ, and additional mailing offices. Subscription Rate: $79 per year. POSTMASTER: Send all subscription orders, changes of address, and correspondence to Investment Advisor, P.O. Box 536 Plainview, NY 11803. ©Copyright 2004 by Wicks Business Information, LLC. Reproduction, photocopying, or incorporation into any information retrieval system for external or internal use is prohibited unless permission is obtained beforehand from the publisher in each case for a specific article. The subscription fee entitles the subscriber to one original only. Unauthorized copying is considered theft. The publication is designed to provide accurate and authoritative information in regard to the subject matter. It is sold with the understanding that the publisher is not engaged in rendering investment advisory, legal, or accounting services. If such assistance is required, seek the advice of a competent professional.
ALL THE PEOPLE OF THE BIBLE This article identifies all of the people whose proper names occur in the Bible, excluding the deuterocanonical books. I The names are set out alphabetically as they are spelled in the King James Version, with variant spellings enclosed in brackets [ ]. The meaning of the name is then given in parentheses ( ). Under each entry, various individuals bearing this name are differentiated by boldface brackets, like this: [1]; [2]; and so on. Then follows a description of the character, with several Bible verses listed where the name occurs. (Not all verses could be given; so if the reader is considering a passage that is not cited in the section, he must choose the character that would most likely be identical with the person in his passage.) The meanings of the names are not infallibly accurate; they are simply interesting possibilities. These names are ancient and their history is obscure and uncertain. We have made no attempt to designate each person as a Palite, Harodite, Gileadite, and so on. Many of these designations refer to the ancestor of an individual; in other cases, they refer to the person's city, district, or distinctive clan. It is often a guess as to which meaning is intended. Many people in Scripture bear the same name. In dozens of cases, we cannot determine whether an individual in one book is identical with someone having the same name in another book. In the ancient world, a person was often called by more than one name. We find variant forms and contractions of names through the Bible. They probably presented little difficulty to an ancient reader. But this further complicates the identification problem for us. In the transmission of Scripture, copyists occasionally made errors. Surely Reuel was not also called Deuel, nor Jemuel called Nemuel, and so on. Yet which is original? Only in a few cases do we have any clues. The Hebrew genealogies are abbreviated at many points. At times it is difficult to distinguish a man from his ancestor. Consider also the problem of trying to match an abbreviated list with a fuller list. Either the names in the abbreviated list are independent of the longer list or they are already included in it. In other words, we may find the same person included in two lists or two different people in two lists. In a few cases, our English versions use the same word to transliterate several similar Hebrew names. In these instances, we have recorded a separate entry for each Hebrew name (e.g., Iddo). Ibhar ("chooser; Jehovah chooses"), one of David's sons born at Jerusalem (2 Sam. 5:15; 1 Chron. 3:6). Ibnijah. See Ibneiah. Ibneiah [Ibnijah] ("Jehovah builds up"). [1] A descendant of Benjamin (1 Chron. 9:8). [2] A man of Benjamin whose descendants lived in Jerusalem (1 Chron. 9:8). Ibri ("one who passes over; a Hebrew"), a descendant of Merari in the time of David (1 Chron. 24:27). Ichabod ("inglorious"), son of Phinehas, born after his father's death and after the ark was taken (1 Sam. 4: 1922). Ibzan ("famous; splendid"), a Bethlehemite who judged Israel for seven years (Judg. 12:8-10). Idbash ("honey-sweet"), one of the sons of Abi-etam (1 Chron. 4:3). Iddo ("beloved"). [1] Captain of the tribe of Manasseh in Gilead (1 Chron. 27:21). [2] A descendant of Gershon (1 Chron. 6:21); called Adaiah in 1 Chronicles 6:41. Iddo ("honorable; happy"), the official of Casiphia who provided Levites for Ezra (Ezra 8: 17). Iddo ("timely"). [1] Father of Abinadab (1 Kings 4: 14). [2] Grandfather of the prophet Zechariah (Zech. 1:7; Ezra 5:1). Igal [Igeal] (" Jehovah redeems"). [1] One of the twelve spies sent to search out Canaan (Num. 13:7). [2] One of David's heroes (2 Sam. 23:36). [3] A descendant of the royal house of Judah (1 Chron. 3:22). Iddo ("adorned"). [1] A prophet who wrote about the kings of Israel (2 Chron. 9:29; 2 Chron. 12:15). [2] A priest who returned to Jerusalem with Zerubbabel (Neh. 12:4); perhaps the same as [1]. Igdaliah ("Jehovah is great"), ancestor of persons who had a "chamber" in the temple (Jer. 35:4). Ikkesh ("subtle" or "crooked"), father of Ira, one of David' s mighty men (2 Sam. 23:26; 1 Chron. 11:28; 27:9). Igeal. See Igal. Ilai. See Zalmon. Imlah. See Imla. Imla [Imlah] ("fullness"), father of Micaiah (2 Chron. 18:7-8). Immer ("loquacious; prominent"). [1] A priest in the time of David (1 Chron. 24: 14). [2] A priest of Jeremiah's time (Jer. 20: 1). [3] The father of Zadok (Neh. 3:29). [4] One who returned from Babylon without a genealogy (Ezra 2:59; Neh. 7:61). [5] A family of ALL THE PEOPLE OF THE BIBLE priests who gave their name to the sixteenth course of the temple service (1 Chron. 9: 12; Ezra 2:37; Neh.7:40). 12). He also was known as Esh-baal (1 Chron. 8:33; 9:39). Imnah. See Imna. Ishi ("my husband" or "salutary"). [1] A descendant of Pharez , son of Judah (1 Chron. 2:31). [2] A descendant of Judah (1 Chron . 4:20). [3] A descendant of Simeon (1 Chron. 4:42). [4] A chief of the tribe of Manasseh (1 Chron. 5:24). Imri ("talkative; projecting "), [1] A descendant of Judah (1 Chron . 9:4), [2] Father of Zaccur, one of Nehemiah's assistants (Neh. 3:2). Imna [Jimna; Jimnah; Imnah] ("lugging"). [1] A descendant of Asher (Gen. 46: 17; 1 Chron. 7:35). [2] A son of Asher (Num. 26:44; 1 Chron. 7:30). [3] Father of Kore in Hezekiah's reign (2 Chron. 31:14). Imrah ("height of Jehovah" or "stubborn"), a descendant of Asher (1 Chron. 7:36). Iphedeiah (" Jehovah redeems "), a descendant of Benjamin (1 Chron. 8:25). Ira ("watchful"). [1] A priest to David (2 Sam, 20:26). [2] One of David 's thirty mighty men (1 Chron . 11:28; 2 Sam. 23:38) and a captain of the temple guard (1'Chron. 27:9). [3] Another of David 's thirty (1 Chron . 11:40; 2 Sam. 23:26). Ir ("watcher " or "city "), a descendant of Benjamin (1 Chron. 7:12); possibly the same as Iri (v. 7). Not to be confused with Ir-nahash. Irad ("fleet"), a descendant of Enoch (Gen. 4:18). Iri (''watchfu l''), a descendant of Benjamin (1 Chron. 7:7); possibly the same as Ir (v. 12), Iram ("citizen"), a duke of Edom (Gen. 36:43). Irijah ("seen of Jehovah"), a captain of the gate who arrested Jeremiah (Jer. 37:13-14). Iru ("watch"), a son of Caleb (1 Chron. 4:15). Ir-nahash ("serpent city"), a descendant of Judah (1 Chron. 4:12). Isaac ("laughter"), the son of Abraham and Sarah, born to them in their old age. He was the father of Jacob and Esau and an ancestor of Christ (Gen. 21-25; Matt. 1:2). Iscah ("Jehovah is looking" or "who looks"), daughter of Haran, sister of Mi1cah, and niece of Abraham (Gen. 11:29). Isaiah [Esaias] ("salvation of Jehovah"), called the "prince of prophets "; his career lasted over sixty years. He foretold the coming of Christ (Isa. 1:1; 7:14; 9:6; 52:12-53). Iscariot. See Judas Iscariot . Ishbak ("leaning; free"), son of Abraham and father of a northern Arabian tribe (Gen. 25:2; 1 Chron . 1:32). Ishbah ("praising ; appeaser "), a descendant of Judah (1 Chron. 4:17). Ishbi-benob ("dweller at Nob"), one of the sons of Rapha the Philistine; he attacked David but was killed by Abishai (2 Sam. 21: 15-22). Ish-bosheth [Esh-baal] ("man of shame"), son and successor of King Saul. He reigned two years before being defeated by David (2 Sam. 2:8-15; 3:8, 14-15; 4:5- Ishiah. See Isshiah. Ishma ("high" or "desolate"), a brother of Jezreel and Idbash, all descendants of Caleb (1 Chron. 4:3). Ishijah. See Isshiah. Ishmael ("God hears"). [1] Son of Abraham and Hagar; his descendants are the Arabian nomads (Gen. 16:11-16; 17:18-26; 25:9-17; 28:9; 36:3). [2] The cunning son of Nethaniah and traitor of Israel (Jer. 40:8- Ishmaiah [Ismaiah] ("Jehovah hears"). [1] A chief of Zebulun in David's time (1 Chron. 27: 19). [2] A chief of Gibeon who joined David at Ziklag (1.Chron. 12:4). -41:18). [3] A descendant of Benjamin (1 Chron. _8:38). [4] Father of Zebadiah (2 Chron. 19:11). [5] A captain in the time of Johoiada and Joash (2 Chron. 23:1). [6] A Levite who married a foreign wife during the Exile (Ezra 10:22). Ishmerai ("Jehovah is keeper" or "to guard"), a descendant of Benjamin (1 Chron. 8:18). Ish-pan ("he will hide"), a chief man of Benjamin (1 Chron. 8:22). Ishod ("man of majesty"), a man of Manasseh (1 Chron. 7: 18). Ishuah [Isuah] ("he will level"), second son of Asher (Gen. 46:17; 1 Chron. 7:30). Ismachiah ("Jehovah will sustain"), an overseer under King Hezekiah (2 Chron. 31:13). Ishui [Ishuai; Isui; Jesui] ("equal"). [1] Third son of Asher (Gen. 46:17; Num. 26:44; 1 Chron. 7:30). [2] A son of King Saul by Ahinoam (1 Sam. 14:49). Ismaiah. See Ishmaiah. Israel. See Jacob. Ispah ("firm"), a descendant of Benjamin (1 Chron. 8: 16). Issachar ("reward"). [1] Ninth son of Jacob and ancestor of one of the twelve tribes of Israel (Gen. 30:17-18; 49:14-15). [2] A tabernacle porter (1 Chron. 26:5). Isuah. See Ishuah. Isshiah [Ishiah; Ishijah] (" Jehovah exists"). [1] One of David's chiefs (1 Chron. 7:3). [2] See Jesiah [2]. [3] A man who took a foreign wife during the Exile (Ezra 10:31). [4] A descendant of Moses (1 Chron. 24:21). See Isaiah. Isui. See Ishui. Ithai ("being"), one of David's thirty mighty men (1 Chron. 11:31). He is called Ittai in 2 Samuel 23:29. ALL THE PEOPLE OF THE BIBLE Ithamar ("land; island of palms"), a son of Aaron (Exod. 6:23; 28:1); Eli was high priest of his line (1 Chron. 24:6). Ithra ("abundance"), the father of Amasa, Absalom's captain (2 Sam. 17:25). He was also known as Jether (1 Kings 2:5, 32). Ithiel and Ucal (" signs of God"; or verb meaning "to be weary"), the names of two wise men to whom Agur spoke his words. Some scholars believe these are not proper names, but two verbs. If so, the last part of verse 1 would read: "The man said, I have wearied myself, 0 God, I have wearied myself, 0 God, and am consumed" (Prov. 30: 1). Ithream ("residue of the people"), a son of David probably by Eglah (2 Sam. 3:5). Ithiel ("God is"), a man of the tribe of Benjamin (Neh. 11:7). Ithran ("excellent"). [1] A descendant of Seir (Gen. 36:26). [2] A son of Zophah of Asher (1 Chron. 7:37). Ittai ("timely"). [1] A Philistine friend and general of David (2 Sam. 15:11.22; 18:2,4, 12). [2] See Ithai. Izehar [Izhar] (" shining"), a Levite, the father of Korah (Exod. 6;18-21; Num. 3: 19). Ithmah (purity"), a Moabite, one of David's guards (1 Chron. 11:46). Izrahiah "(Jehovah shines"), a descendant of Issachar (1 Chron. 7:3). Izri ("creator"), leader of the fourth musical course (1 Chron. 25: 11); perhaps the same as Zeri (v. 3). End of the I's. Click here to go to the Main Menu
Directors Report 2011/12 Contents 1. YILLI RREUNG HOUSING ABORIGINAL CORPORATION Yilli Rreung Housing Aboriginal Corporation is a peak Indigenous based housing organisation that aims to deliver affordable, accessible and sustainable quality housing to people in the Top End of the Northern Territory. It is an independent non government organisation that delivers affordable housing, housing management, maintenance and construction, emergency accommodation, municipal and infrastructure services, tenancy support and advocacy on housing issues for those communities and people disadvantaged in the mainstream housing market. In partnership with the Northern Territory Government and Indigenous community leaseholder organisations YRHAC services the following communities: - One Mile Dam - Aboriginal Development Foundation – Service Level Agreement - Knuckey's Lagoon - Aboriginal Development Foundation – Service Level Agreement - Palmerston Indigenous Village - Aboriginal Development Foundation – Service Level Agreement - Amangal (Adelaide River) - Aboriginal Development Foundation – Service Level Agreement - Acacia Larrakia community - Northern Territory Government – Service Level Agreement - Bagot community - Bagot Community Inc – Service Level Agreement - Belyuen community – Northern Territory Government – Service Level Agreement - Bulgul outstation - Bulgul Aboriginal Association – Service Level Agreement - Kulaluk - Gwalwa Daraniki Association – Service Level Agreement - Minmarama Park - Gwalwa Daraniki Association – Service Level Agreement - Bulgul outstation - Ngatpuk Aboriginal Association – Service Level Agreement - Bulgul outstation - Perron Island Enterprise Aboriginal Corporation – Service Level Agreement - Tree Point outstation - Tree Point Aboriginal Corporation – Service Level Agreement - Walangurrminy (Finnis River) - White Eagle Association – Service Level Agreement - Pandayal (Twin Hills) - White Eagle Association – Service Level Agreement YRHAC also provide affordable housing to individuals and families who have trouble entering the mainstream rental market through the provision of 45 rental properties at its Berrimah estate complex, six properties at Palmerston and one at Karama. These properties are provided at an average of 35% to 40% below average Darwin market rentals and provide tenants with the opportunity to gain a tenancy, learn how to manage a tenancy, gain a rental history and save for entry into the mainstream market. YRHAC also work with some of the most disadvantaged in our community by providing emergency relief to people and families with food vouchers, bond assistance and emergency accommodation. Improvement of housing and infrastructure on Indigenous communities in the Darwin region is also an important focus point for YRHAC with over four million dollars of building and upgrade works completed over the last several years. A key objective of Yilli Rreung also includes the creation of opportunities for Indigenous people to improve health and wellbeing through leadership in the provision of quality housing, employment, training and development. 2. CHAIRPERSONS REPORT On behalf of the Board of YRHAC, I would like to thank the CEO and all staff for your hard work and dedication throughout the past year. I would also like to say a big Thank You to the board members of YRHAC, who have given up their voluntary time to the board and have been in-valuable with their contribution throughout. I would like to acknowledge and thank former employees of YRHAC for their contribution to the Organisation over the years, and wish them all the best in their future endeavours. One of the challenging issues which have arisen during this year is that homelessness is becoming more prevalent and is a huge problem. The lack of housing in Darwin is at crisis point. We have heard stories about people living in their cars, or in tents, or having to share accommodation with family in overcrowded housing. YRHAC staff has been instrumental in helping as many people as possible with very little resources. All of the accommodation at the Berrimah Estate has been kept occupied with a huge list of people on the waiting list. The accommodation at Palmerston and Karama has also been kept occupied at all times. YRHAC requires more stock from Territory Housing to meet the shortfall. YRHAC in conjunction with the NT Shelter had organised an information session for the people in the Darwin region to provide information to them about IBA, TIO and Territory Housing home loans. The feedback was all positive with some comments such as "I did not know this information" or "it was very informative, and I got a lot out of it". Since then it would be interesting to see how many people took up the challenge of going for housing loans. Hopefully, there will be more of those sessions in the near future to inform people in the Community. Some of the achievements during the above period is as follows;- (1) Completion of the Stage 3 of the Bagot project which included the development of a town plan, and. (2) The savings to the Organisation, which is explained in our CEOs report. YRHAC is the only Aboriginal managed Housing Association in Darwin; therefore, it is imperative that the new Government recognises the hard work and dedication demonstrated over the years and to continue to fund our much needed Service in the Community. I would like to wish everyone a Merry Xmas and a Happy, Healthy, and Prosperous 2013. It has been a pleasure to work with so many dedicated and passionate people who always thrives to improve the lives of our most disadvantaged people in our Community. Regina Bennett (Chairperson) YRHAC 3. OUR BOARD YRHAC have a skills based Board structure. As such Members and Directors are selected for their skills, knowledge, ability and commitment to assisting the community. Regina Bennett - YRHAC Chairperson I am the Manager of the Darwin Aboriginal & Islander Women's Shelter Inc. I have been employed with the Darwin Aboriginal & Islander Women's' Shelter Inc., (DAIWS) for the past 10 years. Previously, I was a volunteer on the Management Committee for approximately 14 years in different roles. Working in the area of Domestic/Family Violence is both challenging and rewarding, and I believe that in my case personally, I find it very rewarding knowing that we can help our most disadvantaged and vulnerable families to improve their situation and be part of their healing journey. Before commencing full time employment with DAIWS, I worked with the NT and Commonwealth Government for 23 years. DAIWS endorsed my attendance at the National Indigenous Leadership program in 2004, which was the very first one which was held in Adelaide. I believe that the National Indigenous Leadership program and completing the Certificate IV in Indigenous Leadership which was run through the Indigenous Leadership Centre in Canberra was in-valuable. I was also on the council of ATSIC for 5 years, before it was closed down. I am also the Chairperson on the Darwin Regional Indigenous Advancement CDEP Corp, and a member on the Ironbark Employment board. The transition from full time employment with Government, then commencing full time work with the Community Sector was very challenging, however, the skills and knowledge I gained from working with Government, my role on the ATSIC Council and graduating from the National Indigenous Leadership program assisted me in being able to manage the Service with confidence. In 2006, I became a board member on YRHAC. Over the years it has been challenging and rewarding. It gives me satisfaction to be able to assist people in improving their lives by assisting in providing accommodation and support systems around them. It is also satisfying to see the dedication and drive within the YRHAC board and workers past and present who are passionate in regards to making a difference for Aboriginal & Torres Strait Islander people Jon Harris - Vice Chairperson For many years I have been involved in training and mentoring roles for Indigenous people. This has allowed me to assist Indigenous people to achieve sustainable employment and confidence to be able to look after and provide for their families and extended families. My role as Workforce and Training Manager with Power and Water Authority Remote enables me to work with remote communities to promote employment, training and help Indigenous people with opportunities for personal growth and empowerment Both my professional and family background assists me to understand the needs of the Community and the great need for consultation and information sharing. Lorraine Beetson – Treasurer I come from a rural indigenous background our family still has interest in the cattle Industry. My first position in the N.T was at Adelaide River as a teacher, 90% of the Students were indigenous. I have experience in the hospital industry, managing hotels Throughout the N.T. I am at the moment working at DAIWS I have been on the board at Yilli housing since 2005-2006 and have seen many changes and growth in that time. Our housing has improved and we have moved forward with staffing programs which includes our maintenance teams. Tania McLeod - Secretary Over the past ten years I have worked for my community both in Darwin and Jawoyn regions, in the areas of substance misuse, housing, health, law and order and human rights awareness. I am currently working for The Fred Hollows Foundations Australia Indigenous Program. I am the Governance Coordinator; my current duty is to support greater self determination and control in our partner remote Indigenous communities this is achieved through increased empowerment, control and capacity of local managed groups, committees and organisations. I am also a board member of the regional Indigenous housing service and have been for a number of years. In the past I have advocated for homeless (Long grass) people on many issues connected with the access to health and housing services harm minimization and child protection. I have also worked with the Aboriginal Traditional Landowners of Darwin the Larrakia Nation coordinating community service programs. I am a member of the Diplomacy Training Program Alumni and promote awareness on the rights of Indigenous peoples whenever I can. I am also a member of the Indigenous Human Rights Network Australia (IHRNA) interim Steering Committee. Members - Kelvin Costello – Ceased 06/01/2012 - Yvette Carolin - Tracy Peris - Jackie Ah Kit – Ceased 25/01/2012 Additional Members 2011/12 - Nerrale Arnold - John Havnen - Jodie Farrow Meetings Held 11 th August 2011 15 th November 2011(AGM) 12 th December 2011 25 th January 2012 (Directors Meeting) 18 th April 2012 Average attendance was 76% Any Outstanding Legal Matters During the year YRHAC resolved an alleged breach of contract proceedings with costs of $61,000 awarded to YRHAC. The same litigant has filed a defamation proceeding stemming from the same incident 4 years ago. Advice from our legal representatives indicates that YRHAC face little risk from these proceedings. 4. CHIEF EXECUTIVE OFFICERS REPORT I would like to start this report by firstly thanking all the very hardworking and dedicated staff at Yilli. These people work in often difficult situations with limited resources but still manage to get the job done. It is a credit to them; its staff do truly make Yilli a great organisation. It has been a very busy and successful year for Yilli. As part of this a review of the organisation was carried out to determine where we could streamline costs, improve operations and income. This has resulted in some changes. Some of these major changes have been: - Two reductions in full time management and administrative positions - One reduction in full time grounds position, replaced by the use of volunteer prisoners - Replacement of leased vehicle fleet with owned vehicles - Reduction of external contracts such as Berrimah Estate security and leased laundry equipment - Relocation of the works crew from a leased shed to our own facility - Tighter management of Berrimah estate resulting in 100% house occupancy - Establishment of the single men's hostel at Berrimah Estate - Establishment of the shared accommodation facility at Berrimah Estate - Establishment of additional cabin accommodation at Berrimah Estate - Increasing rents on town camps - Moving the 6 Palmerston and 1 Karama houses from public to affordable rentals - Reduction on maintenance turnaround time on vacant properties All of these moves have increased our income and reduced our costs by more than $300,000 per annum without affecting the operations of the organisation. One of the standouts this year has been the Berrimah Estate which has shown a profit for the first time. We will continue to make changes and adapt in line with our circumstances and operational requirements. As Charles Darwin was one famously quoted as saying "It is not the strongest species that survive, nor the most intelligent, but the ones most responsive to change" Yilli does face many challenges in the future, particularly now with a change of government in the Northern Territory and possibly a new policy direction for Indigenous living areas in Darwin. We are responding to this by strengthening our affordable housing business and working with government and industry partners at all levels. Certainly with the acute housing shortage in Darwin at the moment an organisation like Yilli has never been in so much need. I would like to thank the Board who are all volunteers for their wisdom and support during the year and once again the staff of Yilli. Colin Tidswell Yilli recently helps settle the nine Kwana family members at Berrimah estate. This is the family's first permanent tenancy in Australia after living in refugee camps for many years. Profile – Berrimah estate Berrimah Estate is the only affordable housing estate in Darwin and provides affordable accommodation for over 50 families. It also offers 10 caravan sites, single men's accommodation and a hostel for couples and women. The Estate has a number of aims: Tenancy The estate allows people who are disadvantaged in the mainstream rental market such as indigenous or migrant families to gain a tenancy. With Darwin running at about 0.4% rental vacancy rates it is often extremely difficult for these people to gain a tenancy. Most people on the estate are low to middle income families that work in the service industries. Affordability Provide good quality accommodation at an affordable level to enable people to have quality of life and the enable them to save towards a deposit on their own home or to enter the mainstream rental market. Housing is offered at between 35 to 50% below average Darwin market rents allowing people to save. At least one family exited Berrimah estate this year into their own home after saving for 2 years for a deposit. An email from a family exiting the Estate into their own home: Dear Susie, As discussed with Peter earlier today, both Peter and myself would like to give notice of termination of tenancy. If you are available we would like to suggest Monday 2 nd July at 3pm for our final inspection. Should this be inconvenient for you, please advise us of a more appropriate time. We would like to extend our thanks to you as the tenancy manager for the support that we have received over the years that we have been residing at Yilli and to the most part have enjoyed a pleasant stay in the premises which we have tenanted. As we look forward to a new stage in our life journey we are able to appreciate having the opportunity to save towards our dreams as a result of being offered the extended tenancy that you have made possible for us at Yilli. Thanks again Elizabeth Tenancy Experience Many people coming to Berrimah estate have never had mainstream tenancy. Yilli run all properties on the estate under the Rental Tenancy Act of the Northern Territory As such all are run as mainstream rental properties. We offer a supported environment to teach people about the rights and responsibilities of a tenancy. A local verifiable rental and payment history It is vital in such a tight rental market such as Darwin that people have a local rental history. The houses at the estate are linked to a CODA property management information system. Reports can be generated showing all tenancy history for clients and as references. Payment histories are also important for those seeking to get a loan from a financial institute for home purchase. 5. ORGANISATIONAL STRUCTURE Chief Executive Officer Board Finance &Administration Accountant Finance & Administration Finance Officer Reception Property Management Property Manager Berrimah Estate Property Manager PIV, Knuckey’s Property Manager Belyuen & Acacia Property Manager Bagot, One Mile, Kulaluk, Water & Utilities Officer/Emergency Relief Coordinator Cleaning Supervisor Cleaning Assistant Works Works Manager Storeman Property Maintenance Officers x2 Grounds Supervisor Groundsmen x2 6. OPERATIONAL REPORTS 6.1 Property Management Yilli Rreung Housing Aboriginal Corporation employs four Property Managers who oversee the Tenancy Management of the Yilli communities. Due to increased costs a rental increase was carried out across the town camps this year taking the rental charges from $20 per bedroom per week to $40 per bedroom per week. This is the first rental increase that YRHAC has implemented for 8 years. During this time costs such as materials, labour and insurance have increased dramatically. All leaseholder organisations agreed to this increased charges and new tenancy agreements have been developed and put in place. A rental increase of 6% was also necessary at Berrimah estate. However this is minimal when you consider that Darwin rents have risen by 14% last year with a median Darwin 3 bedroom home rental now $650 compared to $360 at Berrimah estate. During the year YRHAC work crews renovated a previously abandoned building at Berrimah Estate and brought it online as an 8 room single men's hostel. This facility offers single men comfortable affordable single rooms with shared facilities. The complex has been very popular and is now fully tenanted. Also bought online this year at Berrimah Estate is the SILA hostel which provides short term accommodation to those in need. It offers three family rooms, eight single rooms and caters for small families, couples and single women. The facility is providing short term accommodation solutions for people to allow them to get secure accommodation to enable them to move on with their lives. We are seeing very good outcomes with several previously homeless women and families now moving on after gaining employment and long term accommodation. On contract to the Northern Territory government YRHAC continued to provide property management services to Belyuen and Acacia during the year. This contract has run smoothly with no major issues encountered. Emergency Relief YRHAC provide emergency relief for clients who are experiencing hardship. A total of 196 emergency relief clients were seen during the year. Clients mainly sought food, emergency accommodation and assistance with overdue utility accounts. A one bedroom cabin was established at Berrimah estate during the year to provide an onsite emergency accommodation facility. Prior to these clients were housed at local motels. YRHAC has joined the Baptist care Foodbank program and is now also providing food parcels for those in need. Water and Utilities Officer YRHAC provides a Water and Utilities Officer to work with the communities of Knuckey's Lagoon, One Mile Dam, Palmerston Indigenous Village and Amangal to assist people to manage their water consumption and utility bills. Water usage in these communities has reportedly dropped by 30% this year. YRHAC is hoping to expand this successful program to Bagot community this year. Cleaning Team The YRHAC cleaning team continued to provide a high level of services to the communities we serve. The team does ingoing and outgoing cleans of premises, office cleaning, some contract cleaning and weekly ablutions block cleaning on all town camps. 6.2 Works Community Repairs and Maintenance: YRHAC employs a Works Manager, a storeman, grounds supervisor, two tradesmen and two groundsmen to carry out housing repairs and maintenance across its communities and housing stock. The Corporation also uses preferred contractors for specialised electrical and plumbing works. These contractors must be qualified local firms that have a commitment to Indigenous employment. A total of 1077 attendances for housing repairs and maintenance were carried out during the year. These consisted of: \| Immediate – Attended to and rendered safe \| 271 \| \|---\|---\| \| Urgent – Attended and satisfactorily finished \| 194 \| Through its Municipal Services program YRHAC maintains Electricity and Solar Power, Roads, Sewerage, Water, Airstrips, Ground Maintenance, Rubbish removal and Rubbish tips on its outstation communities. YRHAC also where funding is available undertake capital infrastructure works. The following works were completed during the year: Capital Infrastructure works undertaken - Amangal New community water line - Walangurrminy Replace community water tank - Tree Point Construct 3 bedroom house - Knuckey's Lagoon Refurbishment and upgrade of six homes - Knuckey's Lagoon Install prepaid power meters to all homes Also undertaken this year was the construction of a new works facility and store for the Works crew at Berrimah Estate. This replaced a previous leased shed that was costing in excess of $30,000 per annum. Commercial and contract works were also carried out for the Northern Territory government at Belyuen, Acacia and Bagot Community with Bagot stage three completed during the year. These works at Bagot consisted of: - Develop Town Plan - Upgrade Oval - Landscaping 20 houses - Refurbish and upgrade school care building - Install additional street lighting - Install disabled access to council office - Install mains plumbing to multipurpose centre - Plant trees along verges As with the YRHAC commitment to employment and training for Indigenous people local Bagot workers were recruited and given full time employment and training. 6.3 Finance & Administration Financial Report 2011-12 Brief review During the year strategies have been put in place to improve the balance sheet and the assessment of variable operating costs, with the final result indicating that the course taken was a pathway in the right direction. Outputs also increase as closer analysis of the ways operations were undertaken was continuously monitored and improvements implemented in a timely manner. Workflows within the finance team have been assessed with some improvements made during the year. At the end of the year there was three staff involved in the finance team a reduction of one on the previous year. Revenue Total revenue for the current year was $5,618,053 which was a decrease on the previous year (2011: $6,652,532). The main contributor in revenue, related to the stage 3 and 4 project at the Bagot Community drawing in approximately $1.2 million dollars. The maintenance team also increased their revenue predominately from the inflow of work done at part of the Territory Housing maintenance program at Belyuen and Acacia. Expenses In light of the revenue sources being predominately grant income, with the associated requirement to expended these grant incomes in order to achieve the outcomes so specified in the grant, has seen an increase in expenses to $5,550,304 in the current year (2011: $6,610,394). Monitoring of expenses increased this year so as to achieve value for resources employed. At the end of the year this process was still in progress, thus flowing to the flowing year for further improvements and enhancements. Assets Current assets at the end of the year were $919,273 (2011: $984,336), with the associated quick asset ratio increasing to 1.728 (2011: 1.089), thus indicating that for every dollar of liability there was $1.728 dollars in current assets. This is a pleasing result indicating actions taken during the year to remedy the prior year situation were on the right course. Noncurrent assets have a written down value after impairments of $526,653 (2011: $158,392). Capital acquisitions during the year was $90,198 (2011:$335,000), with revaluations of $397,700 (2011: $0). In accordance with accounting standards impairment calculation was undertaken with a result of $376,344 being taken to account. Depreciation charged for the year amounted to $272,780. Liabilities At year end current liabilities were $531,703 (2011: $903,863), the composition saw a decrease in accounts payable with decreases in provisions, borrowing and other representing the net decline. A procedural change sees the matching of supplier statement before payment thus leading to a longer payment cycle whereas there has been a significant improvement in accounts payable processing. Noncurrent liability at the end of the year was $0 (2011: $0). Equity Accumulated surplus increased to $914,224 (2011: $238,866), represented by the net result for the years activities $277,658 and revaluation reserve of $397,700. Due to the nature of income predominately from grant funding sources and the requirements in maintaining our current tax exemptions associated with being a Public Benevolent Institution it is not anticipated that accumulated surpluses will grow by any significant value. Outlook Moving forward the finance department will be focusing on making improvements in the workflows and associated efficiencies, coupled with this will see the introduction of KPI of internal processes. These KPI will be aimed at achieving best practices, thus incorporating in house training and development programs so as to enhance the level of confidence and productivity within the existing team framework. Asset and resource allocation in order to achieve optimal outcomes will be considered in the following year. It is envisaged that there will be increased transfer of electronic information between suppliers with the objective to partially automate the accounts payable system, providing greater time for analysis of information in preference to data input. 6.4 Human Resources Some reduction in permanent staffing was carried out during the year with a reduction from 22 to 19 permanent positions. Two of these positions were not filled after the person exited and one was a senior management position that became redundant. These positions were not needed and the cost savings to the organisation are considerable. An occupational Health and Safety officer (Rosie Hewitt) and a deputy (Robin Sands) were appointed and given the necessary training to fulfil our responsibilities. An OH&S committee was also formed. Improving upon previous year's staff retention has been particularly notable. Gender balance of employees is ten females 48% to eleven males 52%, in favor of males. Year of Service by Gender Investing in our people YRHAC continues its commitment to training employment and advancement of its staff. The following training was carried out during the year - Rosie Hewitt – Certificate 3 Occupational Health and Safety Senior fist aid - Robin Sands – Certificate 3 Occupational Health and Safety Senior first aid - Irma Blitner - Certificate III in Social Housing Emergency relief workshop - Joyce Peris - Certificate III in Social Housing Emergency relief workshop - Ruby Liddy - Certificate III in Social Housing - Susan Williams - Certificate IV in Property Services - Donna Webb - Certificate IV in Property Services 7. Independent Auditors Report
Youth employment policies in Malta EXCEPT working paper no. 43 July 2018 Manwel Debono No. 43 – Youth employment policies in Malta EXCEPT Working Papers are peer-reviewed outputs from the http://www.except-project.eu/ project. The series is edited by the project coordinator Dr. Marge Unt and by the project cocoordinator Prof. Michael Gebel. These working papers are intended to meet the European Commission's expected impact from the project: i. to advance the knowledge base that underpins the formulation and implementation of relevant policies in Europe with the aim of enhancing the employment of young people and improving the social situation of young people who face labour market insecurities, and ii. to engage with relevant communities, stakeholders and practitioners in the research with a view to supporting relevant policies in Europe. Contributions to a dialogue about these results can be made through the project website http://www.except-project.eu/, or by following us on twitter @except_eu. To cite this report: Debono, M. (2018). Youth employment policies in Malta, EXCEPT Working Papers, WP No. 43. Tallinn University, Tallinn. http://www.except-project.eu/working-papers/ © Author ISSN 2504-7159 ISBN 978-9949-29-412-1 (pdf) Responsibility for all conclusions drawn from the data lies entirely with the author. Debono Contents The key risk groups in the labour market in Luxembourg ............................................................. 4 The key risk groups in the labour market in Luxembourg Table 1 "Risk group" construction 1 \| Potential risk groups \| Importance by actors \| \| \| \|---\|---\|---\|---\| \| \| Public opinion/ Media* \| Mainstream policy \| Academic research \| \| All young people \| 2 \| 2 \| 1 \| \| Young unemployed \| 4 \| 5 \| 1 \| \| Early school leavers \| 5 \| 5 \| 2 \| \| Young people with low skills \| 4 \| 4 \| 2 \| \| Young people with outdated qualifications \| 3 \| 4 \| 1 \| \| Young people without qualifications \| 4 \| 4 \| 2 \| \| NEET \| 5 \| 5 \| 1 \| \| Higher education graduates \| 1 \| 1 \| 1 \| \| Migrants/Ethnic minorities \| 1 \| 2 \| 1 \| \| Teenage/single parents \| 3 \| 3 \| 1 \| \| Young people from workless families \| 2 \| 2 \| 2 \| \| Young people from remote/disadvantaged areas \| 2 \| 2 \| 2 \| \| Young people with a disability \| 2 \| 3 \| 2 \| \| Other (please indicate & if necessary include new row/s) Lesbian, Gay, Bisexual and Transgender (LGBT) young people \| 1 \| 1 \| 2 \| \| NEETS who are inactive \| 4 \| 4 \| 1 \| The answers in the above table reflect my personal opinion, based on my observations of the development of the sector over the past years. Mainstream policy (see below for the main documents used to answer this aspect) and the general public opinion (as gauged by what is reported in the media) in Malta tend to be in line with each other. The risk groups of early school leavers and NEETS are being given prominence in Malta, thanks to the European Union's open method of coordination and the country specific recommendations which influence Malta's national reform programme. The related issue of qualifications mismatch is also growing in importance since the Maltese labour market is increasingly demanding specialised skills that are not found in Malta. It appears that a considerable percentage of NEETS in Malta are inactive, and mainstream policy is trying to target such risk group. The more highly qualified young people do not experience significant difficulties to be employed and so are not considered as risk groups. Malta is currently experiencing very low unemployment in general. While young qualified persons might increasingly run the 1 1=no significant role to 5=very important 4 risk of being underemployed in the first stages of their working lives, such aspect is not given prominence neither in the media, nor in policy. There is insufficient public and political will to assist young migrant persons (especially from African countries), and little is done to try to integrate this group. There is also an insufficient public awareness about the need to integrate young persons with disability into the labour market, though the government is increasingly focusing its attention on this group. Malta has one of the lowest employment rates in the EU of people with disability. Academic research about risk groups in Malta is scarce. The small size of the country translates into little academic research in general, and especially about concepts of emerging importance such as youth risk groups. The low ratings given in the above table reflect the little existing research. The youth risk groups that are especially not adequately addressed by national policies are: young migrants/ethnic minorities and young people from workless families/ disadvantaged areas. The main documents consulted to decide to the rating used in Table 1 are the following (However, I also checked government websites and online newspapers to arrive to my conclusions): Aġenzija Żgħażagħ (2017). Annual report 2016. Available at: http://www.agenzijazghazagh.gov.mt/Downloads/202/Annual_Report_2016/ Foundation for Social Welfare Services. (FSWS, 2013). Embark for life - Integration of Young people into the labour market PROJECT DOSSIER ESF 3.61. Available at: https://fsws.gov.mt/en/fsws/Documents/EU%20Projects/DOSSIER%20E4L%20 %20%20%20FINAL.pdf Government of Malta (2014c). The Minister for Education and Employment and the Parliamentary Secretary for EU Funds visit ongoing alternative learning programme. Available at: https://eufundscms.gov.mt/en/Information/Press%20Releases/Pages/THE- MINISTER-FOR-EDUCATION-AND-EMPLOYMENT-AND-THE- PARLIAMENTARY-SECRETARY-FOR-EU-FUNDS-VISIT-ONGOING- ALTERNATIVE-LEARNING-P.aspx?IsPrintPrev=1 Government of Malta. (2017a). Annual and final implementation reports for the Investment for growth and jobs goal. Available at: https://eufunds.gov.mt/en/Pages/Home.aspx Government of Malta. (2017d). Malta midterm self-assessment report - National action plan 2015-2017. Available at: https://www.opengovpartnership.org Government of Malta. (n.d.a). ESF 3.60: Youth employment programme. Available at: https://investinginyourfuture.gov.mt/project/opportunitajiet-indaqs/youthemployment-programme-33947763 Government of Malta. (n.d.b). EU funds website. Available at: https://eufunds.gov.mt/en/Pages/Home.aspx Maltatoday. (2014, August 11). Bartolo bemoans lack of interest in youth guarantee scheme. Available at: http://www.maltatoday.com.mt/news/national/42186/bartolo_bemoans_lack_of_i nterest_in_youth_guarantee_scheme_#.WeM19ztdKRo Martin, I. (2017, January 2). 300 have 'disappeared' from school and work. 16-year-olds drop out into idleness or illegal employment. Times of Malta. Available at: https://www.timesofmalta.com/articles/view/20170102/local/300-havedisappeared-from-school-and-work.635437 Ministry for Education and Employment. (2015b). Youth guarantee implementation plan - Malta. Available at: http://ec.europa.eu/social/BlobServlet?docId=16478&langId=en Ministry for Education and Employment. (2016b). Youth Guarantee SEC Revision Classes 2016 Report. Available at: http://education.gov.mt/en/youthguarantee/Documents/Youth%20Sec%20report %20FINAL.pdf Ministry for Education and Employment. (2017). Youth Guarantee. Available at: https://education.gov.mt/en/youthguarantee/Documents/More%20About%20our %20Initiatives.pdf. Ministry for Finance. (2016). National reform programme – Annex table 2. Available at: https://mfin.gov.mt/en/Library/Documents/NRP/Annex%20Table%202-16.pdf Ministry for Finance. (2017a). National reform programme. Available at: https://mfin.gov.mt/en/Library/Documents/NRP/NRP_2017.pdf Ministry for Finance. (2017b). National reform programme – Annex table 2. Available at: https://mfin.gov.mt/en/Library/Documents/NRP/Annex_Table_2-17.pdf Youth employment policies: a general overview Table 2 An overview of active labour market programmes at national level (2005-2015) \| \| Year Indicator \| 2005 \| 2010 \| \|---\|---\|---\|---\| \| 1 \| Total number of active labour market programmes \| N/A \| N/A \| \| 1.1 \| including youth-targeted \| N/A \| N/A \| \| 2 \| Number of participants (stock) in active labour market programmes: \| \| \| \| 2.1 \| Total number \| 871 persons (2006) \| 2,114 persons \| \| 2.2 \| % of the labour force (15-64) \| 0.5 (2006) \| 1.2% \| \| 3 \| Number of youth participants (up to 29 years old) in active labour market programmes: \| \| \| \| 3.1 \| Total number \| 262 persons (2006, estimate, less than 25 years) \| 779 persons (less than 25 years) \| \| 3.2 \| % of the labour force (15-29) \| 0.8% (2006, estimate, less than 25 years) \| 2.7% \| \| 3.3 \| % of the total number of participants (stock) \| 30% (2006, estimate, less than 25 years years) \| 37% (less than 25 years) \| \| 4 \| Expenditures on active labour market programmes: \| \| \| \| 4.1 \| Total amount (EUR) \| 3.4million (2006; labour market measures, categories 2-7) \| 3.42million (labour market measures, categories 2-7) \| \| 4.2 \| % of GDP \| .06 (estimate, 2006) \| .05 \| \| 5 \| Expenditures on all active labour market programmes for youth participants: \| \| \| \| 5.1 \| Total amount (EUR) \| N/A \| N/A \| \| 5.2 \| % of GDP \| N/A \| N/A \| \| 6 \| Expenditures on youth-targeted active labour market programmes: \| \| \| \| 6.1 \| Total amount (EUR) \| N/A \| N/A \| \| 6.2 \| % of GDP \| N/A \| N/A \| Comments about Table 2 All data in Table 2 derives from Eurostat. No data was found for the total number of active labour market programmes and expenditures on youth participants. Data for 2005 and 2015 is unavailable, so I used data for 2006 and 2014. The classification of youth is different than that requested – it comprises persons younger than 25 years. Table 3 Overview of types of measures and schemas against youth unemployment in the last years (both running and finished ones; time horizon – last 5-6 years, 2011-2017) \| Type of measure \| Impor tance 2 \| Prevent ive/reac tive3 \| Youth specif ic \| Main source of funding4 \| Linked to EU initiatives5 \| Main actors of delivery6 \| Evaluation present \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| (Re-)orie ntation courses, preparati on for training or employm ent \| 2 \| 3 \| Yes \| 2, 1 \| Partly linked to 1 \| Ministry for Education and Employment \| No \| \| Vocation al guidance , career counselli ng \| 2 \| 3 \| Yes \| 2 \| No \| Ministry for Education and Employment; Malta College of Arts, Science and Technology \| No \| \| Training (with certificate s) \| 3 \| 3 \| Partly \| 2,1 \| Partly linked to 1 \| Ministry for Education and Employment; Jobsplus; Malta College of Arts, Science and Technology \| Partly \| \| Training (without \| 3 \| 3 \| Partly \| 2,1 \| Partly linked to 1 \| Jobsplus; Malta College \| Yes \| 2 Importance depends on the comparative scale of the program (coverage & expenditure) -> Does not exist = 0; Not relevant = 1; Quite important = 2; Very important = 3 3 To what extent do policies focus on preventative measures or are purely reactive to manifest problems PREVENTIVE = 1; REACTIVE = 2; BOTH=3. 4 EU = 1; national = 2, regional = 3, local = 4; other -5 6 state = 1, region = 2, municipality = 3, church = 4, foundations, NGOs = 5, private sector = 6, educational institutions=7 Other, please specify=8 If several, please list all 5 Youth Guarantee =1; Youth Employment Initiative =2; Framework for Quality traineeships and apprenticeship =3; Eures =4; Support to youth entrepreneurship =5; Other - 6 \| certificate s) \| \| \| \| \| \| of Arts, Science and Technology \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Employm ent incentive s, subsidies for employer \| 1 \| 2 \| No \| 2 \| No \| Jobsplus \| No \| \| Direct job creation \| None \| Not applica ble \| Not applic able \| Not applicabl e \| Not applicable \| Not applicable \| Not applicable \| \| Start-up incentive s, self- employm ent program mes \| 1 \| 1 \| Partly \| 2 \| No \| Malta College of Arts, Science and Technology; Malta Enterprise \| No \| \| Other \| None \| Not applica ble \| Not applic able \| Not applicabl e \| Not applicable \| Not applicable \| Not applicable \| Comments about Table 3 The importance of the measures (column 2) in each type of measure was evaluated with regards to how many youths are being assisted. In order to judge such importance, a list of interventions under each type of measure was first compiled. Then an estimate of the youth affected by such interventions was drawn. It was not possible to examine the amount of expenditure for each type of measure. In the last column, there isn't evidence of 'formal' youth/participant feedback being used to improve delivery in most of the interventions. However, interventions are often improved through 'informal' feedback from participants. I know this is the case from my own personal experience in "Vocational guidance, career counselling". This is why I wrote 'partly'. While this might also be the case in "direct job creation" and "start up incentives…", I don't have direct knowledge about such informal feedback from participants, and so I wrote 'no'. Table 4 Strengths and weaknesses of the overall policy approach Youth employment policies: focus on selected interventions Table 5 A brief overview of selected youth employment interventions \| № \| Name \| Level \| Main target group 7 \| Ty pe 8 \| Starting year \| Fundi ng sourc e \| Part of EU initiatives \| Evaluat ion \| “Good practice ” 9 exampl e \| Impact of policy measur es on youth inclusio n10 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1 \| SEC revision classes \| Natio nal \| D \| 3 \| 2014 – ongoing \| EU \| Youth Guarantee \| Yes – Positive \| Yes \| 4 \| \| 2 \| Alternat ive Learnin g Progra mme \| Natio nal \| D \| 3 \| 2014 - ongoing \| EU \| Part of it, the ALP Summer ICT Course, is part of the Youth Guarantee \| No \| Partiall y \| 3 \| \| 3 \| NEET Activati on Schem e \| Natio nal \| D \| 1, 2, 3 \| 2014 - ongoing \| EU \| Youth Guarantee \| Yes - mixed \| No \| 1 \| \| 4 \| Youth.i nc \| Natio nal \| D \| 1, 3 \| 2011 - ongoing \| nation al \| / \| No \| No \| 1 \| Comments about Table 5 Measure 1: I chose this measure as: 1. it is an example of good practice; 2. It may increase the chances of students of getting 'good jobs'; 3. The intervention is ongoing; 7 a. targeted youth, b. universal, c. targeted risk group, d. targeted to youth risk group; 8 (re-)orientation courses, preparation for training or employment = 1; vocational guidance, career counselling = 2; training (with or without certificates) = 3; Employment incentives, subsidies for employer = 4, direct job creation = 5, and start-up incentives, self-employment programmes =6 9 EU Database of national labour market 'good practices' definition: "A specific policy or measure that has proven to be effective and sustainable in the field of employment, demonstrated by evaluation evidence and/or monitoring and assessment methods using process data and showing the potential for replication. It can cover both the formulation and the implementation of the policy or measure, which has led to positive labour market outcomes over an extended period of time." 10 1 - very weak; 2 - weak; 3 - medium; 4 - strong; 5 - very strong; N/A - not applicable. Please provide a brief explanation of the ratings, incl. references if relevant. 11 1 - Significant improvement; 2 - Improvement; 3 - No change; 4 - Deterioration; 5 - Significant deterioration; N/A – not applicable. Please provide a brief explanation of the ratings, incl. references if relevant. 4. It targets only young people; 5. It targets a group of young people who are at risk of becoming NEETs. Measure 2: I chose this measure as: 1. it has elements of good practice in it; 2. It may increase the chances of students of getting 'good jobs'; 3. The intervention is ongoing; 4. It targets only young people; 5. It targets the most likely group of young people who are at risk of becoming NEETs. I wrote "no" with regards to evaluation, as the only available data does not derive from proper evaluation of the measure. Measure 3: While the first cycle of this measure is in my opinion not an example of good practice, I chose this measure as: 1. It has the potential of becoming more effective in its second cycle; 2. It may increase the chances of participants of getting 'good jobs'; 3. The intervention is ongoing; 4. It targets only young people; 5. Unlike the previous two measures, this measure targets individuals who are already NEETs. While I believe that the impact of the first cycle of the measure on youth inclusion was very weak, I expect the second cycle of the measure to have a stronger impact. Measure 4: There isn't enough information which can be used to answer whether the measure can be an example of good practice. The impact of the measure on youth inclusion is unknown but is likely to be very weak, due to the small number of participants. I chose this measure as: 1. It may increase the chances of participants getting 'good jobs'; 2. The intervention is ongoing; 3. It only targets young people; 4. It targets a group of young people who are at risk of becoming NEETs.; 5. Unlike the other measures, this does not fall under the Youth Guarantee scheme and is only funded by the Maltese government. I could not answer the last column. The first two measures are carried out among students, and so the question is not applicable. In the case of the last two measures, there isn't sufficient information to be able to evaluate the trends Detailed description and evaluation of the selected measures Achieved results Secondary school students who perform poorly in SEC exams of Maltese, English, Mathematics or Physics. Eligibility criteria for beneficiaries: Same as previous answer. Type of intervention (which type of ALMP & which elements of social policy): Education – free revision classes Revision classes are provided in Maltese, English Language, Mathematics, Physics and Biology. Students can apply for up to three subjects if they have obtained a grade which is 6 or lower in more than one of the above subjects. These classes are provided free of charge during the summer period. Such training is carried out by qualified warranted teachers. Level: National Start/ end date: Offered in July/August 2014, 2015, 2016, 2017. Ongoing. Are stakeholders involved in the formulation/implementation of this measure? Only the government is involved. How/through which institutions is this measure implemented? Classes are offered by Ministry for Education and Employment Budget (EUR, thousand) and source: The budget is unknown. The measure is partly-financed by the European Social Fund (ESF). However, the budget for all the all measures under the Youth Guarantee between 2013 and 2015 was EUR3,068,802 (Government of Malta, 2017b), while the budget for all measures under the Youth Guarantee during the period 2014-2020 is EUR5,031,569 (Government of Malta, 2017c). Number of young people covered (entire running period) (data on number of people who are entitled and who actually take part)/ number of young people who have found a job. The total number of students who took part between 2014 and 2016 is 2,097 (Government of Malta, 2017e). The total number of students who were entitled is unknown. However, in 2014, the number of students who applied for this measure represented about 60% of all eligible persons (Maltatoday, 2014). Total expenditures for the program on annual basis: Unknown \| Targeting \| Which are the target groups of this measure? Students who perform poorly in their SEC level exams in Maltese, English, Mathematics or Physics. Is this program especially targeted to young people or to all unemployed? The programme is specifically targeted to young people If it is targeted to all unemployed, does it include special focus to young people (for example, by providing more incentives if young unemployed are targeted)? Not applicable \| \|---\|---\| \| Youth involvement \| Are there specific activities planned in the programme to include targeted youth actively in designing the programme or other way: No. Please describe if Yes/Partly Not applicable \| \| Links to EU initiatives \| Is the program linked to an EU initiative (like Youth Guarantee, Youth Employment Initiative, Framework for Quality traineeships and apprenticeship; EURES Job; Support to youth entrepreneurship). If yes, to which one? Youth Guarantee \| \| Available evaluations \| Are there evaluations on this program available? (Add Sources)? If yes, are the evaluations: ex-ante; mid-term, ex-post and/or permanent monitoring? There exists a publicly-available ex-post (vis-à-vis the 2016 programme) evaluation report “Youth Guarantee SEC Revision Classes 2016 Report” (Ministry for Education and Employment, 2016b). The report lacks a section explaining the research design. However, it starts by showing administrative data of the percentages of students who passed in their SEC resits in 2016, comparing those who attended SEC Revision Classes and those who did not. The report then focuses on data gathered from three questionnaires, two addressed to teachers (meant to elicit their evaluation of the administration related to the initiative and the students who participated in the initiative) and one to students (which seeks to elicit their attitudes towards the initiative). There is also another publicly available document (ex-post hoc vis-à-vis the 2016 programme) examining this measure about best practices for teachers participating in the SEC Revision Classes (Ministry for Education and \| Summary of evaluation results Employment, 2016a). This report is based on the quantitative data deriving from the previously mentioned report, plus a review of relevant international literature. The following is a useful press release about the measure: Ministry for Education and Employment (2015a). While it is not an evaluation reports, it contains some statistics about the measure and its outcomes. In particular it highlights, number of registrations, pass rates and success rates. Are they internal (by the agency implementing it) or external (e.g. by scientific institutes)? The above two mentioned internal evaluation reports exist. If evaluations of this program are available how detailed is the information provided (please, consider, do they include only basic information or more information, including evaluation of deadweight loss (hiring to subsidized jobs of individuals who would have found regular employment nevertheless); substitution effect (original regular workers possibly better paid and qualified are displaced with participants in the intervention possibly with lower salaries); displacement effect (rises in public sector spending drive down or even eliminate private sector spending)? The Ministry for Education and Employment (2016b) report includes the percentages of students who passed in their SEC resits in 2016, comparing those who attended SEC Revision Classes and those who did not. The evaluation also includes results from a survey distributed among students, teachers and coordinators about their views of the measure. The Ministry for Education and Employment (2016a) report provides the insights of several teachers about the initiative, highlighting specific difficulties encountered and strategies to deal with them. The evaluations do not include aspects such as deadweight loss, substitution effect, or displacement effect. Please summarise the main results of evaluations. If there are many evaluations about the same measure, please indicate the results of these separately together with the source. The Ministry for Education and Employment (2016b) report indicates that overall, students who attend the revision classes perform better in the resits than those who do not. Thus, the measure can be viewed as successful. The following is a table showing the percentage of students who obtained a pass (4 or 5 mark) in SEC resits in 2016. The table compares the results of students who attended SEC Revision Classes and those who did not, by subject. In your view: How would you assess the quality of the intervention? \| \| Revision Classes \| Revision Classes \| \|---\|---\|---\| \| Maltese \| 63.16 % \| 59.09 % \| \| English \| 39.74 % \| 32.56 % \| \| Maths \| 27.79 % \| 23 % \| \| Physics \| 26.97 \| 17.95% \| While the impact of the measure is already positive, the report puts forwards a number of recommendations to improve it further. The following are some of the main recommendations deriving from the report: - provide classrooms with better amenities (including air-conditioning); - provide teachers with more resources; - nurture an environment where students feel more comfortable evaluating their proficiency more realistically; - give more detailed and transparent information meetings for teachers; - put in place systems to reduce the amount of absenteeism and dropouts from the programme. According to the Ministry for Education and Employment (2016a) report, teachers are worried that there isn't enough time to cover all the required material. The report concludes that teachers would benefit from a short preparation course providing them with "tips, insights, and techniques required for the successful delivery of short courses" (p.27). Does this program achieve its stated goals and intended effects? Yes (This is my evaluation, which is in line with the results of the formal evaluation). Assessment of the magnitude of the effect? The effect is substantial at it covers thousands of students across the country and there is evidence that among those who do not pass from their SEC exams, those who take up the course are more likely to achieve pass marks than those who do not. The difference in likelihood of passing the exams between the two groups varies from 4 percentage points in the subject of Maltese to 9 percentage points in the subject of physics. Coverage and take-up: are there problems concerning coverage? Possible barriers for participation (lack of information, complexity of system, conditionality, degree of attractiveness for young people, etc.)? Related to the causes of unemployme nt and target risk groups Interventions assessed as 'good practice' example The fact that the classes are organised in summer may reduce take up, as this is the time which students normally dedicate to leisure, employment, family obligations and other personal activities. Indeed, it has been reported (Ministry for Education and Employment, 2016a, p.24) that "the fact that the Revision Classes take place in summer can hamper the learning process due to the heat and cultural events which take place in summer" and that "part-time jobs and lack of motivation from the students' side can contribute to absenteeism and dropout rate". In your opinion which are the main weaknesses of this intervention in terms of: adequacy; coverage; take-up; effectiveness of this intervention? I believe that this measure adequately addresses its objective. It is effective in increasing SEC pass rates, and has a large coverage and take-up rate. However, here is an unmeasured element of deadweight in the measure, since some students would have pursued private revision classes in the absence of such measure. Does this measure address the main causes for unemployment and social exclusion of young people and target the risk groups among young people? Explain how or, instead, why not? Yes, it addresses a major problem relating to unemployment and social exclusion in Malta, namely low levels of qualifications. Before 2014, students who failed in their SECs could only have access to often-expensive private tuition. By eliminating the fees associated with such classes, a significant percentage of students were encouraged to revise SEC subjects in summer under the guidance of qualified teachers and re-do the exams in September. Explain shortly which the reasons are and what are the main "success factors" of this intervention. A major success factor of this initiative is the strong publicity spearheaded by the Minister for Education and Employment which ensures a high uptake of the measure. Besides the initiative is relatively easy to offer as long as there are the necessary funds and the educational system provides the opportunity to re-sit exams at the end of summer. There is no need to re-develop curricula, as these are the same ones that students studied during the normal academic year (though such curricula have to be adapted). Teachers are attracted to the programme as they earn extra money during their time of inactivity. Give a reason why you value it as a good practice? The measure increases the pass rate of the SEC exams, thus enabling more students to further their education beyond compulsory schooling. The measure is particularly beneficial for families who would have found it financially difficult to send their children to private classes. Or alternatively, what do you see as main reasons hindering the potential for replication in other contexts? Not applicable Available evaluations Summary of evaluation results Are there evaluations on this program available? (Add Sources)? If yes, are the evaluations: ex-ante; mid-term, ex-post and/or permanent monitoring? No formal ad hoc evaluations are available. A reply to a parliamentary question in 2014 stated that a report with the feedback gathered from students and teachers participating in the measure would soon be completed (Government of Malta, 2014a). Similarly, a European Commission report (2016, p.2) stated that "the programme's effectiveness in ensuring that students remain in the education and training system is currently being assessed". However, to-date none has been published. On the other hand, a tracer study carried out among secondary school leavers in 2015 by the Directorate for Educational Services (within the Ministry for Education and Employment) included the paths of students who had followed the Alternative Learning Program. Directorate for Educational Services (2017). Tracer study report 2015. Available at: https://www.gov.mt/en/Government/Press%20Releases/Documents/pr172338a .pdf Are they internal (by the agency implementing it) or external (e.g. by scientific institutes)? While there isn't any formal evaluation of the measure, the data that I mentioned is internal, deriving from a different entity within the same Ministry. If evaluations of this program are available how detailed is the information provided (please, consider, do they include only basic information or more information, including evaluation of deadweight loss (hiring to subsidized jobs of individuals who would have found regular employment nevertheless); substitution effect (original regular workers possibly better paid and qualified are displaced with participants in the intervention possibly with lower salaries); displacement effect (rises in public sector spending drive down or even eliminate private sector spending)? Not detailed – only a table summarizing four potential career choices made by participants in the measure is available. Please summarise the main results of evaluations. If there are many evaluations about the same measure, please indicate the results of these separately together with the source. Out of the 150 young persons who participated in the survey, 47% continued with VET studies, 25% found employment, and another 28% are inactive. When data is categorised by gender, the following results emerge. Relatively more females than males furthered their studies (59% and 40% accordingly). On In your view: How would you assess the quality of the intervention? the other hand, more males are employed than females (29% and 18% accordingly) and more males become inactive (31% and 23% accordingly). The study does not say anything about the effectiveness or impact of the programme, beyond the few statistics that was mentioned. The study is not a specific evaluation of the Alternative Learning Programme – it is a tracer study about all students who completed compulsory education. Does this program achieve its stated goals and intended effects? There isn't enough evidence about this. On one hand, the above mentioned tracer study seems to point out that the results of the program are encouraging. But as will be seen below, there are several issues relating to the programme which have not necessarily been solved. The currently quality of intervention in the beginning of the programme was not up to the required standard. In 2014, the Malta Union of Teachers harshly criticised the Alternative Learning Programme (ALP) on various grounds including: - scarce planning resulting in the lack of a shared syllabus; - staff who are unprepared to deal with vulnerable students needing highly individualised learning programmes or the support of (inexistent) learning support facilitators; - no specific guidance teachers provided for the programme; - questionable engagement of vocational trainers without basic specific pedagogical training; - teachers being admonished for trying to exert order or discipline; and, - students in other schools allegedly getting themselves into trouble in order to be sent to the ALP programme and avoid normal schooling (Malta Independent, 2014; Times of Malta, 2014). The Ministry disputed some of the MUT's allegations and stated to be working to improve others. The improvements (if any) over the last three years are unknown. Whereas it is surely better to prevent students from becoming NEETs than just assisting them when they are already NEETs, some academics have argued that intervening in Form 5 (the last year of compulsory education) is already too late for many students. In 2015, Prof Carmel Borg, a former Dean of the Faculty of Education at the University of Malta, stated that there needs to be more focus on childcare centres, in which some problematic issues could already be traced. Prof Borg advocated intervention through a community-oriented approach, arguing that family poverty, unemployment and illiteracy often lie at the root of the problem (Micallef, 2015). Some academics have also disputed the approach of segregating students into different schools according to ability and/or motivation. Related to the causes of unemployme nt and target risk groups Interventions assessed as 'good practice' example Besides, in 2017, the Minister for Education and Employment admitted that around 300 students still ended up disappearing from education and work over the previous year (Martin, 2017). The number appears not to have improved since the ALP (and the youth guarantee in general) started in 2014. However, one can argue that this and complementary measures have blocked the increase of the negative figures. Assessment of the magnitude of the effect? While the number of students who follow the programme is substantial, the magnitude of the overall effect of the program is unknown. The tracer study quoted earlier indicates that the programme may be having a moderate effect on the targeted population. However, more research needs to be carried out and made public to ascertain this. Coverage and take-up: are there problems concerning coverage? Possible barriers for participation (lack of information, complexity of system, conditionality, degree of attractiveness for young people, etc.)? As stated above and for reasons which are not clear, the programme has been unable to help a significant number of about 300 students who still end up as NEETs every year. In your opinion which are the main weaknesses of this intervention in terms of: adequacy; coverage; take-up; effectiveness of this intervention? The main weakness of the intervention is that its effectiveness needs to be gauged through thorough investigation. Does this measure address the main causes for unemployment and social exclusion of young people and target the risk groups among young people? Explain how or, instead, why not? This measure tackles an important cause for the social exclusion of young people – namely that of motivating young people who are uninterested in traditional education to further their studies. Explain shortly which the reasons are and what are the main "success factors" of this intervention. Give a reason why you value it as a good practice? Overall this measure cannot be viewed as a clear example of good practice. Some evidence appears to show that it is improving the life chances of its participants. However, the measure has received substantial criticisms, including from the Malta Union of Teachers in its initial phases in relation to insufficient planning. It has also been criticised for its ideology which promotes segregation according to abilities. Despite the above, this measure includes aspects of good practice. Most importantly, it gives another chance to students who do not fit in the traditional educational system to further their studies in areas that might be more related to their interests and abilities. Having diverse educational pathways might Achieved results 2014 - 2020 Are stakeholders involved in the formulation/implementation of this measure? Yes, different organisations are involved in the implementation of this measure. Stakeholders include Jobsplus, educational institutions and private employers. The names of the latter were not announced, but probably include the Malta College of Arts, Science and Technology. How/through which institutions is this measure implemented? Jobsplus (formerly called Employment and Training Corporation) Budget (EUR, thousand) and source: The budget for this specific measure is not available. However, the budget for all the all measures under the Youth Guarantee between 2013 and 2015 was EUR3,068,802, while the budget for all measures under the Youth Guarantee during the period 2014-2020 is EUR5,031,569 (Government of Malta, n.d.b). Number of young people covered (entire running period) (data on number of people who are entitled and who actually take part)/ number of young people who have found a job. This initiative is meant to assist some of the estimated 4,600 NEETs in Malta. The initiative was formally divided into two cycles – Cycle 1 (2014-2015) and Cycle 2 (2016-2020). 554 young persons were reported to have applied to join the first cycle the scheme. It was also reported that after the first cycle of the youth guarantee scheme, 72 participants were in employment or further study twelve months after the completion of the youth guarantee scheme, while another 45 persons are registering for employment (Ministry for Finance, 2016). Assuming that the figures refer to first cycle of the NEET Activation scheme, this translates to around 13% of the participants who found employment or furthered their studies, while another 8% moved from inactivity to registering for employment. Under version two, there are the following targets: 1. Circa 150 participants will be provided training and personalised support per annum; 2. 600 participants will be provided training and personalised support during the period of validity of the contract; 3. A target of 300 participants will gain a qualification. (Ministry for Finance, 2017) The current number of participants is yet unknown. Total expenditures for the program on annual basis. Unknown. \| \| Total expenditure per beneficiary? If not available, other expenditure data what is available. The only data available are the general budgets for the whole Youth Guarantee programme as listed above. \| \|---\|---\| \| Targeting \| Which are the target groups of this measure? Young unemployed or inactive persons. Is this program especially targeted to young people or to all unemployed? It is especially targeted to young people. If it is targeted to all unemployed, does it include special focus to young people (for example, by providing more incentives if young unemployed are targeted)? Not applicable. \| \| Youth involvement \| Are there specific activities planned in the programme to include targeted youth actively in designing the programme or other way (Yes/Partly/No). Please describe if Yes/Partly No \| \| Links to EU initiatives \| Is the program linked to an EU initiative (like Youth Guarantee, Youth Employment Initiative, Framework for Quality traineeships and apprenticeship; EURES Job; Support to youth entrepreneurship). If yes, to which one? This initiative forms part of the Youth Guarantee. \| \| Available evaluations \| Are there evaluations on this program available? (Add Sources)? If yes, are the evaluations: ex-ante; mid-term, ex-post and/or permanent monitoring? There is only one available evaluation, by Marketing Advisory Services (2015). It is ex-post Cycle 1 of the initiative (or mid-term if one considers the initiative as one whole). Marketing Advisory Services (2015). Research on the youth guarantee – Qualitative and quantitative research (Malta) 2015. Available at: https://education.gov.mt/en/youthguarantee/Documents/Research %20on%20the%20Youth%20Guarantee%202015.pdf Are they internal (by the agency implementing it) or external (e.g. by scientific institutes)? It is external. If evaluations of this program are available how detailed is the information provided (please, consider, do they include only basic information or more information, including evaluation of deadweight loss (hiring to subsidized \| Summary of evaluation results jobs of individuals who would have found regular employment nevertheless); substitution effect (original regular workers possibly better paid and qualified are displaced with participants in the intervention possibly with lower salaries); displacement effect (rises in public sector spending drive down or even eliminate private sector spending)? The evaluation aims at identifying and highlighting areas which need to be improved in strengthening key aspects of the programme. The research is based on one-to-one interviews with participants in the scheme, focus groups with youth workers and teachers, and an evaluation questionnaire with beneficiaries who completed the programme. It does not include details such as deadweight loss, substitution effect, or displacement effect. The following are some further details about the design of the research that was carried out: Interviews were carried out with one hundred youths who had ongoing or recent experience as a participant within the measure. Each semi-structured interview took between 45 minutes and an hour to carry out. Four focus group sessions were carried out with youth workers and teachers who were employed within the measure. Each focus group was between one hour and forty five minutes and two hours long. A questionnaire was used to collect quantitative data from all youths who participated in the measure. Data was obtained from 49 respondents. The questionnaire mainly consisted of close-ended questions and required between 10 and 15 minutes to complete. All three research methods aimed to provide participants the opportunity to express their opinions and feelings in relation to their experiences within the programme. Please summarise the main results of evaluations. If there are many evaluations about the same measure, please indicate the results of these separately together with the source. The evaluation of the scheme resulted in overall positive feedback from the participants about their education and training experience. According to the youths, teachers were competent and able to teach the course content (which was deemed to be relevant and useful) in a way which could be easily understood. On the other hand, some participants lamented that being within a group of students with mixed ability levels was not helpful. The professionals working on the scheme also held generally positive views, stating that the programme is working, especially in promoting and driving self-improvement of the youths who were enrolled for the right reasons. However, these professionals also asked for the need of a stronger structure which supports the scheme. In your view: How would you assess the quality of the intervention? Does this program achieve its stated goals and intended effects? Despite the above results deriving from research carried out among participating students and professionals (Marketing Advisory Services, 2015), the first cycle of this programme was not particularly successful, as can be seen from the very low number of persons who ended up in employment or further training after completing the programme. The second cycle of the programme aims to be a significant improvement over the first one. As will be seen below, the program was also rather unsuccessful in recruiting participants. Marketing Advisory Services (2015). Research on the youth guarantee – Qualitative and quantitative research (Malta) 2015. Available at: https://education.gov.mt/en/youthguarantee/Documents/Research %20on%20the%20Youth%20Guarantee%202015.pdf Assessment of the magnitude of the effect? The effect of the first cycle in terms of employment was very small. Only 72 participants were in employment or further study twelve months after the completion of the youth guarantee scheme, Coverage and take-up: are there problems concerning coverage? Possible barriers for participation (lack of information, complexity of system, conditionality, degree of attractiveness for young people, etc.)? The first cycle of the programme had a low response rate (554 out of the then estimated 7,000 NEETS). Apart from the fact that as noted by the participants, the programme was not well marketed (Marketing Advisory Services, 2015), the low response rate indicated that the authorities did not have sufficient information about who are the NEETs in Malta. Thus, research was carried out to investigate and categorise the population of NEETs. This investigation revealed that the estimated number of NEETs is much smaller than that previously thought (around 4,600). Besides, NEETs were found to be a highly heterogeneous group, leading to the conclusion that different activation measures are required to target the different categories that comprise NEETs. The first cycle of the NEETs Activation Scheme was found to only have targeted Floating NEETs, one of the smaller groups of NEETs. Indeed, rather than enrolling inactive NEETs, most of those enrolled were registering unemployed who were obliged to participate in the scheme. (In relation to this point, such obligation appears to have resulted in many unmotivated participants, thus leading to poor outcomes). In your opinion which are the main weaknesses of this intervention in terms of: adequacy; coverage; take-up; effectiveness of this intervention? As stated above, the poor understanding of NEETs in Malta led to an unprecise targeting of participants in the first cycle of this initiative. Related to the causes of unemployme nt and target risk groups Interventions assessed as 'good practice' example The participants were not provided with sufficient social skills and support, leading to instances where youths with severe social problems behaved badly towards their employers and co-workers. In order to tackle this problem, which proved to be much larger than expected, in the second cycle of the scheme, strong psychosocial support will be provided throughout the programme, not just in the beginning of the scheme. The second cycle of the scheme also emphasises discipline, ethics and other basic work values. With regards to employment experience, the research exercise concluded that a greater variety of work placements would be helpful. Besides, more adequate monitoring when participants are attached with employers would reduce abuse from both employers and participants. The professionals working on this scheme also pointed out that they were not supported by an adequate organisational structure, leading them to experience insufficient role clarity, problems relating to accountability and insufficient networking with other professionals working in the scheme. Does this measure address the main causes for unemployment and social exclusion of young people and target the risk groups among young people? Explain how or, instead, why not? The first cycle of this measure appears to have failed to address the main causes of social exclusion. It was unable to target the group of Core NEETs, comprising those with social and behavioural problems - This group was not reached by the organisers of the measure. The organisation of the training was also not optimal. However, after the experience of the first cycle of this measure, the government aims to improve the second cycle, which "is going to be tailor made based on the needs of youths and shall be provided into smaller and more homogeneous groups" (Government of Malta. (2017a, p.127). Explain shortly which the reasons are and what are the main "success factors" of this intervention. Not applicable. Give a reason why you value it as a good practice? Not applicable. Or alternatively, what do you see as main reasons hindering the potential for replication in other contexts? Despite the overall positive feedback given in the evaluation mentioned earlier, the first cycle of this measure can hardly be described as successful – it tried to target an ill-defined and heterogeneous group with training that was not tailor made, it failed to target an important subgroup of NEETs, and ended up with relatively few participants in employment or in further education and training. Having said that, the experience of the first cycle of the measure helped to highlight several deficits which will hopefully be amended in the second cycle of this measure. For instance, it is positive to note that "outreach activities were launched in February 2017 and so far have included promotion on radio stations, a social media campaign, as well as meetings with Secondary school psychosocial teams and other entities such as LEAP and Agenzija Zghazagh detach youth work" (Ministry for Finance, 2017, p.5). \| Name of the initiative \| Youth.inc \| \|---\|---\| \| Short description \| (Primary/Main) aim of the measure: The main aims of the measure are to: 1. Instil a work and lifelong education ethic among young participants; 2. Inform young people of learning and employment opportunities; 3. Increase their chances of gaining employment; 4. Reduce the risk of unemployment; and 5. Promote lifelong learning. (Eryica, 2014, p.13) Intended effects: The projected outcomes for young participants are: 1. Personal and social development and increased self-esteem; 2. Access to quality information and advice; 3.Second-chance education and training; 4. Promotion of independence, personal autonomy, active citizenship and a pattern of lifelong learning; 5. Integration into further education and training opportunities and/or the labour market. (Eryica, 2014, p.13) More generally, the instrument aims to help young people to improve their standard of education and gain more knowledge, values and skills to enter the labour market or gain qualifications to continue in further education and/or training. The instrument aims to help young persons with low levels of education gain skills and knowledge at MQF Levels 1 and 2, in order to be able to further their studies. Target groups: Youths who finished compulsory schooling but do not have the qualifications to further their education and training. Eligibility criteria for beneficiaries: Same as above Type of intervention (which type of ALMP & which elements of social policy): Education and training This is an inclusive education programme, based on applied learning, for young people. Participants are assisted to gain key competencies, sectoral skills and underpinning knowledge, leading to MQF Level 1 and Level 2 certification. Participants learn transferable skills such as applying theory to work-related \| \| \| challenges, acquiring knowledge, gaining basic skills, embracing values and working in a team. Participants attending the programme on a full time basis are entitled to receive a stipend. Level: National Start/ end date: 2011 – ongoing Are stakeholders involved in the formulation/implementation of this measure? The measure is implemented by Aġenzija Żgħażagħ. How/through which institutions is this measure implemented? Youth.inc is under the remit and management of Aġenzija Żgħażagħ – Malta’s National Youth Agency. Budget (EUR, thousand) and source: Unknown. \| \|---\|---\| \| Achieved results \| Number of young people covered (entire running period) (data on number of people who are entitled and who actually take part)/ number of young people who have found a job. 106 young people participated in the programme in 2014/2015 (Aġenzija Żgħażagħ, 2016) and 109 in 2015/2016 Aġenzija Żgħażagħ (2017). Total expenditures for the program on annual basis. Unknown. Total expenditure per beneficiary? If not available, other expenditure data what is available. Unknown. \| \| Targeting \| Which are the target groups of this measure? Youths who finished compulsory schooling but do not have the qualifications to further their education and training. Is this program especially targeted to young people or to all unemployed? It is especially targeted to young people. If it is targeted to all unemployed, does it include special focus to young people (for example, by providing more incentives if young unemployed are targeted)? Not applicable. \| Related to the causes of unemployment and target risk groups Interventions assessed as 'good practice' example Coverage and take-up: are there problems concerning coverage? Possible barriers for participation (lack of information, complexity of system, conditionality, degree of attractiveness for young people, etc.)? Unknown. In your opinion which are the main weaknesses of this intervention in terms of: adequacy; coverage; take-up; effectiveness of this intervention? The main weakness of the intervention is the lack of available evaluation – which renders the results of this initiative unclear. Does this measure address the main causes for unemployment and social exclusion of young people and target the risk groups among young people? Explain how or, instead, why not? This measure aims to address an important cause of unemployment and social exclusion, namely low skills and educational levels. It is based on the promising rationale that young people who did not benefit sufficiently from formal education can be successful if they are engaged and motivated to participate actively in an applied learning environment. However, the extent to which this measure reached its aim is unknown. Explain shortly which the reasons are and what are the main "success factors" of this intervention. Not applicable. Give a reason why you value it as a good practice? Not applicable. Or alternatively, what do you see as main reasons hindering the potential for replication in other contexts? The measure's potential for replicability is unknown due to lack of evidence of its effectiveness. Diffusion of EU youth employment initiatives Since Malta joined the EU, through the open method of coordination, subsequent governments have carried out policies to improve various aspects of education and the labour market in line with EU targets. EU initiatives play a vital role in the implementation of youth labour market inclusion in Malta. The amount of funds used, the range of initiatives taken and the number of young persons reached are all substantial. Indeed, the majority of youth labour market inclusion initiatives in Malta are co-financed by the EU. Some initiatives target solely youth, while others have a wider catchment of participants, including young persons. For example, the Malta College of Arts, Science and Technology (MCSAST) which is the main vocational education and training institution in Malta has received substantial funds from ESF and from the Lifelong Learning Programme to reform its operations and upgrade its courses (Cedefop, 2015), mainly for the benefit of young persons. Tens of millions of Euros have been spent during the 2007-2013 period to develop and improve the quality of VET in economic areas required by the country (such as ICT, aviation maintenance etc), to make its courses more conducive to the progression of vulnerable students to higher levels of education and towards lifelong learning for everyone (Cedefop, 2015). ESF funds have been used by the Malta Qualifications Councils to accredit quality vocational training and to create the infrastructure for the design of occupational standards of skills in different sectors. The government, especially through the Ministry for Education and Employment has been using substantial ESF funds for scholarship initiatives at various levels of ability, from first degree to post-doctoral studies. Jobsplus, Malta's public employment services, has also made use of considerable ESF funds for initiatives which have a wide target audience including young persons, such as training initiatives, the promotion of more women in the labour market, and the facilitation of the employment of persons with disabilities and other disadvantaged categories. It is worthwhile highlighting the ESF co-funded Youth Employment Programme (20082013) which was "intended to increase the employability and labour market integration of young people, particularly early school-leavers, who benefited from further training as well as greater knowledge of their rights and responsibilities at work" (Government of Malta, n.d.a). Currently, the Youth Guarantee Programme, managed by the Ministry for Education and Employment, is the flagship initiative assisting the youth labour market inclusion in Malta. The programme, which started in 2013 and will continue until 2020, has four different initiatives, supporting young people (of less than 25 years) with training, job exposure and personalised assistance. The momentum brought about by the Youth Guarantee has helped recent governments to focus more on the problem of early school leavers in Malta. Young persons have also benefitted from other initiatives supported though ESF and offered by other institutions such as the Ministry for Gozo, the Malta Hotels and Restaurants Association (MHRA) and the Foundation for Social Welfare Services (FSWS) (Government of Malta, 2017b). Malta is not eligible for funding from the Youth Employment Initiative (YEI) which is only granted to regions experiencing high youth unemployment rates (Ministry for Education and Employment, 2015b). Consistency of the policies for youth inclusion Youth employment policies are intrinsically related to other components of social policy in Malta. Policies attempting to increase and improve youth employment are often directed at education and training, even at the level of compulsory schooling. Thus educational policies and employment policies are intertwined. Besides, youth employment policies are portrayed by government as a means of reducing government aid relating to unemployment and inactivity. A case in point is the "Free childcare scheme" that I focused on in Table 6. I chose this measure as it is probably the main government measure meant to increase mothers' employment in Malta, while it is both an employment measure and a social policy measure. Considerable funds are being allocated for this measure. I also chose the measure "Embark for Life – Labour market integration of social excluded youth (E4L)" as it has been evaluated and the results of the evaluation are public. In Malta, this is often not the case. Besides, the measure is an example of good practice, especially due to the fact that it involved the cooperation of several stakeholders (both employment and non-employment oriented) which again, is something not very common in Malta. Table 6 A brief overview of selected youth employment interventions related to components of social policies \| № \| Name \| Level \| Main target group \| Starting year; end year \| Funding source \| Part of EU initiati ves \| Evaluat ion \| Impact of the policy measures \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1 \| Embark for Life – Labour market integrati on of social excluded youth (E4L) \| Natio nal \| D. Targeted to youth risk group \| 2009- 2013 \| EU Co- Funded \| Europ ean Social Fund \| Yes, positive \| Employment impact in quantitative terms is rather small. \| \| 2 \| Free Childcar e Scheme \| Natio nal \| C. Targeted risk group \| 2014- ongoing \| National funds \| Not applic able \| Yes, mixed results \| The employment impact appears to be substantial (despite the deadweight of the measure) \| Detailed description and evaluation of the selected measures Achieved results Targeting Are stakeholders involved in the formulation/implementation of this measure? Yes. The project was formulated within the Foundation for Social Welfare Services within the Ministry for the Family and Social Solidarity through cooperation with youth entities and organisations with youth at risk of social exclusion. Different stakeholders played a role in the implementation of this measure. 27 different entities working with youths at risk referred young people to this initiative. Aġenzija Appoġġ (the national agency for psycho-social welfare services) and Aġenzija Sedqa (the national agency focusing on drugs and alcohol abuse, compulsive gambling and other dependencies) offered their support in the implementation of care plans for the participants. Jobsplus (then called Employment and Training Corporation, ETC, Malta's public employment services) provided guidance on issues such as matching market needs with the abilities of the participants, and provided the necessary training design and delivery. On the other hand, the Housing Authority was responsible for the coordination of the rent subsidiary scheme and assisted participants who could benefit from mainstream Housing Authority schemes. Close collaboration with the Youth Agency (Agenzja Zaghzagh) aimed to ensure that such partnerships continue beyond the lifespan of the ESF project (FSWS, n.d.). How/through which institutions is this measure implemented? The initiative was managed by the Foundation for Social Welfare Services within the Ministry for the Family and Social Solidarity. Budget (EUR, thousand) and source: EUR576,827 (ESF co-funded) (Government of Malta, 2017b) Number of young people covered (entire running period) (data on number of people who are entitled and who actually take part)/ number of young people who have found a job. 386 young persons were reached by this initiative and over a third of these (132) found and maintained a job or moved on to further training up to 6 months after having received support from the initiative (FSWS, 2013). Total expenditures for the program on annual basis. Unknown Total expenditure per beneficiary? If not available, other expenditure data what is available. EUR 576,827 for 386 participants = EUR 1,494 per participant Which are the target groups of this measure? \| \| 16-24 year olds who for various reasons and life situations, face difficulties in finding or keeping employment. Is this program especially targeted to young people or to all unemployed? Especially targeted to young people. If it is targeted to all unemployed, does it include special focus to young people (for example, by providing more incentives if young unemployed are targeted)? Not applicable. \| \|---\|---\| \| Youth involvement \| Are there specific activities planned in the programme to include targeted youth actively in designing the programme or other way (Yes/Partly/No). Please describe if Yes/Partly Not really. However, the intervention was targeted to the needs of the participants. Thus, participants chose the vocational training they wished to have, and received the career guidance assistance they required. \| \| Links to EU initiatives \| Is the program linked to an EU initiative (like Youth Guarantee, Youth Employment Initiative, Framework for Quality traineeships and apprenticeship; EURES Job; Support to youth entrepreneurship). If yes, to which one? 85% of funds derive from ESF, under Operational Programme II – Cohesion Policy 2007-2013 Empowering People for More Jobs and a Better Quality of Life (FSWS, 2013) \| \| Available evaluations \| Are there evaluations on this program available? (Add Sources)? If yes, are the evaluations: ex-ante; mid-term, ex-post and/or permanent monitoring? An ex-post evaluation exists by the Foundation for Social Welfare Services (2013). Are they internal (by the agency implementing it) or external (e.g. by scientific institutes)? Internal If evaluations of this program are available how detailed is the information provided (please, consider, do they include only basic information or more information, including evaluation of deadweight loss (hiring to subsidized jobs of individuals who would have found regular employment nevertheless); substitution effect (original regular workers possibly better paid and qualified are displaced with participants in the intervention possibly with lower \| Summary of evaluation results In your view: How would you assess the quality of the intervention? salaries); displacement effect (rises in public sector spending drive down or even eliminate private sector spending)? The evaluation is not detailed. It includes some staff and clients' experiences of the initiative and the following basic quantitative results: number of persons supported, number of participants in employment six months after receiving employment, number of participants gaining a qualification, the impact increase in the employment rate and the impact increase in the number of adult participants in lifelong learning. This data is categorised according to year. Please summarise the main results of evaluations. If there are many evaluations about the same measure, please indicate the results of these separately together with the source. The organisers of the initiative stated that it has surpassed the projected targets, by reaching a total of 386 young people instead of the 240 originally planned. Most importantly, 132 of these (or 34%) have found and maintained a job or moved on to further training up to 6 months after having received support from the project (FSWS, 2013). Does this program achieve its stated goals and intended effects? Yes, it trained more individuals and assisted more participants to gain employment or embark in training leading to a qualification than was originally planned (see FSWS, n.d.). Assessment of the magnitude of the effect? Considering that every year around 300 young persons end up as inactive after finishing compulsory schooling, the impact of this one-off measure is small. Coverage and take-up: are there problems concerning coverage? Possible barriers for participation (lack of information, complexity of system, conditionality, degree of attractiveness for young people, etc.)? There appears not to have been any problems concerning take-up. It was reported that all individuals who were referred and were eligible to benefit from the initiative were accepted, even if this meant exceeding the number of planned participants (FSWS, 2013). In your opinion which are the main weaknesses of this intervention in terms of: adequacy; coverage; take-up; effectiveness of this intervention? In order to leave stronger social effects, the initiative could have been scaled up, after the initial trial run. This could have been done by investing more resources and widening the selection criteria. By providing free childcare, the option of joining the labour market would become more attractive to women with young children, thus increasing their employment rate. Target groups: Parents in employment or in education with young children. Eligibility criteria for beneficiaries: Children between 3 months and 3 years old whose parents/guardians are either both employed or in education can benefit from the free childcare scheme. In the case of a single parent/guardian, the latter must be employed and paying social security contributions. When parents/guardians are in education, they need to be pursuing a course leading to a recognised qualification. Type of intervention (which type of ALMP & which elements of social policy): Free childcare Free childcare is offered for parents who are in education or employment and who have children between the ages of three months and three years. These parents may send their children to childcare providers that have entered into a public-private partnership with government. Level: National Start/ end date: April 2014 - ongoing Are stakeholders involved in the formulation/implementation of this measure? Yes, the Ministry for Education and Employment (MEDE) collaborates with over 100 public and privately owned childcare centres in the implementation of this measure. How/through which institutions is this measure implemented? Ministry for Education and Employment Budget (EUR, thousand) and source: Original budget for April-December 2014 = EUR3,800,000. Amount paid: EUR5,316,778 Original budget for January-December 2015 = EUR8,000,000. Amount paid: EUR11,152,442 Original budget for January-December 2016 = EUR11,000,000. Amount paid not yet available. (National Audit Office, 2016) \| \| None in particular. It is linked to Malta’s target of increasing the number of women in the labour market. \| \|---\|---\| \| Available evaluations \| Are there evaluations on this program available? (Add Sources)? If yes, are the evaluations: ex-ante; mid-term, ex-post and/or permanent monitoring? Yes, the followingevaluations exist which may be considered as mid- term, as they were carried out while the program was ongoing: Borg, A. (2015). Free Childcare – A fix to the family and paid work conflict? Mutual Learning Programme DG Employment, Social Affairs, Skills and Labour Mobility. Available at: ec.europa.eu/social/BlobServlet?docId=14011&langId=en Government of Malta. (2017d). Malta midterm self-assessment report - National action plan 2015-2017. Available at: https://www.opengovpartnership.org National Audit Office. (2016). Report by the auditor general – Public accounts 2015. Available at: http://nao.gov.mt//loadfile/5cb54848-af90- 41db-9fcc-1c861acd8e58 Other opinions about the measure were found, but they cannot be viewed as proper evaluations. Are they internal (by the agency implementing it) or external (e.g. by scientific institutes)? Both. The evaluations by Borg (2015) and the National Audit Office (2016) are external, while that of the Government of Malta (2017d) is internal. If evaluations of this program are available how detailed is the information provided (please, consider, do they include only basic information or more information, including evaluation of deadweight loss (hiring to subsidized jobs of individuals who would have found regular employment nevertheless); substitution effect (original regular workers possibly better paid and qualified are displaced with participants in the intervention possibly with lower salaries); displacement effect (rises in public sector spending drive down or even eliminate private sector spending)? Most of the evaluations are not detailed. They do not tackle aspects such as deadweight loss, substitution effect or displacement effect. The only detailed evaluation is the one carried out by the National Audit Office (2016), which focuses on issues relating to procedural aspects, rather than on the overall effectiveness of the intervention. \| Summary of evaluation results Please summarise the main results of evaluations. If there are many evaluations about the same measure, please indicate the results of these separately together with the source. The following are some main points resulting from different evaluations carried out: An early evaluation carried out in 2015 by Dr Anna Borg, an independent expert working at the University of Malta, listed several important flaws in the measure, including the following: the system is failing to target disadvantaged households (in which parents don't work); the quality of childcare is being under pressure due to the high demand; childcare centres are not evenly spread across Malta; the opening hours are not consistent and may be incompatible with the typical working patterns of parents; and the working conditions of child carers are allegedly bad. More recently Borg stated that despite the measure, women are still pushed to choose between a job and motherhood as the free childcare measure is only effective short-term, since when children start going to school, the problem of who is to care for children resurfaces, as most schools close their doors early in the afternoon (Caruana, 2017). Borg also questioned the positive effect that this measure had on the overall increase of female employment, which in 2015 and 2016 was lower than in the previous years (Balzan, 2017) An audit carried out by the National Audit Office (2016, p.100) "revealed lack of control exercised by the Ministry for Education and Employment over the service providers. The implementation of a fully automated attendance recording system beginning 2016 only translated into a new set of risks, which still resulted in significant undue payments". According to the report, the end result is that childcare providers abused the system in a substantial and varied ways. For instance, a centre with a set capacity of 15 children was accommodating 87. Besides, over a period of four month, 60 centres were paid around EUR90,000 for booked hours for which children failed to attend. On the other hand, according to an evaluation carried out by the government (2017d, p.5) "results showed an evident upward trend in the number of mothers who returned to employment within the same year of giving birth. In 2015, a spike was observed in the number of mothers joining the labour market within the same year of giving birth. This kink is a clear indication of a behavioural response motivated by the provision of free childcare. Although it may be premature to draw conclusions, the introduction of free childcare seems to be effective in facilitating a more rapid return to the labour market for mothers within the first three years of birth of the child. Such results were further confirmed as the number of mothers returning to employment within 2 In your view: How would you assess the quality of the intervention? years of giving birth as a percentage of the total number of mothers who gave birth during those 2 year period and had not been employed, also increased in 2014." According to the Malta Employers' Association (2017, p.13), "The measure to introduce free child care has yielded positive results in terms of an increase in female participation. The service can be improved by considering the needs of an increasing number of families who are on shift work. These can be accommodated through an expansion of the hours during which child care is available, and through the setting up of more child care centres around Malta and Gozo." Does this program achieve its stated goals and intended effects? I believe that despite the criticisms, the program is achieving its stated goals. It is contributing to increase the number of mothers in employment – as evidenced by the fact that the number of children in childcare centres has doubled from around 1,800 to 3,600 in the early part of 2016 (Eurofound, 2016). This view appears to be shared by important stakeholders including social partners (e.g. Malta Employers Association, 2017). Assessment of the magnitude of the effect? The precise magnitude of the effect is difficult to assess, since raw data is open to different interpretations. However, the general feeling in Malta is that the measure is a very important one – probably the most important measure to increase female employment carried out by the Labour government since it was elected in 2013. The measure has given mothers with young children a stronger incentive to return to work, and apart from improving the economic situation of families, it has also enabled more mothers to increase their personal fulfilment by using their work-related skills. Coverage and take-up: are there problems concerning coverage? Possible barriers for participation (lack of information, complexity of system, conditionality, degree of attractiveness for young people, etc.)? A number of criticisms regarding coverage have been pointed out. The program has been criticised for not covering the women in the most vulnerable families, were parents are not in employment or education. It has also been criticised for being too rigid and not assisting families in which parents work non-office hours. The program has also been criticised for not covering sufficiently the islands of Malta and Gozo. In 2017, the government stated that it does not intend to offer the programme to families with unemployed parents (see answer below), Related to the causes of unemployment and target risk groups Interventions assessed as 'good practice' example but it also promised that it would increase the flexibility of the system, offering a night childcare service, and extending the service to other localities especially those of high commercial activity (Pace, 2017). In your opinion which are the main weaknesses of this intervention in terms of: adequacy; coverage; take-up; effectiveness of this intervention? I agree with the government that if free childcare is offered to the unemployed parents and parents not in education, it runs the risk of closing the important gap that was created between the benefit of staying at home and the benefit of going to work, thus creating a poverty trap. On the other hand, as this measure is offered to all parents in employment or education, it inevitably carries with it a heavy deadweight, as before the introduction of the measure, many mothers (around 1,800) were already paying to use childcare facilities. Thus, the government might wish to consider some form of means testing for the beneficiaries of the system in order to reduce the deadweight. Does this measure address the main causes for unemployment and social exclusion of young people and target the risk groups among young people? Explain how or, instead, why not? The measure addresses a major cause for the inactivity of mothers (including young mothers), namely that of remaining at home to care for their children, by making it more economically attractive for them to find employment and leave their children at childcare centres. Explain shortly which the reasons are and what are the main "success factors" of this intervention. This measure tackles the major issue of childcare that was holding many mothers from returning to work. It is contributing to change Maltese culture, making it more acceptable for mothers to leave children with child carers and go to work. The substantial funds invested by government are contributing to the measure's success. Give a reason why you value it as a good practice? By widening the gap in benefits between mothers who go to work and those who stay at home, the measure has made work pay more. Or alternatively, what do you see as main reasons hindering the potential for replication in other contexts? Not applicable References Aġenzija Żgħażagħ (2016). Annual report 2015. Available at: http://www.agenzijazghazagh.gov.mt/Downloads/176/Annual_Report_2015/ Aġenzija Żgħażagħ (2017). Annual report 2016. Available at: http://www.agenzijazghazagh.gov.mt/Downloads/202/Annual_Report_2016/ Balzan, J. (2017, May 23). Universal childcare can break circle of poverty. Maltatoday. Available at: http://www.maltatoday.com.mt/news/national/77466/universal_childcare_can_br eak_circle_of_poverty Borg, A. (2015). Free Childcare – A fix to the family and paid work conflict? Mutual Learning Programme DG Employment, Social Affairs, Skills and Labour Mobility. Available at: ec.europa.eu/social/BlobServlet?docId=14011&langId=en Caruana, C. (2017, April 26). Free childcare is good… but then what? Times of Malta. Available at: https://www.timesofmalta.com/articles/view/20170426/local/gapbetween-employment-rates-for-men-and-women-in-malta-widest-in.646264 Cedefop (2015). Apprenticeship review: Malta. In pursuit of quality and relevance: revitalising apprenticeship. Luxembourg: Publications office. Available at: www.cedefop.europa.eu/files/4139_en.pdf Directorate for Educational Services (2017). Tracer study report 2015. Available at: https://www.gov.mt/en/Government/Press%20Releases/Documents/pr172338a. pdf Eryica (2014). Good Practice in youth information. Employment – structured dialogue and participation – peer-to-peer. Available at: eryica.org/sites/default/files/SHEryica%202014.pdf Eurofound. (2016). Free childcare scheme. Available at: https://www.eurofound.europa.eu/observatories/emcc/erm/supportinstrument/free-childcare-for-working-parents European Commission. (2016). Education and Training Monitor 2016 – Malta. Available at: https://ec.europa.eu/education/sites/education/files/monitor2016-mt_en.pdf Foundation for Social Welfare Services. (FSWS, 2013). Embark for life - Integration of Young people into the labour market PROJECT DOSSIER ESF 3.61. Available at: https://fsws.gov.mt/en/fsws/Documents/EU%20Projects/DOSSIER%20E4L%20 %20%20%20FINAL.pdf Foundation for Social Welfare Services. (FSWS, n.d.). Embark for Life - Integration of young people into the labour market. Available at: https://fsws.gov.mt/en/fsws/Pages/EU%20Projects/Embark-for-Life--Integration-of-Young-People-into-the-Labour-Market.aspx Government of Malta (2014a). 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Available at: http://pq.gov.mt/PQWeb.nsf/7561f7daddf0609ac1257d1800311f18/c1257d2e00 46dfa1c125815b00389579!OpenDocument Government of Malta. (n.d.a). ESF 3.60: Youth employment programme. Available at: https://investinginyourfuture.gov.mt/project/opportunitajiet-indaqs/youthemployment-programme-33947763 Government of Malta. (n.d.b). EU funds website. Available at: https://eufunds.gov.mt/en/Pages/Home.aspx Malta Employers' Association. (2017). Proposals for national budget 2018. Available at: www.maltaemployers.com/loadfile/a4cb221c-ae84-4cb0-9af9-6ba6503cf639 Malta Independent. (2014, November 14). Alternative Learning Programme 'a timebomb ready to explode' - MUT, Education Ministry reacts. Available at: http://www.independent.com.mt/articles/2014-11-14/local-news/AlternativeLearning-Programme-a-time-bomb-ready-to-explode-Malta-Union-of-Teachers6736125687 Malta Independent. (2017, July 5). 180 students complete Alternative Learning Programme at MCAST. Available at: http://www.independent.com.mt/articles/2017-07-05/local-news/180-studentscomplete-Alternative-Learning-Programme-at-MCAST-6736176227 Maltatoday. (2014, August 11). Bartolo bemoans lack of interest in youth guarantee scheme. Available at: http://www.maltatoday.com.mt/news/national/42186/bartolo_bemoans_lack_of_i nterest_in_youth_guarantee_scheme_#.WeM19ztdKRo Marketing Advisory Services (2015). Research on the youth guarantee – Qualitative and quantitative research (Malta) 2015. Available at: https://education.gov.mt/en/youthguarantee/Documents/Research%20on%20th e%20Youth%20Guarantee%202015.pdf Martin, I. (2017, January 2). 300 have 'disappeared' from school and work. 16-year-olds drop out into idleness or illegal employment. Times of Malta. Available at: https://www.timesofmalta.com/articles/view/20170102/local/300-havedisappeared-from-school-and-work.635437 Micallef, K. (2015, February 21). 'Act early to identify potential lost youths'. Times of Malta. Available at: https://www.timesofmalta.com/articles/view/20150221/local/Act-early-to-identify-potential-lost-youths-.556920 Ministry for Education and Employment. (2015a). Revision Classes: A success story that continues. Available at: https://education.gov.mt/en/resources/News/Pages/News%20items/Revision- Classes-A-success-story-that-continues.aspx Ministry for Education and Employment. (2015b). Youth guarantee implementation plan - Malta. Available at: http://ec.europa.eu/social/BlobServlet?docId=16478&langId=en Ministry for Education and Employment. (2016a). The intensive summer SEC revision classes - A handicap or opportunity? Best practices for teachers of the youth guarantee - SEC revision classes. Available at: http://education.gov.mt/en/youthguarantee/Documents/Youth%20Best%20Pract ices%20DOC%20B%20FINAL.pdf Ministry for Education and Employment. (2016b). Youth Guarantee SEC Revision Classes 2016 Report. Available at: http://education.gov.mt/en/youthguarantee/Documents/Youth%20Sec%20report %20FINAL.pdf Ministry for Education and Employment. (2017). Youth Guarantee. Available at: https://education.gov.mt/en/youthguarantee/Documents/More%20About%20our %20Initiatives.pdf. Ministry for Finance. (2016). National reform programme – Annex table 2. Available at: https://mfin.gov.mt/en/Library/Documents/NRP/Annex%20Table%202-16.pdf Ministry for Finance. (2017a). National reform programme. Available at: https://mfin.gov.mt/en/Library/Documents/NRP/NRP_2017.pdf No. 43 – Youth employment policies in Malta Ministry for Finance. (2017b). National reform programme – Annex table 2. Available at: https://mfin.gov.mt/en/Library/Documents/NRP/Annex_Table_2-17.pdf National Audit Office. (2016). Report by the auditor general – Public accounts 2015. Available at: http://nao.gov.mt//loadfile/5cb54848-af90-41db-9fcc-1c861acd8e58 National Statistics Office. (2017). World population day: 11 July 2017 (News release 111/217). Available at: https://nso.gov.mt/en/News_Releases/View_by_Unit/Unit_C5/Population_and_ Migration_Statistics/Documents/2017/News2017_111.pdf Pace, Y. (2017, May 15). Free childcare service to be broadened under new Labour government. Maltatoday. Available at: http://www.maltatoday.com.mt/news/election2017/77191/live_joseph_muscat_addresses_press_conference#.WeB55ztdKRo Times of Malta. (2014, November 14). Updated: Alternative learning programme 'timebomb ready to explode' – MUT. Available at: https://www.timesofmalta.com/articles/view/20141114/local/updated-alternativelearning-programme-timebomb-ready-to-explode-mut.544016 The MyWay Project (2015). My way compilation. Available at: http://www.mywayproject.eu
SITUATION VACANT 1. Applications are invited for the post of Research Assistant in the HEC funded research project entitled "Development of RNA based next generation biopesticides to control cotton bollworms" run by Dr. Aftab Ahmad, Assistant Professor, Biochemistry/CAS, UAF at consolidated pay of Rs. 25,000/- per month. The candidates, who are M.Phil or M.Sc. (Hons.) in Biochemistry, Biotechnology or Plant Biotechnology and currently enrolled in PhD at UAF, will be preferred. Complete application in all respect in prescribed form (available from personnel section, Registrar Office, UAF) should reach in the office of Dr. Aftab Ahmad, Assistant Professor, Biochemistry/CAS, UAF, during office hours within 7 days after the publication of this notice. 2. One position of M.Sc. student @ Rs. 15,000/- per month is available in a research project funded by HEC entitled "Transforming Biomass Ash Residues Into Commercializable Product". The requisite qualification for this position is B.Sc. (Hons) Agriculture in Soil Science with minimum of B grade (CGPA:3.00). Application along with relevant documents should reach in the office of the PI, Assistant Prof. Dr. Abdul Wakeel, Institute of Soil and Environmental Sciences, UAF in office hours within 6 days after its publication. PLACEMENT OF PhD THESIS FOR PEER REVIEW Mr. Atif Ali, Regd. No. 2007-ag-2497, PhD student of the Department of Plant Breeding and Genetics has paced his PhD thesis entitled "Breeding potential for high yield and Fe/Zn biofortification in Wheat" for peer review in the Library, Department of Plant Breeding and Genetics from 25-05-2018 for one week. The faculty and the students are invited to peruse the thesis for any correction and improvement. PhD THESIS/SYNOPSIS DEFENSE 1. Hina Afzal, Regd. No. 2014-ag-855, a student of PhD Economics will defend her synopsis on 25-052018 at 10:00 am in the Council Room of Faculty of Social Sciences. The title of her synopsis is "Total Factor Productivity Growth in Agriculture, Industrial and Services Sector and their Determinants: A Case Study of Pakistan". All the teachers and students of the faculty as well as other who are interested are requested to attend the seminar please. 2. Mr. Muhamamd Jawad Saleem, Regd. No. 2010-ag-545, a PhD student of Department of Entomology, will deliver a seminar to defend his PhD thesis on 25-05-2018 at 10:00 am in DLC-2 video conference room, Faculty of Agriculture, UAF. The title of his PhD thesis is "Geographic variation of Helicoverpa armigera (Hubner) (Lepidoptera: Noctuidae) susceptibility to Cry toxins in Bt cotton, in Punjab Pakistan". 3. Mr. Muhammad Irfan Hussain, Regd. No. 2014-ag-8775, PhD Scholar Department of Physics, has successfully defended his synopsis as require under the rules on 11-05-2018. During synopsis defense, the members of his supervisory committee have suggested a minor change in his synopsis title. It is therefore, requested to minor change in his synopsis title may please be made. Original Title: "Metal/Iron Oxide Nanostructure for Biological Applications" Suggested Title: "Metal Oxide nanocamposites/hybrids and their applications" as required under the rules on 11-05-2018. 4. Miss Zunaira Naeem, Regd. No. 2015-ag-2, PhD student, Department of Botany has successfully defended her synopsis on 03-05-2018. The title of her synopsis is "Adaptive traits in Datura stramonium and Justicia adhatoda for success against environmental heterogeneity". 5. Miss Sadia Faryad, Regd. No. 2015-ag-3, PhD student, Department of Botany has successfully defended her synopsis on 03-05-2018. The title of her synopsis is "Structural and functional adaptatio in Withania somnifera and Cannabis sativa for success against environmental constraints impsed by altitudinal gradients". 6. Miss Rashida Sultana, Regd. No. 2017-ag-3723, PhD student, Department of Botany has successfully defended her synopsis on 09-05-2018. The title of her synopsis is "Genetic variation in grain iron content with reference to root system architecture of wheat (Triticum aestivum L.)". 7. Mr. Tasawar Ali, Regd. No. 2006-ag-1965, PhD student of the Institute of Soil and Environmental Sciences has successfully defended his synopsis in a seminar at the University level on 27-04-2018. The title of his synopsis is "Quantification of Bioavailable Zn in direct seeded and puddle Rice (Oryza sativa L.) under saline sodic conditions". 8. Mr. Muhammad Aslam, Regd. No. 2011-ag-2757, PhD student in the Department of Irrigation and Drainage, Faculty of Agricultural Engineering and Technology, UAF has successfully defended his PhD synopsis on 15-05-2018. The title of his synopsis is "Temporal and Spatial Variation of Groundwater Recharge in Chaj Doab Pakistan Using Remote Sensing and Modeling Approach". 9. Mr. Jaffar, Sattar Regd. No. 2010-ag-2215, student of PhD Agricultural Engineering, Department of Irrigation & Drainage, UAF has successfully defended his PhD synopsis on 16-05-2018. The new title of his synopsis is "Analyzing Rainfall and Snow Melt Contribution to the Flow of Indus River Using Modeling Approach". 1. Miss. Asmat Matloob, Regd. No. 2008-ag-1539, PhD student of National Institute of Food Science & Technology, UAF, has successfully defended her PhD synopsis on 14-05-2018. The committee has suggested some minor changes in the study plan. The title of her PhD synopsis is "Combating malnutrition in school going children using fish powder supplemented functional food". 10. Mr. Shamoon-al-Islam, Regd. No. 2012-ag-1009, PhD Scholar Department of Physics, has successfully defended his synopsis entitled "Qualitative and quantitative analysis of metals in ores using Laser induced breakdown spectroscopy" as required under the rules on 17-05-2018. 11. Miss Aasma Saeed, Regd. No. 2014-ag-1784, PhD Chemistry student of the Department of Chemistry has successfully defended her synopsis entitled "Production of biodiesel from waste seed oils using nano-catalysts" as required under the rules on 08-05-2018. 12. Miss. Bushra Ishfaq, Regd. No. 2003-ag-1755, PhD student of National Institute of Food Science & Technology, UAF, has successfully defended her PhD synopsis on 09-05-2018. The committee has suggested some minor changes in the study plan. The title of her PhD synopsis is "Exploring okra (Abelmoschus esculentus.) for metabolic disorder and end use perspectives". 13. Mr. Ghulam Muhammad Ehsan, Regd. No. 2010-ag-2889, student of PhD Forestry, Department of Forestry and Range Management, UAF has successfully defended his synopsis at the department level on 11-05-2018. The title of his synopsis as proposed vide letter No. FRM 3025, dated 07-052018 was "Performance of common fruit tree species against heavy metal stress" however, it was suggested by the participants to amend the research title with minor change as "Response of common fruit tree species as influenced by heavy metal stress". 14. Mr. Muhammad Adeel Ayyaz, Regd. No. 2009-ag-2541, student of PhD Forestry, Department of Forestry and Range Management, UAF has successfully defended his synopsis at the Department level on 11-05-2018. The title of his synopsis was "Estimation of Carbon stock by tree plantations in farm lands of Central Punjab". 15. Mr. Muhammad Umair Shafique, Regd. No. 2010-ag-3419, PhD student of the Institute of Horticultural Sciences has successfully defended his synopsis in a seminar held on 11-05-2018. The title of his synopsis is "A study for developing sustainable plantation in Urban areas (Case study Faisalabad)". 16. Miss Humaira Fatima, Regd. No. 2010-ag-2280, a student of PhD Agri. Engineering, Department of Irrigation and Drainage, Faculty of Agricultural Engineering & Technology, UAF has successfully defended her PhD synopsis at University level on 16-05-2018. Previous title of my synopsis was "Modeling Deficit Irrigation Effects on Cotton using Efficient Irrigation Methods". Now Supervisory committee has modified synopsis title as "Modeling Deficit Irrigation Effects on Cotton and Wheat using Efficient Irrigation Methods". 17. Miss Zunirah Akash, Regd. No. 2014-ag-753, is a PhD student in the Department of Plant Pathology, has successfully defended her PhD synopsis title "Prediction of chilli wilt disease and its integrated Management" at University level on 09-05-2018. 18. Miss. Mehwish Naz, Regd. No. 2011-ag-3094, a PhD student in the Department of Plant Pathology, has successfully defended her PhD synopsis title "Role of Plant Pathogenic fungi and Root knot nematodes in Cotton Wilt and its integrated management" at University level on 09-05-2018. 19. Ms. Ayesha Batool, Regd. No. 2015-ag-109, a PhD student of the Department of Rural Sociology has successfully defended her synopsis entitled "Socio-Cultural determinants of malnutrition and its Health Implications on mother and child in Punjab, Pakistan" on 11-05-2018. 20. Mr. Muhammad Zunair Latif, Regd. No. 2011-ag-3950, is a PhD student in the Department of Plant Pathology, has successfully defended his PhD synopsis at University level on 11-05-2018. The title of his synopsis is "Shisham dieback disease: operational taxonomy of fungal pathogen(s) and disease management". 21. Mr. Muhammad Kaleem Sarwar, Regd. No. 2005-ag-1588, is a PhD student in the Department of Plant Pathology, has successfully defended his PhD synopsis at University level on 11-05-2018. The title of his synopsis is "Molecular and Analytical approaches based characterization of aflatoxins producing Aspergillus species affecting groundnut and formulating management strategies". 22. Mr. Muhammad Bilal, Regd. No. 2010-ag-3149, PhD student for the Department of Forestry and Range Management has defended his PhD synopsis at University level on 15-05-2018. The title of his synopsis was "Arsenic pollution in Punjab: Determining pollution status and role of agroforestry trees in mitigating the problem". 23. Ms. Sobia Maqsood, Regd. No. 2011-ag-1008, a PhD student of the Department of Rural Sociology has successfully defended her synopsis entitled "Women Social Exclusion and its Impact upon Family Development in Punjab, Pakistan" on 15-05-2018. 24. Mr. Muhammad Abubakar Aslam, Regd. No. 2007-ag-1250, a student of PhD Agricultural Engineering, Department of Irrigation and Drainage, UAF has successfully defended his PhD synopsis on 18-05-2018 at the University level in the Library of Faculty of Agricultural Engineering and Technology. The title of his synopsis is "Application of Sensor Based Precisio Irrigation System for Improving Water Productivity of Cereal Crops using Experimental and Modeling Techniques". 25. Bushra Fatima, Regd. No. 2014-ag-1880, PhD Pharmacology student of the Institute of Pharmacy, Physiology and Pharmacology has successfully defended her PhD synopsis entitled "Comparative efficacy of Halianthus annus seeda and Spinacia oleracea leaves in IBD rat model" on May 14, 2018. 26. Faiza Hassan, Regd. No. 2007-ag-1534, PhD Pharmacology student of the Institute of Pharmacy, Physiology and Pharmacology has successfully defended her PhD synopsis entitled "Comparative antidibetic Potential of Nigella sativa and Sphaeranthus indicus in Alloxan induced diabetic Rats" on May 14, 2018. 27. Nida Noreen, Regd. No. 2014-ag-1759, PhD Pharmacology student of the Institute of Pharmacy, Physiology and Pharmacology has successfully defended her PhD synopsis entitled "Development of user friendly diagnostic kits for detection of Penicillin and Sulfonamide antibiotic residues in biological fluids" on May 17, 2018. 28. Shaneel Kausar, Regd. No. 2013-ag-932, PhD Pharmacology student of the Institute of Pharmacy, Physiology and Pharmacology has successfully defended her PhD synopsis entitled "Camparative antidibetic Potential of Gymnema sylvestre and Caeselpinia bonduc in Alloxan induced diabetic rats" on May 14, 2018. SEMINAR Prof. Dr. Haq Nawaz Bhatti, Department of Chemistry, will deliver a seminar on "Potential of Clay Composites for the Treatment of Dyes Containing Water: Batch and Column study" on June 4, 2018 at 9:00 am in video conference room No. 2. All students and faculty members are invited to attend the seminar. QUOTATIONS 1. Sealed quotations are invited from the registered contractors for the purchase of specific requirement (Constructed wetlands technology system), by the PI, HEC funded Project No. 6396 under title "Integrated Strategies for Treatment and Reuse of Chromium-Laced Tannery Wastewater through Innovative Constructed Wetland (CW) Technology" Institute of Soil and Environmental Sciences, UAF. These items are required on urgent basis. The rates should be given both in figures and words without any over-writing and quotations should be accompanied with a deposit call @ 2% of the estimated cost as earnest money. The quotations must reach the office of the Project Manager of the Project within 5 days after the publication of this notice. 2. Sealed quotations are invited for the purchase of Chemicals to be used in the Lab. "Plant Tissue Culture Cell". The quotations should reach in the office of the Officer Incharge in the Institute of Horticultural Sciences, within 7 days after the publication of this notice. List can be seen in the Office. The estimated cost Rs. 66,000/-. NOTIFICATION The competent authority has very kindly approved the recommendation of Dean's committee made in its meeting held on 05-04-2018 for SOPs for issuance of new univeristy identity cards to employees and students as under:- \| Sr. No. \| Category \| \|---\|---\| \| 1 \| Faculty \| \| 2 \| Other Employees B-17 \| \| 3 \| Other Employees B-01 to 16 \| \| 4 \| Retired Employees \| \| 5 \| DSA, Associate/Deputy DSAs \| \| 6 \| Students (Boarders/Non Boarders) \| The committee of Deans further agreed that following amount will be charged for the issuance of new identity cards to University employees and students:- i. Employees B-17 and above Rs. 300/-, ii. Employees B-1 to 16 Rs. 150/-, iii. Retired Employees Rs. 100/-, Students of the Universtiy Rs. 150/-. It is reqsted to ask the concerned to arrange a list of faculty members, other staff and submit to the office of the Prof. Dr. Shahbaz Talib Sahi DSA along with application forms complete in all respect. ASSUMPTION OF CHARGE Prof. Dr. Muhammad Ashfaq, has assumed the charge as Director, Institute of Agricultural and Resource Economics with effect from 23-05-2018 (F.N.). in future, all official and demiofficial correspondence may please be addressed to him accordingly.
What's New in Econometrics? NBER, Lecture 2, Monday, July 30th, 11.00-12.30 am Summer 2007 Linear Panel Data Models These notes cover some recent topics in linear panel data models. They begin with a "modern" treatment of the basic linear model, and then consider some embellishments, such as random slopes and time-varying factor loads. In addition, fully robust tests for correlated random effects, lack of strict exogeneity, and contemporaneous endogeneity are presented. Section 4 considers estimation of models without strictly exogenous regressors, and Section 5 presents a unified framework for analyzing pseudo panels (constructed from repeated cross sections). 1. Quick Overview of the Basic Model Most of these notes are concerned with an unobserved effects model defined for a large population. Therefore, we assume random sampling in the cross section dimension. Unless stated otherwise, the asymptotic results are for a fixed number of time periods, T, with the number of cross section observations, N, getting large. For some of what we do, it is critical to distinguish the underlying population model of interest and the sampling scheme that generates data that we can use to estimate the population parameters. The standard model can be written, for a generic i in the population, as where t is a separate time period intercept (almost always a good idea), xit is a 1 K vector of explanatory variables, ci is the time-constant unobserved effect, and the uit : t 1,..., T are idiosyncratic errors. Thanks to Mundlak (1978) and Chamberlain (1982), we view the ci as random draws along with the observed variables. Then, one of the key issues is whether ci is correlated with elements of xit. It probably makes more sense to drop the i subscript in (1.1), which would emphasize that the equation holds for an entire population. But (1.1) is useful to emphasizing which factors change only across t, which change only change across i, and which change across i and t.It is sometimes convenient to subsume the time dummies in xit. Ruling out correlation (for now) between uit and xit, a sensible assumption is contemporaneous exogeneity conditional on ci : This equation really defines in the sense that under (1.1) and (1.2), so the j are partial effects holding fixed the unobserved heterogeneity (and covariates other than xtj). As is now well known, is not identified only under (1.2). Of course, if we added Covxit, ci 0 for any t, then is identified and can be consistently estimated by a cross section regression using period t. But usually the whole point is to allow the unobserved effect to be correlated with time-varying xit. We can allow general correlation if we add the assumption of strict exogeneity conditional on ci: which can be expressed as If the elements of xit : t 1,..., T have suitable time variation, can be consistently estimated by fixed effects (FE) or first differencing (FD), or generalized least squares (GLS) or generalized method of moments (GMM) versions of them. If the simpler methods are used, and even if GLS is used, standard inference can and should be made fully robust to heteroksedasticity and serial dependence that could depend on the regressors (or not). These are the now well-known "cluster" standard errors. With large N and small T, there is little excuse not to compute them. (Note: Some call (1.4) or (1.5) "strong" exogeneity. But in the Engle, Hendry, and Richard (1983) work, strong exogeneity incorporates assumptions on parameters in different conditional distributions being variation free, and that is not needed here.) The strict exogeneity assumption is always violated if xit contains lagged dependent variables, but it can be violated in other cases where xi,t1 is correlated with uit – a "feedback effect." An assumption more natural than strict exogeneity is sequential exogeneity condition on ci: or This allows for lagged dependent variables (in which case it implies that the dynamics in the mean have been completely specified) and, generally, is more natural when we take the view that xit might react to shocks that affect yit. Generally, is identified under sequential exogeneity. First differencing and using lags of xit as instruments, or forward filtering, can be used in simple IV procedures or GMM procedures. (More later.) If we are willing to assume ci and xi are uncorrelated, then many more possibilities arise (including, of course, identifying coefficients on time-constant explanatory variables). The most convenient way of stating the random effects (RE) assumption is although using the linear projection in place of Eci\|xi suffices for consistency (but usual inference would not generally be valid). Under (1.8), we can used pooled OLS or any GLS procedure, including the usual RE estimator. Fully robust inference is available and should generally be used. (Note: The usual RE variance matrix, which depends only on c 2 and u 2 , need not be correctly specified! It still makes sense to use it in estimation but make inference robust.) It is useful to define two correlated random effects assumptions: which actually is not an assumption but a definition. For nonlinear models, we will have to actually make assumptions about Dci\|xi, the conditional distribution. Methods based on (1.9) are often said to implement the Chamberlain device, after Chamberlain (1982). Mundlak (1978) used a restricted version, and used a conditional expectation: where x ̄ i T − 1 ∑ t1 T xit. This formulation conserves on degrees of freedom, and extensions are useful for nonlinear models. If we write ci xi ai or ci x ̄ i ai and plug into the original equation, for example (absorbing into the time intercepts), then we are tempted to use pooled OLS, or RE estimation because Eai uit\|xi 0. Either of these leads to the FE estimator of , and to a simple test of H0 : 0. Later, when we discuss control function methods, it will be handy to run regressions directly that include the time averages. (Somewhat surprisingly, obtain the same algebraic equivalence using Chamberlain's devise. The pooled OLS estimator of is still the FE estimator, even though the t might change substantially across t.) Some of us have been pushing for several years the notion that specification tests should be made robust to assumptions that are not directly being tested. (Technically, they should be robust to assumptions that they have no asymptotic power for detecting violations of.) Much progress has been made, but one still sees Hausman statistics computed that maintain a full set of assumptions under the null. Take comparing random effects to fixed effects. The key assumption is (1.8). whether Varvi\|xi has the random effects structure, where vit ci uit, should not be a critical issue. It makes no sense to report a fully robust variance matrix for FE and RE but then to compute a Hausman test that maintains the full set of RE assumptions. (In addition to (1.4) and (1.8), these are Varui\|xi, ci u 2 IT and Varci\|xi Varci.) The regression-based Hausman test from (1.11) is very handy for obtaining a fully robust test. More specifically, suppose the model contains a full set of year intercepts as well as time-constant and time-varying explanatory variables: . Now, it is clear that, because we cannot estimate by FE, it is not part of the Hausman test comparing RE and FE. What is less clear, but also true, is that the coefficients on the time dummies, , cannot be included, either. (RE and FE estimation only with aggregate time effects are identical.) In fact, we can only compare the M 1 estimates of , say ̂ FE and ̂ RE. If we include ̂ FE and ̂ RE we introduce a nonsingularity in the asymptotic variance matrix. The regression based test, from the pooled regression makes this clear (and that the are M restrictions to test). (Mundlak (1978) suggested this test and Arellano (1993) described the robust version.). Unfortunately, the usual form of the Hausman test does not, and, for example, Stata gets it wrong and tries to include the year dummies in the test (in addition to being nonrobust). The most important problem is that unwarranted degrees of freedom are added to the chi-square distribution, often many extra df, which can produce seriously misleading p-values. 2. New Insights Into Old Estimators In the past several years, the properties of traditional estimators used for linear models, particularly fixed effects and its instrumental variable counterparts, have been studied under weaker assumptions. We review some of those results here. In these notes, we focus on models without lagged dependent variables or other non-strictly exogenous explanatory variables, although the instrumental variables methods applied to linear models can, in some cases, be applied to models with lagged dependent variables. 2.1. Fixed Effects Estimation in the Correlated Random Slopes Model The fixed effects (FE) estimator is still the workhorse in empirical studies that employ panel data methods to estimate the effects of time-varying explanatory variables. The attractiveness of the FE estimator is that it allows arbitrary correlation between the additive, unobserved heterogeneity and the explanatory variables. (Pooled methods that do not remove time averages, as well as the random effects (RE) estimator, essentially assume that the unobserved heterogeneity is uncorrelated with the covariates.) Nevertheless, the framework in which the FE estimator is typically analyzed is somewhat restrictive: the heterogeneity is assumed to be additive and is assumed to have a constant coefficients (factor loads) over time. Recently, Wooldridge (2005a) has shown that the FE estimator, and extensions that sweep away unit-specific trends, has robustness properties for estimating the population average effect (PAE) or average partial effect (APE). We begin with an extension of the usual model to allow for unit-specific slopes, where bi is K 1. Rather than acknowledge that bi is unit-specific, we ignore the heterogeneity in the slopes and act as if bi is constant for all i. We think ci might be correlated with at least some elements of xit, and therefore we apply the usual fixed effects estimator. The question we address here is: when does the usual FE estimator consistently estimate the population average effect, Ebi. In addition to assumption (2.2), we naturally need the usual FE rank condition, Write bi di where the unit-specific deviation from the average, di, necessarily has a zero mean. Then where vit ≡ xitdi uit. A sufficient condition for consistency of the FE estimator along with (3) is Along with (2.2), it suffices that Ex ̈ it ′ x ̈ itdi 0 for all t. A sufficient condition, and one that is easier to interpret, is Importantly, condition (2.6) allows the slopes, bi, to be correlated with the regressors xit through permanent components. What it rules out is correlation between idiosyncratic movements in xit. We can formalize this statement by writing xit f i rit, t 1,..., T. Then (2.6) holds if Ebi\|ri1, ri2,..., riT Ebi. So bi is allowed to be arbitrarily correlated with the permanent component, f i . (Of course, xit f i rit is a special representation of the covariates, but it helps to illustrate condition (2.6).) Condition (2.6) is similar in spirit to the Mundlak (1978) assumption applied to the slopes (rather to the intercept): One implication of these results is that it is a good idea to use a fully robust variance matrix estimator with FE even if one thinks idiosyncratic errors are serially uncorrelated: the term x ̈ itdi is left in the error term and causes heteroskedasticity and serial correlation, in general. These results extend to a more general class of estimators that includes the usual fixed effects and random trend estimator. Write where wt is a set of deterministic functions of time. We maintain the standard assumption (2.2) but with ai in place of ci. Now, the "fixed effects" estimator sweeps away ai by netting out wt from xit. In particular, now let x ̈ it denote the residuals from the regression xit on In the random trend model, wt 1, t, and so the elements of xit have unit-specific linear trends removed in addition to a level effect. Removing even more of the heterogeneity from xit makes it even more likely that (2.6) holds. For example, if xit f i hit rit, then bi can be arbitrarily correlated with f i , hi. Of course, individually detrending the xit requires at least three time periods, and it decreases the variation in x ̈ it compared to the usual FE estimator. Not surprisingly, increasing the dimension of wt (subject to the restriction dimwt T), generally leads to less precision of the estimator. See Wooldridge (2005a) for further discussion. Of course, the first differencing transformation can be used in place of, or in conjunction with, unit-specific detrending. For example, if we first difference followed by the within transformation, it is easily seen that a condition sufficient for consistency of the resulting estimator for is where Δx ̈ it Δxit − Δx are the demeaned first differences. Now consider an important special case of the previous setup, where the regressors that have unit-specific coefficients are time dummies. We can write the model as where, with small T and large N, it makes sense to treat t : t 1,..., T as parameters, like . Model (2.9) is attractive because it allows, say, the return to unbobserved "talent" to change over time. Those who estimate, say, firm-level production functions like to allow the importance of unobserved factors, such as managerial skill, to change over time. Estimation of , along with the t, is a nonlinear problem. What if we just estimate by fixed effects? Let c Eci and write (2.9) as where t tc and di ci − c has zero mean In addition, the composite error, vit ≡ tdi uit, is uncorrelated with xi1, x2,..., xiT (as well as having a zero mean). It is easy to see that consistency of the usual FE estimator, which allows for different time period intercepts, is ensured if In other words, the unobserved effects is uncorrelated with the deviations x ̈ it xit − x ̄ i. If we use the extended FE estimators for random trend models, as above, then we can replace x ̈ it with detrended covariates. Then, ci can be correlated with underlying levels and trends in xit (provided we have a sufficient number of time periods). Using usual FE (with full time period dummies) does not allow us to estimate the t, or even determine whether the t change over time. Even if we are interested only in when ci and xit are allowed to be correlated, being able to detect time-varying factor loads is important because (2.11) is not completely general. It is useful to have a simple test of H0 : 2 3 ... T with some power against the alternative of time-varying coefficients. Then, we can determine whether a more sophisticated estimation method might be needed. We can obtain a simple variable addition test that can be computed using linear estimation methods if we specify a particular relationship between ci and xi. We use the Mundlak (1978) assumption Then where t t − 1 for all t. Under the null hypothesis, t 0, t 2,..., T. If we impose the null hypothesis, the resulting model is linear, and we can estimate it by pooled OLS of yit on 1, d2t,..., dTt, xit, x ̄ i across t and i, where the drt are time dummies. A variable addition test that all t are zero can be obtained by applying FE to the equation and test the joint significance of the T − 1 terms d2tx ̄ i ̂ ,..., dTtx ̄ i ̂ . (The term x ̄ i ̂ would drop out of an FE estimation, and so we just omit it.) Note that x ̄ i ̂ is a scalar and so the test as T − 1 degrees of freedom. As always, it is prudent to use a fully robust test (even though, under the null, tai disappears from the error term). A few comments about this test are in order. First, although we used the Mundlak device to obtain the test, it does not have to represent the actual linear projection because we are simply adding terms to an FE estimation. Under the null, we do not need to restrict the relationshp between ci and xi. Of course, the power of the test may be affected by this choice. Second, the test only makes sense if ≠ 0; in particular, it cannot be used in a pure random effects environment. Third, a rejection of the null does not necessarily mean that the usual FE estimator is inconsistent for : assumption (11) could still hold. In fact, the change in the estimate of when the interaction terms are added can be indicative of whether accounting for time-varying t is likely to be important. But, because ̂ has been estimated under the null, the estimated from (1.14) is not generally consistent. If we want to estimate the t along with , we can impose the Mundlak assumption and estimate all parameteres, including , by pooled nonlinear regression or some GMM version. Or, we can use Chamberlain's (1982) less restrictive assumption. But, typically, when we want to allow arbitrary correlation between ci and xi, we work directly from (9) and eliminate the ci. There are several ways to do this. If we maintain that all t are different from zero then we can use a quas-differencing method to eliminat ci. In particular, for t ≥ 2 we can multiply the t − 1 equation by t/t−1 and subtract the result from the time t equation: Imbens/Wooldridge, Lecture Notes 2, Summer '07 We define t t/t−1 and write where eit ≡ uit − tui,t−1. Under the strict exogeneity assumption, eit is uncorrelated with every element of xi, and so we can apply GMM to (2.15) to estimate and 2,..., T. Again, this requires using nonlinear GMM methods, and the eit would typically be serially correlated. If we do not impose restrictions on the second moment matrix of ui, then we would not use any information on the second moments of ei; we would (eventually) use an unrestricted weighting matrix after an initial estimation. Using all of xi in each time period can result in too many overidentifying restrictions. At time t we might use, say, zit xit, xi,t−1, and then the instrument matrix Zi (with T − 1 rows) would be diagzi2,..., ziT. An initial consistent estimator can be gotten by choosing weighting matrix N − 1 ∑ i1 N Zi ′Zi−1. Then the optimal weighting matrix can be estimated. Ahn, Lee, and Schmidt (2002) provide further discussion. If xit contains sequentially but not strictly exogenous explanatory variables – such as a lagged dependent variable – the instruments at time t can only be chosen from xi,t−1,..., xi1. Holtz-Eakin, Newey, and Rosen (1988) explicitly consider models with lagged dependent variables; more on these models later. Other transformations can be used. For example, at time t ≥ 2 we can use the equation where now eit t−1uit − tui,t−1. This equation has the advantage of allowing t 0 for some t. The same choices of instruments are available depending on whether xit are strictly or sequentially exogenous. 2.2. Fixed Effects IV Estimation with Random Slopes The results for the fixed effects estimator (in the generalized sense of removing unit-specific means and possibly trends), extend to fixed effects IV methods, provided we add a constant conditional covariance assumption. Murtazashvili and Wooldridge (2007) derive a simple set of sufficient conditions. In the model with general trends, we assume the natural extension of Assumption FEIV.1, that is, Euit\|zi, ai, bi 0 for all t, along with Assumption FEIV.2. We modify assumption (2.6) in the obvious way: replace x ̈ it with z ̈ it, the invididual-specific detrended instruments: But something more is needed. Murtazashvili and Wooldridge (2007) show that, along with the previous assumptions, a sufficient condition is Note that the covariance Covx ̈ it, bi, a K K matrix, need not be zero, or even constant across time. In other words, we can allow the detrended covariates to be arbitrarily correlated with the heterogeneous slopes, and that correlation can change in any way across time. But the conditional covariance cannot depend on the time-demeaned instruments. (This is an example of how it is important to distinguish between a conditional expectation and an unconditional one: the implicit error in the equation generally has an unconditional mean that changes with t, but its conditional mean does not depend on z ̈ it, and so using z ̈ it as IVs is valid provided we allow for a full set of dummies.) Condition (2.17) extends to the panel data case the assumption used by Wooldridge (2003a) in the cross section case. We can easily show why (2.17) suffices with the previous assumptions. First, if Edi\|z ̈ it 0 – which follows from Ebi\|z ̈ it Ebi – then Covx ̈ it, di\|z ̈ it Ex ̈ itdi ′\|z ̈ it, and so Ex ̈ itdi\|z ̈ it Ex ̈ itdi ≡ t under the previous assumptions. Write x ̈ itdi t rit where Eriti\|z ̈ it 0, t 1,..., T. Then we can write the transformed equation as Now, if xit contains a full set of time period dummies, then we can absorb t into x ̈ it, and we assume that here. Then the sufficient condition for consistency of IV estimators applied to the transformed equations is Ez ̈ it ′ rit üit 0,.and this condition is met under the maintained assumptions. In other words, under (2.16) and (2.17), the fixed effects 2SLS estimator is consistent for the average population effect, . (Remember, we use "fixed effects" here in the general sense of eliminating the unit-specific trends, ai.) We must remember to include a full set of time period dummies if we want to apply this robustness result, something that should be done in any case. Naturally, we can also use GMM to obtain a more efficient estimator. If bi truly depends on i, then the composite error rit üit is likely serially correlated and heteroskedastic. See Murtazashvili and Wooldridge (2007) for further discussion and similation results on the peformance of the FE2SLS estimator. They also provide examples where the key assumptions cannot be expected to hold, such as when endogenous elements of xit are discrete. 3. Behavior of Estimators without Strict Exogeneity As is well known, both the FE and FD estimators are inconsistent (with fixed T, N → ) without the conditional strict exogeneity assumption. But it is also pretty well known that, at least under certain assumptions, the FE estimator can be expected to have less "bias" (actually, inconsistency) for larger T. One assumption is contemporaneous exogeneity, (1.2). If we maintain this assumption, assume that the data series xit, uit : t 1,..., T is "weakly dependent" – in time series parlance, integrated of order zero, or I(0) – then we can show that In some special cases – the AR(1) model without extra covariates – the "bias" terms can be calculated. But not generally. The FE (within) estimator averages across T, and this tends to reduce the bias. Interestingly, the same results can be shown if xit : t 1,..., T has unit roots as long as uit is I(0) and contemporaneous exogeneity holds. But there is a catch: if uit is I(1) – so that the time series version of the "model" would be a spurious regression (yit and xit are not cointegrated), then (3.1) is no longer true. And, of course, the first differencing means any unit roots are eliminated. So, once we start appealing to "large T" to prefer FE over FD, we must start being aware of the time series properties of the series. The same comments hold for IV versions of the estimators. Provided the instruments are contemporaneously exogenous, the FEIV estimator has bias of order T − 1 , while the bias in the FDIV estimator does not shrink with T. The same caveats about applications to unit root processes also apply. Because failure of strict exogeneity causes inconsistency in both FE and FD estimation, it is useful to have simple tests. One possibility is to obtain a Hausman test directly comparing the FE and FD estimators. This is a bit cumbersome because, when aggregate time effects are included, the difference in the estimators has a singular asymptotic variance. Plus, it is somewhat difficult to make the test fully robust. Instead, simple regression-based strategies are available. Let wit be the 1 Q vector, a subset of xit suspected of failing strict exogeneity. A simple test of strict exogeneity, specifically looking for feedback problems, is based on Estimate the equation by fixed effects and test H0 : 0 (using a fully robust test). Of course, the test may have little power for detecting contemporaneous endogeneity. In the context of FEIV we can test whether a subset of instruments fails strict exogeneity by writing where hit is a subset of the instruments, zit. Now, estimate the equation by FEIV using instruments z it , hi,t1 and test coefficients on the latter. It is also easy to test for contemporaneous endogeneity of certain regressors, even if we allow some regressors to be endogenous under the null. Write the model now as where, in an FE environment, we want to test H0 : Ey it3 ′ uit1 0 . Actually, because we are using the within transformation, we are really testing strict exogeneity of y it3 , but we allow all variables to be correlated with ci1. The variables y it2 are allowed to be endogenous under the null – provided, of course, that we have sufficient instruments excluded from the structural equation that are uncorrelated with uit1 in every time period. We can write a set of reduced forms for elements of y it3 as and obtain the FE residuals, v ̈ it3 ÿ it3 − z ̈ it ̂ 3, where the columns of ̂ 3 are the FE estimates of the reduced forms, and the double dots denotes time-demeaning, as usual. Then, estimate the equation by pooled IV, using instruments z ̈ it, ÿ it3 , v ̈ it3. The test of the null that y it3 is exogenous is just the (robust) test that 1 0, and the usual robust test is valid with adjusting for the first-step estimation. An equivalent approach is to define v ̂ it3 y it3 − zit ̂ 3, where ̂ 3 is still the matrix of FE coefficients, add these to equation (3.5), and apply FE-IV, using a fully robust test. Using a built-in command can lead to problems because the test is rarely made robust and the degrees of freedom are often incorrectly counted. 4. Instrumental Variables Estimation under Sequential Exogeneity We now consider IV estimation of the model under sequential exogeneity assumptions. Some authors simply use As always, xit probably includes a full set of time period dummies. This leads to simple moment conditions after first differencing: Therefore, at time t, the available instruments in the FD equation are in the vector xi,t−1 o , where Therefore, the matrix of instruments is simply which has T − 1 rows. Because of sequential exogeneity, the number of valid instruments increases with t. Given Wi, it is routine to apply GMM estimation. But some simpler strategies are available that can be used for comparison or as the first-stage estimator in computing the optimal weighting matrix. One useful one is to estimate a reduced form for Δxit separately for each t. So, at time t, run the regression Δxit on xi,t−1 o , i 1,..., N, and obtain the fitted values, Δxit. Of course, the fitted values are all 1 K vectors for each t, even though the number of available instruments grows with t . Then, estimate the FD equation by pooled IV using instruments (not regressors) Δxit. It is simple to obtain robust standard errors and test statistics from such a procedure because the first stage estimation to obtain the instruments can be ignored (asymptotically, of course). One potential problem with estimating the FD equation by IVs that are simply lags of xit is that changes in variables over time are often difficult to predict. In other words, Δxit might have little correlation with xi,t−1 o , in which case we face a problem of weak instruments. In one case, we even lose identification: if xit t xi,t−1 eit where Eeit\|xi,t−1,..., xi1 0 – that is, the elements of xit are random walks with drift – then EΔxit\|xi,t−1,..., xi1 0, and the rank condition for IV estimation fails. If we impose what is generally a stronger assumption, dynamic completeness in the conditional mean, then more moment conditions are available. While (4.7) implies that virtually any nonlinear function of the xit can be used as instruments, the focus has been only on zero covariance assumptions (or (4.7) is stated as a linear projection). The key is that (4.7) implies that uit : t 1,..., T is a serially uncorrelated sequence and uit is uncorrelated with ci for all t. If we use these facts, we obtain moment conditions first proposed by Ahn and Schmidt (1995) in the context of the AR(1) unosberved effects model; see also Arellano and Honoré (2001). They can be written generally as Why do these hold? Because all uit are uncorrelated with ci, and ui,t−1,..., ui1 are uncorrelated with ci uit. So ui,t−1 − ui,t−2 is uncorrelated with ci uit, and the resulting moment conditions can be written in terms of the parameters as (4.8). Therefore, under (4.7), we can add the conditions (4.8) to (4.3) to improve efficiency – in some cases quite substantially with persistent data. Of course, we do not always intend for models to be dynamically complete in the sense of (4.7). Often, we estimate static models or finite distributed lag models – that is, models without lagged dependent variables – that have serially correlated idiosyncratic errors, and the explanatory variables are not strictly exogenous and so GLS procedures are inconsistent. Plus, the conditions in (4.8) are nonlinear in parameters. Arellano and Bover (1995) suggested instead the restrictions Interestingly, this is zero correlation, FD version of the conditions from Section 2 that imply we can ignore heterogeneous coefficients in estimation under strict exogeneity. Under (4.9), we have the moment conditions from the levels equation: because yit − xit ci uit and uit is uncorrelated with xit and xi,t−1. We add an intercept, , explicitly to the equation to allow a nonzero mean for ci. Blundell and Bond (1999) apply these moment conditions, along with the usual conditions in (4.3), to estimate firm-level production functions. Because of persistence in the data, they find the moments in (4.3) are not especially informative for estimating the parameters. Of course, (4.9) is an extra set of assumptions. The previous discussion can be applied to the AR(1) model, which has received much attention. In its simplest form we have so that, by convention, our first observation on y is at t 0. Typically the minimal assumptions imposed are in which case the available instruments at time t are wit yi0,..., yi,t−2 in the FD equation In oher words, we can use Anderson and Hsiao (1982) proposed pooled IV estimation of the FD equation with the single instrument yi,t−2 (in which case all T − 1 periods can be used) or Δyi,t−2 (in which case only T − 2 periods can be used). We can use pooled IV where T − 1 separate reduced forms are estimated for Δyi,t−1 as a linear function of yi0,..., yi,t−2. The fitted values Δy i,t−1 , can be used as the instruments in (4.13) in a pooled IV estimation. Of course, standard errors and inference should be made robust to the MA(1) serial correlation in Δuit. Arellano and Bond (1991) suggested full GMM estimation using all of the available instruments yi0,..., yi,t−2, and this estimator uses the conditions in (4.12) efficiently. Under the dynamic completeness assumption the Ahn-Schmidt extra moment conditions in (4.8) become Blundell and Bond (1998) noted that if the condition is added to (4.15) then the combinded set of moment conditions becomes which can be added to the usual moment conditions (4.14). Therefore, we have two sets of moments linear in the parameters. The first, (4.14), use the differenced equation while the second, (4.18), use the levels. Arellano and Bover (1995) analyzed GMM estimators from these equations generally. As discussed by Blundell and Bond (1998), condition (4.17) can be intepreted as a restriction on the initial condition, yi0. To see why, write y i 1 − y i 0 y i 0 c i u i 1 − y i 0 1 − y i 0 c i u i 1 . Because u i 1 is uncorrelated with c i , (4.17) becomes Write yi0 as a deviation from its steady state, ci/1 − (obtained for \|\| 1 be recursive subsitution and then taking the limit), as Then 1 − yi0 ci 1 − ri0, and so (4.17) reduces to In other words, the deviation of yi0 from its steady state is uncorrelated with the steady state. Blundell and Bond (1998) contains discussion of when this condition is reasonable. Of course, it is not for 1, and it may not be for "close" to one. On the other hand, as shown by Blundell and Bond (1998), this restriction, along with the Ahn-Schmidt conditions, is very informative for close to one. Hahn (1999) shows theoretically that such restrictions can greatly increase the information about . The Ahn-Schmidt conditions (4.16) are attractive in that they are implied by the most natural statement of the model, but they are nonlinear and therefore more difficult to use. By adding the restriction on the initial condition, the extra moment condition also means that the full set of moment conditions is linear. Plus, this approach extends to general models with only sequentially exogenous variabes as in (4.10). Extra moment assumptions based on homoskedasticity assumptions – either conditional or unconditional – have not been used nearly as much, probably because they impose conditions that have little if anything to do with the economic hypotheses being tested. Other approaches to dynamic models are based on maximum likelihood estimation or generalized least squares estimation of a particular set of conditional means. Approaches that condition on the initial condition yi0, an approach suggested by Chamberlain (1980), Blundell and Smith (1991), and Blundell and Bond (1998), seem especially attractive. For example, suppose we assume that Then the distribution of yi1,..., yiT given yi0 y0, ci c is just the product of the normal distributions: We can obtain a usable density for (conditional) MLE by assuming The log likelihood function is obtained by taking the log of Of course, if this is this represents the correct density of yi1,..., yiT given yi0 then the MLE is consistent and N -asymptotically normal (and efficient among estimators that condition on yi0. A more robust approach is to use a generalized least squares approach where Ey i \|yi0 and Vary i \|yi0 are obtained, and where the latter could even be misspecified. Like with the MLE approach, this results in estimation that is highly nonlinear in the parameters and is used less often than the GMM procedures with linear moment conditions. The same kinds of moment conditions can be used in extensions of the AR(1) model, such as If we difference to remove ci, we can then use exogeneity assumptions to choose instruments. The FD equation is and if the zit are strictly exogenous with respect to ui1,..., uiT then the available instruments (in addition to time period dummies) are zi, yi,t−2,..., yi0. We might not want to use all of zi for every time period. Certainly we would use Δzit, and perhaps a lag, Δzi,t−1. If we add sequentially exogenous variables, say hit, to (11.62) then hi,t−1,..., hi1 would be added to the list of instruments (and Δhit would appear in the equation). We might also add the Arellano and Bover conditions (4.10), or at least the Ahn and Schmidt conditions (4.8). As a simple example of methods for dynamic models, consider a dynamic air fare equation for routes in the United States: where we include a full set of year dummies. We assume the concentration ratio, concenit, is strictly exogenous and that at most one lag of lfare is needed to capture the dynamics. The data are for 1997 through 2000, so the equation is specified for three years. After differencing, we have only two years of data: If we estimate this equation by pooled OLS, the estimators are inconsistent because Δlfarei,t−1 is correlated with Δuit; we include the OLS estimates for comparison. We apply the simple pooled IV procedure, where separate reduced forms are estimated for Δlfarei,t−1: one for 1999, with lfarei,t−2 and Δconcenit in the reduced form, and one for 2000, with lfarei,t−2, lfareimt−3 and Δconcenit in the reduced form. The fitted values are used in the pooled IV estimation, with robust standard errors. (We only use Δconcenit in the IV list at time t.) Finally, we apply the Arellano and Bond (1991) GMM procedure. \| \| (1) \| (2) \| \|---\|---\|---\| \| Explanatory Variable \| Pooled OLS \| Pooled IV \| \| lfare −1 \| −.126 \| .219 \| \| \| .027 \| .062 \| \| concen \| .076 \| .126 \| \| \| .053 \| .056 \| As is seen from column (1), the pooled OLS estimate of is actually negative and statistically different from zero. By contrast, the two IV methods give positive and statistically significant estimates. The GMM estimate of is larger, and it also has a smaller standard error (as we would hope for GMM). The previous example has small T, but some panel data applications have reasonable large T. Arellano and Alvarez (1998) show that the GMM estimator that accounts for the MA(1) serial correlation in the FD errors has desirable properties when T and N are both large, while the pooled IV estimator is actually inconsistent under asymptotics where T/N → a 0. See Arellano (2003, Chapter 6) for discussion. 5. Pseudo Panels from Pooled Cross Sections In cases where panel data sets are not available, we can still estimate parameters in an underlying panel population model if we can obtain random samples in different periods. Many surveys are done annually by obtaining a different random (or stratified) sample for each year. Deaton (1985) showed how to identify and estimate parameters in panel data models from pooled cross sections. As we will see, however, identification of the parameterse can be tenuous. Deaton (1985) was careful about distinguishing between the population model on the one hand and the sampling scheme on the other. This distinction is critical for understanding the nature of the identification problem, and in deciding the appropriate asymptotic analysis. The recent literature has tended to write "models" at the cohort or group level, which is not in the spirit of Deaton's original work. (Angrist (1991) actually has panel data, but uses averages in each t to estimate parameters of a labor supply function.) In what follows, we are interested in estimating the parameters of the population model which is best viewed as representing a population defined over T time periods. For this setup to make sense, it must be the case that we can think of a stationary population, so that the same units are represented in each time period. Because we allow a full set of period intercepts, Ef is never separately identified, and so we might as well set it to zero. The random quantities in (5.1) are the response variable, yt, the covariates, xt (a 1 K vector), the unobserved effect, f, and the unobserved idiosyncratic errors, ut : t 1,..., T. Like our previous analysis, we are thinking of applications with a small number of time periods, and so we view the intercepts, t, as parameters to estimate, along with the K 1 vector parameter – which is ultimately of interest. We consider the case where all elements of xt have some time variation. As it turns out, to use the standard analysis, we do not even have to assume contemporaneous exogeneity conditional on f, that is, although this is a good starting point to determine reasonable population assumptions. Naturally, iterated expectations implies and (5.3) is sensible in the context of (5.1). Unless stated otherwise, we take it to be true. Because f aggregates all time-constant unobservables, we should think of (5.3) as implying that Eut\|g 0 for any time-constant variable g, whether unobserved or observed. In other words, in the leading case we should think of (5.1) as representing Eyt\|xt, f where any time constant factors are lumped into f. With a (balanced) panel data set, we would have a random sample in the cross section. Therefore, for a random draw i , xit, yit, t 1,..., T, we would then write the model as While this notation can cause confusion later when we sample from each cross section, it has the benefit of explictly labelling quantities as changing only across t, changing only across i, or changing across both. The idea of using independent cross sections to estimate parameters from panel data models is based on a simple insight of Deaton's. Assume that the population for which (5.1) holds is divided into G groups (or cohorts). This designation cannot depend on time. For example, it is common to birth year to define the groups, or even ranges of birth year. For a random draw i satisfying (5.4), let gi be the group indicator, taking on a value in 1,2,..., G Then, by our earlier discussion, . essentially by definition. In other words, the t account for any change in the average unobservables over time and fi accounts for any time-constant factors. Taking the expected value of (5.4) conditional on group membership and using only (5.5), we have Again, this expession represents an underlying population, but where we have partitioned the population into G groups. Several authors after Deaton, including Collado (1997) and Verbeek and Vella (2005), have left Euit\|gi g as part of the "error term," with the notation ugt ∗ Euit\|gi g. In fact, these authors have criticized previous work by Moffitt (1993) for making the "asssumption" that ugt ∗ 0. But, as Deaton showed, if we start with the underlying population model (5.1), then Euit\|gi g 0 for all g follows directly. Nevertheless, as we will discuss later, the key assumption is that the structural model (5.1) does not require a full set of group/time effects. If such effects are required, then one way to think about the resulting misspecification is that Euit\|gi g is not zero. If we define the population means for g 1,..., G and t 1,..., T we have (Many authors use the notation ygt ∗ in place of gt y , and similarly for gt x , but, at this point, such a notation gives the wrong impression that the means defined in (5.7) are random variables. They are not. They are group/time means defined on the underlying population.) Equation (5.8) is remarkable in that it holds without any assumptions restricting the dependence between xit and uir across t and r. In fact, xit can contain lagged dependent variables, most commonly yi,t−1, or explanatory variables that are contemporaneously endogenous (as occurs under measurement error in the original population model, an issue that was important to Angrist (1991)). This probably should make us a little suspicious, as the problems of lagged dependent variable, measurement error, and other violations of strict exogeneity are tricky to handle with true panel data. (In estimation, we will deal with the fact that there are not really T G parameters in t and g to estimate; there are only T G − 1. The lost degree of freedom comes from Ef 0, which puts a restriction on the g. With the groups of the same size in the population, the restriction is that the g sum to zero.) If we take (5.8) as the starting point for estimating (along with t and g, then the issues become fairly clear. If we have sufficient observations in the group/time cells, then the means gt y and gt x can be estimated fairly precisly, and these can be used in a minimum distance estimation framework to estimate , where consists of , , and (where, say, we set 1 0 as the normalization). Before discussing estimation details, it is useful to study (5.8) in more detail to determine some simple, and common, strategies. Because (5.8) looks itself like a panel data regression equation, methods such as "OLS," "fixed effects," and "first differencing" have been applied to sample averages. It is informative to apply these to the population. First suppose that we set each g to zero and set all of the time intercepts, t, to zero. For notational simplicity, we also drop an overall "intercept," but that would be included at a minimum. Then gt y gt x and if we premultiply by gt x′, average across g and t, and then assume we can invert ∑ G T g1 ∑ t1 gt x′ gt x , we have This means that the population parameter, , can be written as a pooled OLS regression of the population group/time means gt y on the group/time means gt x . Naturally, if we have "good" estimates of these means, then it will make sense to estimate by using the same regression on the sample means. But, so far, this is all in the population. We can think of (5.9) as the basis for a method of moments procedure. It is important that we treat gt x and gt y symetrically, that is, as population means to be estimated, whether the xit are strictly, sequentially, or contemporaneous exogenous – or none of these – in the original model. When we allow different group means for fi, as seems critical, and different time period intercepts, which also is necessary for a convincing analysis, we can easily write as an "OLS" estimator by subtracting of time and group averages. While we cannot claim that these expressions will result in efficient estimators, they can shed light on whether we can expect (5.8) to lead to precise estimation of . First, without separate time intercepts we have where the notation should be clear, and then one expression for is (5.9) but with gt x − ̄ g x in place of gt x . Of course, this makes it clear that identification of more difficult when the g are allowed to differ. Further, if we add in the year intercepts, we have where ̈ gt x is the vector of residuals from the pooled regression where dt denotes a dummy for period t and cg is a dummy variable for group g. There are other expressions for , too. (Because is generally overidentified, there are many ways to write it in terms of the population moments. For example, if we difference and then take away group averages, we have where Δ gt x gt x − g,t−1 x and Δ̈ gt x Δ gt x − G−1 ∑ h1 G Δ ht x . Equations (5.11) and (5.13) make it clear that the underlying model in the population cannot contain a full set of group/time interactions. So, for example, if the groups (cohorts) are defined by birth year, there cannot be a full set of birth year/time period interactions. We could allow this feature with invidual-level data because we would typically have variation in the covariates within each group/period cell. Thus, the absense of full cohort/time effects in the population model is the key an identifying restriction. Even if we exclude full group/time effects, may not be precisely estimable. Clearly is not identified if we can write gt x t g for vectors t and g, t 1,..., T, g 1,..., G. In other words, while we must exclude a full set of group/time effects in the structural model, we need some interaction between them in the distribution of the covariates. One might be worried about this way of identifying . But even if we accept this identification strategy, the variation in ̈ gt x : t 1,.., T, g 1,..., G or Δ̈ gt x : t 2,.., T, g 1,..., G might not be sufficient to learn much about – even if we have pretty good estimates of the population means. We are now ready to formally discuss estimation of . We have two formulas (and there are many more) that can be used directly, once we estimate the group/time means for yt and xt. We can use either true panel data or repeated cross sections. Angrist (1991) used panel data and grouped the data by time period (after differencing). Our focus here is on the case where we do not have panel data, but the general discussion applies to either case. One difference is that, with independent cross sections, we need not account for dependence in the sample averages across g and t (except in the case of dynamic models). Assume we have a random sample on xt, yt of size Nt, and we have specified the G groups or cohorts. Write xit, yit : i 1,..., Nt. Some authors, wanting to avoid confusion with a true panel data set, prefer to replace i with it to emphasize that the cross section units are different in each time period. (Plus, several authors actually write the underlying model in terms of the pooled cross sections rather than using the underlying population model – a mistake, in my view.) As long as we understand that we have a random sample in each time period, and that random sample is used to estimate the group/time means, there should be no confusion. For each random draw i, it is useful to let ri rit1, rit2,..., ritG be a vector of group indicators, so ritg 1 if observation i is in group g. Then the sample average on the response variable in group/time cell g, t can be written as where Ngt ∑ i1 Nt ritg is properly treated as a random outcome. (This differs from standard stratified sampling, where the groups are first chosen and then random samples are obtained within each group (stratum). Here, we fix the groups and then randomly sample from the population, keeping track of the group for each draw.) Of course, gt y is generally consistent for gt y . First, ̂ gt Ngt/Nt converges in probability to g Pritg 1 – the fraction of the population in group or cohort g (which is supposed to be constant across t). So Naturally, the argument for other means is the same. Let wit denote the K 1 1 vector yit, xit ′ . Then the asymptotic distribution of the full set of means is easy to obtain: where ̂ gt w is the sample average for group/time cell g, t and is the K 1 K 1 variance matrix for group/time cell g, t. When we stack the means across groups and time periods, it is helpful to have the result where N ∑ t1 T Nt and t lim Nt/N N → is, essentially, the fraction of all observations accounted for by cross section t . Of course, g t is consistently estimated by N gt / N , and so, the implication of (5.15) is that the sample average for cell g, t gets weighted by Ngt/N, the fraction of all observations accounted for by cell g, t. In implementing minimum distance estimation, we need a consistent estimator of gt w, and the group/time sample variance serves that purpose: Now let be the vector of all cell means. For each g, t, there are K 1 means, and so is a GTK 1 1 vector. It makes sense to stack starting with the K 1 means for g 1, t 1, g 1, t 2, ..., g 1, t T, ..., g G, t 1, ..., g G, t T. Now, the ̂ gt w are always independent across g because we assume random sampling for each t. When xt does not contain lags or leads, the ̂ gt w are independent across t, too. (When we allow for lags of the response variable or explanatory variables, we will adjust the definition of and the moment conditions. Thus, we will always assume that the ̂ gt w are independent across g and t.) Then, where is the GTK 1 GTK 1 block diagonal matrix with g, t block gt w/gt. Note that incorporates both different cell variance matrices as well as the different frequencies of observations. The set of equations in (5.8) constitute the restrictions on , , and . Let be the K T G − 1 vector of these parameters, written as There are GTK 1 restrictions in equations (5.8), so, in general, there are many overidentifying restrictions. We can write the set of equations in (5.8) as where h, is a GTK 1 1 vector. Because we have N -asymptotically normal estimator ̂, a minimum distance approach suggests itself. It is different from the usual MD problem because the parameters do not appear in a separable way, but MD estimation is still possible. In fact, for the current application, h, is linear in each argument, which means MD estimators of are in closed form. Before obtaining the efficient MD estimator, we need, because of the nonseparability, an initial consistent estimator of . Probably the most straightforward is the "fixed effects" estimator described above, but where we estimate all components of . The estimator uses the just identified set of equations. For notational simplicity, let gt denote the K 1 1 vector of group/time means for each g, t cell. Then let gt be the K T G − 1 1 vector gt x , dt, cg′, where dt is a 1 T − 1 vector of time dummies and cg is a 1 G vector of group dummies. Then the moment conditions are When we plug in ̂ – that is, the sample averages for all g, t, then is obtained as the so-called "fixed effects" estimator with time and group effects. The equations can be written as and this representation can be used to find the asymptotic variance of N − ; naturally, it depends on and is straightforward to estimate. But there is a practically important point: there is nothing nonstandard about the MD problem, and bootstrapping is justified for obtaining asymptotic standard errors and test statistics. (Inoue (forthcoming) asserts that the "unconditional" limiting distribution of N − is not standard, but that is because he treats the sample means of the covariates and of the response variable differently; in effect, he conditions on the former.) The boostrapping is simple: resample each cross section separately, find the new groups for the bootstrap sample, and obtain the "fixed effects" estimates. It makes no sense here to resampling the groups. Because of the nonlinear way that the covariate means appear in the estimation, the bootstrap may be preferred. The usual asymptotic normal approximation obtained from first-order asymptotics may not be especially good in this case, especially if ∑ g1 G ∑ t1 T ̈ gt x′̈ gt x is close to being singular, in which case is poorly identified. (Inoue (2007) provides evidence that the distribution of the "FE" estimator, and what he calls a GMM estimator that accounts for different cell sample sizes, do not appear to be normal even with fairly large cell sizes. But his setup for generating the data is different – in particular, he specifies equations directly for the repeated cross sections, and that is how he generates data. As mentioned above, his asymptotic analysis differ from the MD framework, and implies nonnormal limiting distributions. If the data are drawn for each cross section to satisfy the population panel data model, the cell sizes are reasonably large, and there is sufficient variation in ̈ gt x , the minimum distance estimators should have reasonable finite-sample properties. But because the limiting distribution depends on the ̈ gt x , which appear in a highly nonlinear way, asymptotic normal approximation might still be poor.) With the restrictions written as in (5.18), Chamberlain (lecture notes) shows that the optimal weighting matrix is the inverse of where ∇h, is the GT GTK 1 Jacobian of h, with respect to . (In the standard case, ∇h, is the identity matrix.) We already have the consistent estimator of – the cell averages – we showed how to consistently estimate in equations (5.16), and we can use as the initial consistent estimator of . ∇h, ∇h I GT ⊗ −1, ′ . Therefore, ∇h, ∇h, is a block diagonal matrix with blocks But and a consistent estimator is simply N t ∑ N gt −1 r itg y it − x i1 is the residual variance estimated within cell g, t. Now, ∇h, W, the GT K T G − 1 matrix of "regressors" in the FE estimation, that is, the rows of W are gt gt x′, dt, cg. Now, the FOC for the optimal MD estimator is and so So, as in the standard cases, the efficient MD estimator looks like a "weighted least squares" estimator. The estimated asymptotic variance of ̂ , following Chamberlain, is just Ŵ ′ Ĉ −1 Ŵ −1 /N. Because Ĉ −1 is the diagonal matrix with entries Ngt/N/ ̂ gt 2 , it is easy to weight each cell g, t and then compute both ̂ and its asymptotic standard errors via a it − t − g 2 weighted regression; fully efficient inference is straightforward. But one must compute the ̂ gt 2 using the individual-level data in each group/time cell. It is easily seen that the so-called "fixed effects" estimator, , is that is, it uses the identity matrix as the weighting matrix. From Chamberlain (lecture notes), the asymptotic variance of is estimated as Ŵ ′ Ŵ −1 Ŵ ′ ČŴŴ ′ Ŵ −1 , where Č is the matrix described above but with used to estimate the cell variances. (Note: This matrix cannot be computed by just using the "heteroskedasticity-robust" standard errors in the regress ̂ gt y on ̂ gt x , dt, cg.) Because inference using requires calculating the group/time specific variances, we might as well use the efficient MD estimator in (5.24). Of course, after the efficient MD estimation, we can readily compute the overidentifying restrictions, which would be rejected if the underlying model needs to include cohort/time effects in a richer fashion. A few remaining comments are in order. First, several papers, including Deaton (1985), Verbeek and Nijman (1993), and Collado (1997), use a different asymptotic analysis. In the current notation, GT → (Deaton) or G → , with the cell sizes fixed. These approaches seems unnatural for the way pseudo panels are constructed, and the thought experiment about how one might sample more and more groups is convoluted. While T → conceptually makes sense, it is still the case that the available number of time periods is much smaller than the cross section sample sizes for each T. McKenzie (2004) has shown that estimators derived under large G asymptotics can have good properties under the MD asymptotics used here. One way to see this is that the IV estimators proposed by Collado (1997), Verbeek and Vella (2005), and others are just different ways of using the population moment conditions in (5.8). (Some authors appear to want it both ways. For example, Verbeek and Nijman (1993) use large G asymptotics, but treat the within-cell variances and covariances as known. This stance assumes that one can get precise estimates of the second moments within each cell, which means that Ngt should be large.) Basing estimation on (5.8) and using minimum ditance, assuming large cell sizes, makes application to models with lags relatively straightforward. The only difference now is that the vectors of means, gt w : g 1,..., G; t 1,..., T now contain redundancies. (In other approaches to the problem, for example Collado (1997), McKenzie (2004), the problem with adding yt−1 to the population model is that it generates correlation in the estimating equation based on the pooled cross sections. Here, there is no conceptual distinction between having exogenous or endogenous elements in xt; all that matters is how adding one modifies the MD moment conditions. As an example, suppose we write where g is the group number. Then (5.8) is still valid. But, now we would define the vector of means as gt y , gt z , and appropriately pick off gt y in defining the moment conditions. The alternative is to define gt x to include g,t−1 y , but this results in a singularity in the asymptotic distribution of ̂. It is much more straightforward to keep only nonredundant elements in and readjust how the moment conditions.are defined in terms of . When we take that approach, it becomes clear that we now have fewer moments to estimate the parameters. If zt is 1 J, we have now have J T G parameters to estimate from GTJ 1 population moments. Still, we have added just one more parameter. To the best of my knowledge, the treatment here is the first to follow the MD approach, applied to (5.8), to its logical conclusion. Its strength is that the estimation method is widely known and used, and it separates the underlyng population model from sampling assumptions. It also shows why we need not make any exogeneity assumptions on xt. Perhaps most importantly, it reveals the key identification condition: that separate group/time effects are not needed in the underlying model, but enough group/time variation in the means Ext\|g is needed to identify the structural parameters. This sort of condition falls out of other approaches to the problem, such as the instrumental variables approach of but it is harder to see. For example, Verbeek and Vella (2005) propose instrumental variables methods on the equation in time averages using interactions between group (cohort) and time dummies. With a full set of separate time and group effects in the main equation – derivable here from the population panel model – the key identification assumption is that a full set of group/time effects can be excluded from the structural equation, but the means of the covariates have to vary sufficiently across group/time. That is exactly the conclusion we reach with a minimum distance approach. Interestingly, the MD approach applies easily to extensions of the basic model. For example, we can allow for unit-specific time trends (as in the random growth model of Heckman and Hotz (1989)): where, for a random draw i, the unobserved heterogeneity is of the form fi1 fi2t. Then, using the same arguments as before, and this set of moment conditions is easily handled by extending the previous analysis. We can even estimate models with time-varying factor loads on the heterogeneity: where 1 1 (say) as a normalization. Now the population moments satisfy There are now K G 2T − 1 free parameters to estimate from GTK 1 moments. This extension means that the estimating equations allow the group/time effects to enter more flexibly (although, of course, we cannot replace t tg with unrestricted group/time effects.) The MD estimation problem is now nonlinear because of the interaction term, tg. With more parameters and perhaps not much variation in the gt x , practical implementation may be a problem, but the theory is standard. This literature would benefit from a careful simulation study, where data for each cross section are generated from the underlying population model, and where gi – the group identifier – is randomly drawn, too. To be realistic, the underlying model should have full time effects. Verbeek and Vella (2005) come close, but they omit aggregate time effects in the main model while generating the explanatory variables to have means that differ by group/time cell. Probably this paints too optimistic a picture for how well the estimators can work in practice. Remember, even if we can get precise estimates of the cell means, the variation in gt x across g and t might not be enough to tie down precisely. Finally, we can come back to the comment about how the moment conditions in (5.8) only use the assumption Eut\|g 0 for all t and g. It seems likely that we should be able to exploit contemporaneous exogeneity assumptions. Let zt be a set of observed variables such that Eut\|zt, f 0, t 1,..., T. (In a true panel, these vary across i and t. We might have zt xt, but perhaps zt is just a subset of xt, or we have extra instruments.) Then we can add to (5.8) the moment conditions Imbens/Wooldridge, Lecture Notes 2, Summer '07 where Ezt ′ ut\|g 0 when we view group designation as contained in f. The moments Ezt ′ yt\|g, Ezt\|g, and Ezt ′ xt\|g can all be estimated by random samples from each cross section, where we average within group/time period. (This would not work if xt or zt contains lags.) This would appear to add many more moment restrictions that should be useful for identifying , but that depends on what we assume about the unobserved moments Ezt ′ f\|g. References (To be added.)
ST MARIE'S SCHOOL, A Catholic Voluntary Academy Single Equality Scheme 1. INTRODUCTION St Marie's Catholic Primary School, St Thomas of Canterbury Catholic Primary School and St Wilfrid's Catholic Primary School have developed this Equality Scheme to help us to meet our duties under the: - Race Relations Act as amended 2000 - Equality Act 2010 - Disability Discrimination Act 2005 - Education and Inspections Act (EIA) 2006 A statutory duty has been placed on all school governing bodies to counteract the effects of institutional discrimination on the grounds of race, disability and gender. It applies to all aspects of the school community and relates equally to children and adults. The Education and Inspections Act (EIA) 2006 requires the governing bodies of maintained schools to promote community cohesion under a new duty which came into force in England from 1 September 2007. The duty identifies teaching, learning and the curriculum; equality and excellence and engagement and extended services as the three main areas where schools can contribute to community cohesion. By placing an equality perspective in our policies and practices, we recognise that we are not thinking about people as an homogenous group but as distinct groups with differing needs, characteristics and behaviours. The legal duties on race, disability and gender equality enables us to identify and tackle discrimination, to prevent harassment and to ensure equality of opportunity by taking a proactive approach to address key issues facing schools, for example around the achievement of boys from some backgrounds, achievement of disabled pupils and the greater levels of exclusions of boys. Our Equality Scheme sets out the overarching principles of our approach to meeting the general and specific requirements of the three public duties and in creating an inclusive whole school environment as well as meeting the duty to promote community cohesion on school governing bodies. The actions setting out how we will put the Scheme into practice are set out in an Action Plan covering race, disability and gender. Signature: Headteacher Date: March 2016 Signature: Chair of Governors: .. Date: March 2016 Note This Equality Scheme and its Actions Plan on race, disability and gender have been developed to help us to meet our duties under the: - Race Relations Act as amended 2000 - Equality Act 2010 - Disability Discrimination Act 2005 In addition, the Equality Scheme and the Action Plan set out our approach for meeting the requirement on governing bodies of maintained schools of the duty to promote community cohesion as outlined in the Education and Inspections Act (EIA) 2006. Figure 1 shows how the three public duties inter relate and that the Single Equality Scheme is a tool for schools to ensure that outcomes are improved for different racial groups, disabled persons and women and men as well as girls and boys which supports their contribution towards the promotion of community cohesion. How the Equality Duties fit together 2. DUTY TO PROMOTE COMMUNITY COHESION The Education and Inspections Act (EIA) 2006 requires the governing bodies of maintained schools to promote community cohesion under a new duty which came into force in September 2007 and schools contribution to community cohesion will be inspected by Ofsted from September 2008. The community cohesion duty builds on the existing legal duties on school governing bodies under the Race Relations Act as Amended 2000. From our perspective, 'community' has a number of dimensions including: - The school community, our pupils, their families, our staff and governing body. - Our parishes and the wider community which uses our facilities and services. - The community within which we are located, including Sheffield. - The UK and global community. Our focus on community cohesion work is about promoting cohesion across different cultures, and religious or non-religious, ethnic and socio-economic groups as we are responsible for equipping pupils to live and thrive alongside people from many different backgrounds. Our main contributions to community cohesion can be made in three areas: - teaching, learning and the curriculum: using the curriculum to value diversity whilst also promoting shared values. - equity and excellence: ensuring equity and high standards for all and tackling underperformance by any particular group. - engagement and extended services: engaging with other schools, parents and the community, as well as local authorities and other partners in developing extended services. - The teaching of the Church and the ethos of our schools affirms the value of every individual as being in the image of God. This belief underpins that we do and teach. Therefore all our procedures and practices include monitoring of data to identify any potential issues of inequality or discrimination. - We actively seek to engage with the community through extended services such as work with our parishes, participation in sporting events and adult learning activities to promote social cohesion. 3. HOW WE WILL MEET THE GENERAL DUTY & SPECIFIC DUTY This Equality Scheme and its Action Plan on race, disability and gender for our school set out the specific actions that will be carried out to meet our duties and are listed in the Action Plan at Pages 22-27. 4. LEADERSHIP All staff and Governors at the school are responsible for the implementation of the Scheme. Governors are responsible for: - Ensuring the school complies with the relevant equality legislation - Ensuring that the school Equality Scheme and its procedures are followed. The Head Teacher is responsible for: - Ensuring the school Equality Scheme and its procedures are followed - Ensuring the Equality Action Plan is readily available and that the governors, staff, pupils, and their parents and guardians know about it. - Producing regular information for staff and governors about the Action Plan and how they are working - Ensuring that all staff know their responsibilities and receive training and support in carrying these out - Taking action in cases of harassment and discrimination, including racist bullying Note - homophobic bullying and bullying related to gender or disability All staff are responsible for: - dealing with racist, homophobic and other hate-incidents - promoting equal opportunities and good race relations - being able to recognise and tackle bias and stereotyping - avoiding discrimination against anyone for reasons of ethnicity, disability or gender - keeping up to date with the law on discrimination - taking up training and learning opportunities - community users/contractors/visitors/link tie up 5. INVOLVEMENT In developing our Scheme and Action Plan, we have involved stakeholders, for example pupils, parents and carers, staff and trade unions as follows: - The results of previous consultation where people have told us their priorities - The views of pupils - The views of staff - Parents and carers views - The views of stakeholders, for example Local authority employees You will need to ensure that involvement is specific to your school and is proportionate to the size of school and you will need to demonstrate that you have taken all reasonable steps to involve your stakeholders. 6. ELIMINATING HARASSMENT AND BULLYING The school will not tolerate any form of harassment and bullying of either pupils or our staff. Our Bullying Policy for Pupils states: That bullying is not tolerated at our school and there is a Code of Practice for dealing with bullying. Our Anti-bullying Policy and Code of Practice are given to all parents. The antibullying message is promoted throughout the year through assemblies, PSHE, participation in the SEALS week, RE and other cross curricular work. Each year our schools participate in the National Anti-bullying week. Our Violence at Work Policy States that violence towards employees is unacceptable and this includes "not only physical attacks but threats and fear of violence, verbal abuse, racial homophobic and sexual harassment..." 7. IMPACT ASSESSMENT The specific duty requires us to conduct impact assessments to ensure that due regard is given to race, disability and gender equality in our policies and practices and their likely impact We will assess all existing policies when they are renewed and any policy developed subsequently. This will be carried out by the governors through our existing subcommittee structure, using the Equality Impact Assessment toolkit Appendix B and recorded on the Equality Impact Assessment template Appendix C. The findings of our impact assessment will be published on the school website 8. TRAINING We provide equality training through attendance at relevant courses and staff and governor meetings as identified in our action plan 9. INFORMATION GATHERING We will monitor our policies and practices with regard to: - the extent to which equality between pupils is promoted - the extent to which equality between staff is promoted - the extent to which the curriculum and other school activities take race, disability and gender into account Information gathering will include: - The profile of our workforce. - Exclusions - Attainment levels. - Reports of harassment and bullying of pupils and staff - The composition of our Governing Body 10. PROCUREMENT AND CONTRACTORS We will take steps to ensure that our contractors are adhering to our commitment to equality in their employment and service delivery policy and practices, by using contractors approved by Sheffield City Council and/or the Diocese of Hallam. Otherwise the issue of equality will be raised with the contractor prior to any order placed. We will also challenge any discriminatory behaviour. 11. VISITORS TO THE SCHOOL We will take steps to ensure that visitors to our school including parents are adhering to our commitment to equality, by prominently displaying an Equality Statement and challenging any discriminatory behaviour. 12. PUBLISHING THE SCHEME Our Scheme will be published on the schools' VLE. It will also be available by contacting your child's school. 13. ANNUAL REPORTING We will annually publish a report that will be available to all interested stakeholders. This will be on the schools' VLE. It will also be available by contacting your child's school. This report will include: - Progress against the action plan - what has been done with the information gathered - the results of information-gathering 14. REVIEWING AND REVISING THE EQUALITY SCHEME We will review progress against the Scheme every year and we will revise the Scheme in three years time or in line with new legislative developments arising from a Single Equality Act. Appendix B 1. IMPACT ASSESSMENT TOOLKIT 1.1. What is an Impact Assessment? An impact assessment is a method by which you can examine your policies and practices to ensure there is no potential for discrimination against a particular group. An impact assessment examines policies and practice in a structured way to ensure that disproportionately adverse effects on particular groups are avoided. In a school setting it is important to recognise that impact assessments are as relevant to areas such as teaching practices and the curriculum as they are to policies and procedures at an institutional level. 1.2. When should Impact Assessments be conducted? An impact assessment should be conducted when developing a new policy, practice or provision or when revising an existing one. 1.3. Mapping policies and practices Some policies and practices have a greater impact on equality than others and the first stage will be to conduct a mapping exercise of all policies and practices to determine their relevance to racial, disability and gender equality. The mapping exercise enables you to determine whether a policy has High, Medium or Low relevance. If a mapping exercise has not already been done, the following list of areas may be helpful as a starting point in identifying what to consider: Policies and practices relating to: - Access - Curriculum - Teaching - Staff - Grievance and Disciplinary procedures - Pupils - Management, Monitoring and Quality Assurance - Communications and Public Affairs - Information and ICT For each policy or practice, the following information needs to be gathered: 1. What is the purpose of the policy/practice? 2. What are the objectives? 3. Who was responsible for creating the policy/practice? 4. Who is responsible for implementing it? 5. Who are the people affected by the policy/practice? Is there any evidence that there are different needs that your 6. policy/practice needs to take into account? 7. Does this policy/practice contribute to or hinder racial, disability and gender equality in the school? Prioritising will enable you to list policies and practices by relevance to racial, disability and gender equality as High, Medium or Low. 1.4. Assessing policies and practices For each policy or practice, a rigorous process of assessment should be followed using all the available evidence and gathering more if it is needed. St Marie's Catholic Primary School Accessibility Plan – Disability Action Plan (2010 update) 1. Access to the Curriculum including teaching and learning and the wider curriculum of the school, eg after-school clubs, leisure and cultural events or school visits. \| \| Targets \| Strategies \| Outcomes \| Timeframe \| \|---\|---\|---\|---\|---\| \| Short- Term \| To refresh staff training in awareness of the school’s accessibility strategy with regard to access to the curriculum To ensure all staff hold a shared vision re: Accessibility in all its forms. \| Review of the schools newly revised Accessibility Policy Identification of priority areas for review within 2017-18 \| Staff are able throughout the school year to consider and adapt areas of the curriculum as necessary to ensure we fulfil the requirements of “The Disability Discrimination Act”. Reviews of accessibility are carried out in priority areas \| Staff meeting Spring 2, 2018 ,to present and consider policy. Reviews carried out in Summer and Autumn 2017, spring 2018, in identified areas \| \| Medium- Term \| To ensure that the school’s CPD programme provides all staff with detailed and updated information of any developments within the area of Inclusion. Rolling timetable of reviews mentioned in policy document to be drawn up to evaluate effectiveness of policy \| SLT to work with SENCO to identify priorities within school systems for inclusion CPD for staff Evaluation of effective practice planned for and implemented. \| All staff have an appropriate level of knowledge and skill which will enable them to carry out their role effectively. Accessibility reviewed in different contexts according to agreed timetable \| Appropriate training to be undertaken by Summer 2 2018 Timetable to be agreed by the end of Summer 2 2018 \| \| Long- Term \| All policies to include statement on ensuring equality throughout the school \| Subject Managers to amend policies appropriately when reviewing policies as part of the annual process detailed in the SDP. \| All school documentation will ensure the “Equality for Pupils” is included as a specific aim. \| Changes to policies completed by Summer 2018 \| 2. Access to the Physical Environment including physical aids to access education. \| \| Targets \| Strategies \| Outcomes \| Timeframe \| \|---\|---\|---\|---\|---\| \| Short- Term \| \| \| \| \| \| Medium- Term \| To improve auditory quality within classrooms To improve disabled access to the rear of the building To improve access to ICT resources within school \| Doors to replace sliding partitions within Classrooms for Years 1, 2, 3 & 4 Concrete ramps to be considered for steps at rear of building leading to and from Reception classroom Review of use of ICT suite; plan for replacement of out-of-date machines, feasibility of using ICT in other areas of school; adjustments to building internally to provide correct environment for ICT. \| Pupils better able to hear within classroom Ease of access for push-chairs and wheelchairs to rear of school \| By start of Summer 2018 By start of Autumn 2017 \| \| Long- Term \| To improve disabled access to the hall \| Consideration of a platform lift installation at the rear exit of Y5 classroom \| Wheelchair access to the hall \| By end of Summer 2 2018 \| 3. Access to Information including planning to make written information available to pupils and their parents, taking account of pupils' disabilities and pupils' and parents' preferred formats. \| \| Targets \| Strategies \| Outcomes \| Timeframe \| Evaluation Goals Achieved \| \|---\|---\|---\|---\|---\|---\| \| Short-Term \| Improve access to school information for those with English as an additional language \| Contact details of the school to be translated into most common languages of school pupils \| More parents with EAL have knowledge of school \| By end of Summer 2018 \| \| \| Medium-Term \| Evaluate the positive nature of images relating to disability and diversity within resources \| Review library resources to ascertain extent of positive reinforcement of disability and diversity \| Implement a replacement plan for purchase of new relevant resources where needed. \| By end of spring 2018 \| \| \| Long-Term \| Further Improve access to school information for those with English as an additional language \| Extend availability of information in different formats, particularly through use of the school’s learning platform \| All vital school information easily available and adaptable electronically, providing ease of access for all \| By end of Summer 2016 \| \| St Marie's Catholic Primary School Equality Scheme Plan – Gender & Racism (2010 update) Objectives: To ensure that St Marie's School promotes community cohesion through ensuring awareness of, and adherence to, principles of equality and fairness in all areas of school life \| \| Targets \| Strategies \| Outcomes \| Timeframe \| \|---\|---\|---\|---\|---\| \| Short-Term \| Ensure that more rigorous systems of evaluation are in place to judge the impact of the school equality scheme \| Ensure that evaluations of Parents participation, pupil participation, reward systems and other activities are evaluated for different groups \| Accurate information about equality and community cohesion, and necessary adjustments made to address areas of inequality \| By end of Summer 2018 \| \| \| Renew the membership of the Pupils’ Equality Group \| Ensure that pupil voice is represented well through a refreshed membership of the equality group \| Equality Group is able to represent pupil voice with enthusiasm and accuracy \| By end of Summer 2018 \| \| \| Evaluate the balance of diversity of ethnic origin and gender within the Governing body \| Use impending vacancies within the governing body to ensure membership is representative. \| Governing body has a balance of representation from all parishes, balance of gender and diversity \| By end of Autumn 2017 \| St Marie's Catholic Primary School Equality Scheme Plan – Gender & Racism (2010 update cntd) \| Medium-Term \| To plan a revised primary curriculum that offers opportunities to discuss issues and develop understanding regarding gender and race \| Revision of new primary curriculum to take place over 2010- 11, with a focus on ensuring that every year group is addressing areas such as global issues, anti-bullying, history of variety of ethnic origins, etc \| The curriculum is effective in ensuring learning opportunities that help pupils’ understanding of community, diversity, equality of opportunity and discrimination \| By end of Autumn 2017 \| \|---\|---\|---\|---\|---\| \| Long-Term \| Further Improve access to school information for those with English as an additional language \| Extend availability of information in different formats, particularly through use of the school’s learning platform \| All vital school information easily available and adaptable electronically, providing ease of access for all \| By end of Summer 2018 \| \| \| Broaden the ethnic diversity of the school staff \| Ensure that when vacancies occur, the opportunity is used to encourage applications from prospective staff members from minority ethnic communities \| The school staff’s membership will reflect better the ethnic diversity of the pupil population \| As vacancies occur \|
About us Launch Services Media Sitemap Contact us G PROTON G LAUNCH SITE DIRECTV 10 Blog Requires Acrobat Reader. Need it? Get it (click here) One Last Report Well, one last report from on site at Baikonur and, as we have been fortunate to be able to report since we arrived, all is on schedule. The SC is working flawlessly and has positioned itself right where it is supposed to be at this point. The launch vehicle performed with impeccable precision throughout the entire 9 hour, 8 minute and 40 second ride into space. And once the SC properly separated from the LV, there was one collective sigh of relief, followed by smiles and congratulations to all involved. Following the launch, there was a formal gathering at the Polyot hotel sponsored by our hosts. What a wonderful way to finally celebrate with all the organizations involved in the success of the DTV 10 launch mission. Food, cheer and happy faces were all in abundance. But, as with every campaign, the work was not complete until everything was packed up and the teams were prepared for their trips home to their families. We spent Sunday and Monday cleaning offices, packing boxes and suitcases, and relaxing. The pressure of preparing for the launch was over and the mood of the days was one of relief and an anxious feeling to get home. As the goodbyes begin, we would like to extend our special thanks to our hosts here in Baikonur. Just like every campaign, it is never goodbye, it is just..."Until we see you next time." So as we say in Russian: "SpyCEEba bolSHOY moy drukes." Thank you very much my friends!! Das vedanya from Baikonur! Photo: DIRECTV 10 Launch Team on the pad at Baikonur. Visit the Photo Gallery for more pictures. Posted 09 July 2007 2 comments http://admin.ilslaunch.com/blog/ (1 of 17)8/6/2007 10:21:34 AM DIRECTV10 Blog Thank You for Joining Us! Another ILS launch campaign has come to successful conclusion! We appreciate all the great support from DIRECTV and Proton fans alike and hope you'll join us for our next mission, in September. The blog and blog photo album will be available live until 20 July; after that time, it will be archived by PDF to the DIRECTV 10 launch archive. Posted 09 July 2007 Posted By: ILS Communications Team at 10:21, EDT 0 comments ILS Proton Successfully Launches DIRECTV 10 We have just received confirmation that the fifth and final burn sequence has been completed nominally. The Proton Breeze M carrying DIRECTV 10 has successfully placed the satellite in orbit, completing the mission for ILS. Click here for the complete press release and launch photo. Posted 07 July 2006 15 comments Posted By: ILS Communications Team at 10:25, GMT 3 & 4 Down... One to Go The ILS launch team has confirmed multiple mission events have successfully occurred: third burn ignition and shutdown, jettison of the additional propellant tank (APT) and fourth burn ignition and shutdown. We are standing by for information on our fifth and final burn sequence, which takes place at approximately 6 a.m. EDT. Posted 07 July 2007 Posted By: ILS Communications Team at 05:30, GMT 0 comments Breeze M Second Burn Complete We have just received confirmation of a nominal second burn and subsequent shutdown of the Breeze M upper stage. Next mission milestone will occur at approximately three hours and 26 minutes after liftoff with the third & then fourth ignitions and shutdowns. Posted 07 July 2007 2 comments Posted By: ILS Communications Team at 02:57, GMT We have LIFTOFF! Congratulations to all the teams on a successful liftoff of Proton Breeze M carrying the DIRECTV 10 satellite, which occurred at 7:16 a.m. Baikonur (9:16 p.m. EDT July 6th, 01:16 GMT). The three stages of the Proton vehicle have performed as planned, and it is up to the Breeze M upper stage to complete the mission. The upper stage has had its first burn, and it is now in a circular parking orbit. We expect to receive confirmation of the second burn in about an hour. Click here to view a clip of the launch highlights. Photo: Proton M Breeze M lifting off with DIRECTV 10. Visit the Photo Gallery for more pictures. Posted 07 July 2007 3 comments Posted By: ILS Communications Team at 01:44, GMT T-2 Hours Propellant Load - Complete Liquid Thermal Control System - Activated Weather Report Pressure: 743.8 mm hg Temperature: 21.8 C (71 F) RH: 66% Light winds at 1-2 MPH Light clouds, mostly Clear No issues being worked. State Commission Report Received: ALL SYSTEMS GO FOR LAUNCH Photo: Countdown. Visit the Photo Gallery for more pictures. Posted 06 July 2006 1 comments Posted By: ILS DIRECTV 10 Launch Team at 23:18, GMT L-12 h, 45m tomorrow morning with predicted blue skies and sunshine to watch the launch of the DTV 10 SC and the ILV into the heavens. Ground control to DTV 10... Ground Control to DTV10 (humming Bowie's "Space Oddity"). The Boeing ground control crew is ready to go at the Building 92A-50 control room, as they prepare for the launch countdown. Smiles and excitement are the order of the day. All parties are in place to run the final countdown clock. ILV final closeouts beginning at 21:00 local, State Commission meeting at 22:00 local, and Launch Vehicle fueling at 01:15 local are just a few of the highlights of the 7/701 script as the launch preparations continue. The weather report looks very promising for Photo: Ground control team, ready for action. Visit the Photo Gallery for more pictures. Posted 06 July 2007 6 comments At Baikonur -- Proton Readied to Launch DIRECTV 10 Excerpted from Khrunichev press release At Baikonur Cosmodrome, Kazakhstan, the State Commission will meet today, 6 July, at 10 p.m. (Baikonur local time) to certify the readiness of the Proton Breeze M vehicle and flight control team for the launch. The launch is currently scheduled at 7:16 a.m. (local Baikonur time) on July 7, 9:16 p.m. Friday, July 6 ( EDT). DIRECTV 10 mission will be the debut of the Enhanced Proton Breeze M, which is capable of launching spacecraft over 6,000 kg into Geosynchronous Transfer Orbit (GTO). Before the launch, Russian Orthodox priests blessed the rocket and the cosmodrome technicians today, at 12:00 a.m. Khrunichev State Research and Production Space Center, which was created from the merger of the Khrunichev Machine-building Plant and the Salyut Design Bureau 14 years ago, has become a pillar of Russia's space industry. Khrunichev has its headquarters in Moscow, and includes among its branches a number of key manufacturers of launch vehicle and spacecraft components in Moscow and in other cities of the Russian Federation. The launch will be performed under auspices of ILS- International Launch Services Inc. ILS is a joint venture of Space Transport Inc., Khrunichev State Research and Production Space Center of Moscow and RSC Energia of Moscow. ILS is incorporated in Delaware in the United States, and is headquartered in McLean, Va., a suburb of Washington, D.C. Photo: Proton and DIRECTV 10 on Launch Pad 39. Visit the Photo Gallery for more pictures. Posted 06 July 2007 0 comments Posted By: Khrunichev Team at 14:27, Moscow Last Rites of Passage L-1 to Go The final launch countdown rehearsal was flawless, and we are no longer tracking the upcoming launch by days. With the passing of 7:16 a.m. Friday local Baikonur time, the 7/701 script is now running by hours. All thoughts are focused south from the hotel complex to Launch Pad 39 and the ILV. One of the many traditions that our Russian partners have is the blessing of the ILV. Built into the script is a visit from one of the local Russian Orthodox priests to give his blessings and sprinkle team members and the ILV with holy water in preparation for the upcoming launch. It is a very solemn Russian rite of passage for all of their launch vehicles, and no one is about to break from tradition at this point in the campaign. Final checks and balances are being performed. At 10:00 p.m. Baikonur local time, there will be one final meeting with the State Commission. At this gathering, all parties will agree that the ILV is ready for fuel loading. Now the only thing we will wait to hear from all parties: The SC and the ILV are "GO FOR LAUNCH!!!" Photo: A time-honored tradition -- the blessing of the rocket and launch crew. Visit the Photo Gallery for more pictures. Posted 06 July 2007 1 comments Posted By: ILS DIRECTV 10 Launch Team at 13:54, Baikonur Well-Oiled Machine While ILV health checks are continuing, there was one final opportunity for the American teams to visit the launch pad as a group. It was Khrunichev picture and interview day at the pad. As with everything at this point of the campaign, the press day is built into the 7/701 script, which the procedure used for all launch pad operations. Even this second time seeing the ILV upright and tucked into the Missile Service Tower (MST), it is still quite an impressive thing. The Russian press took many pictures and interviewed various members of the Khrunichev team, as well as representatives from Boeing and ILS. The one common denominator of all the interviews: this entire campaign has been a TEAM effort on everybody's part. It has been a top notch team working together from every aspect. From SC offload, to single line flow, to joint operations, everything to date has performed right on schedule. It is, as they say, a truly well-oiled machine! Posted 05 July 2007 0 comments Posted By: ILS DIRECTV 10 Launch Team at 18:19, Baikonur 4th of July. Guess What? BBQ! Only L-3 Days Left... With the rocket upright, the SC tucked away awaiting its long journey, and the official countdown clock started, it was time for everyone to let their hair down a little bit and celebrate the 4th of July. Although work was still ongoing, there was time in the schedule for a free evening of festivities. Leave it to the Pinkertons to bring balloons, flags, tablecloths, and all sorts of red, white and blue decorations to the campaign. Someone was thinking!! It turned out to be a wonderful evening. The weather was perfect for the BBQ. Everyone gathered at the Fili Hotel after a day of electrical checks, purge checks, and all around health checks of the SC and the LV. All systems are a go, and we are right on schedule. The grills were kept busy with smoked ribs, steaks and burgers, and even a pot of homemade chili (right out of the can!). You might have thought that we hadn't eaten in weeks as everyone really enjoyed the American fare. There were very few leftovers! Dinner was topped off with homemade lemonade popsicles and a delicious American flag cake that our friends at the hotel surprised us with. There was even a water balloon toss that ended up being a water balloon fight. Like a bunch of little kids! The music, the dancing, the singing, all in all it was a touch of home. The one American tradition that we did not have was a fireworks show. It didn't seem, though, that anyone really missed it, because the main topic of conversation throughout the entire picnic was the upcoming launch. As one reveler put it, "we are saving the biggest and best rocket for last!" The final countdown is ON! Photo: Mmm... flag cake. And the last DTV 10 BBQ! Visit the Photo Gallery for more pictures. Posted 04 July 2007 Posted By: ILS DIRECTV 10 Launch Team at 23:39, Baikonur ILV Move to Pad 39 L-4 Days and Counting... Another early start to another day of the campaign, and it's back to our work clothes from playing dress up. After receiving the OK to roll to the pad, it is time to send the ILV on its trip to Launch Pad 39. The locomotive was hooked up late Monday evening. Once we reached the traditional 6:30 a.m. (local) departure time, the convoy was off on its two and a half hour journey. The rather uneventful train trip out to the pad could be watched from various points around Area 95 and drew the biggest crowd of onlookers we have seen out here so far. Everyone who wanted to attend was permitted on the pad deck to watch the incredible sight as the assembled ILV rolled horizontally into position next to the flame bucket. Then it was hydraulically rotated to its vertical launch position. Talk about a photo opportunity. Pictures, videos, Russian and Americans alike... everyone tried to capture it in as many ways as they could. One of the favorite pictures to take is to pose as if one hand is pushing the rocket to vertical. It never really DOES look like one person is doing the lifting, but it is a tradition to try and get that shot to commemorate this exciting day. The anticipation continues to build as we move from the daily schedule to what is referred to as the 7/701 script. This is the official countdown schedule that will bring us to launch day! Photo: Proton Breeze M carrying DIRECTV 10 on its way to Launch Pad 39. Visit the Photo Gallery for more pictures. Posted 3 July 2007 Posted By: ILS DIRECTV 10 Launch Team at 15:42, Baikonur 10 comments State Commission Meeting L-5 Days to Launch Breeze M fuel loading was completed right on schedule late Monday afternoon. As we like to say after every important milestone, "There were no anomalies!" Considering the hazardous nature of the load operations, no anomalies is the RIGHT answer! Time to send the ILV on its final journey prior to launch: transport to Launch Pad 39. Before that can happen, all parties involved in the campaign must get together for the State Commission Meeting. This is a gathering of the heads of the myriad organizations involved in launching DIRECTV 10. They gather for an official signing of a certificate stating that everything is go for transport to the pad and that pad operations can commence. Everyone from the spacecraft contractors to the local representatives of the electric company gave their "thumbs up" on the upcoming transport. It is also an evening to put away the typical "working uniform" of jeans and sneakers to dress up and look good in khakis, shirts and ties. It was almost hard to recognize the participants! Photo: ILS program staff giving a presentation at the State Commission Meeting. Visit the Posted 2 July 2007 Posted By: ILS DIRECTV 10 Launch Team at 19:29, Baikonur 0 comments Fueling Up at the Pump It is Sunday morning and L-6 days to launch. After two relatively quiet days of ILV checks, it is time to move it to the Breeze M fueling station. This is day one of two days performing one of the more hazardous operations we will witness during a launch campaign. The ILV is positioned on a specially designed rail car -- specially designed in that it needs to support the entire length and mass of a fully integrated Proton M launch vehicle! With the ILV ready to roll, the troops gathered outside of Hall 111 in anticipation of the transport. Between the cool air, light breeze and bright sunshine, there couldn't be a better morning to transport. It's breathtaking to watch the horizontal ILV roll slowly out of the building. The only thing that could bring on more goosebumps would have been Wagner's "Ride of the Valkyries" (think "Apocalypse Now") playing on loudspeakers as it came out! The unit was towed out via a locomotive, and then backed up into the Breeze M fueling station, which looks like a huge carport of sorts. This is its home for two days as the Breeze M multi-burn main engine takes on fuel. All fueling operations are completely controlled by Khrunichev specialists. Because of the nature of the fueling operations, Building 92A-50 is cleared of all nonessential personnel. With the perfect weather and a day off, a large number of the American team took a bus ride in to Baikonur City. The rest of us decided to give the kitchen staff an evening off, and plan a long overdue Sunday summer cookout. Photo: Backing the integrated launch vehicle in to the fueling bay. Visit the Photo Gallery for more pictures. Posted 1 July 2007 Posted By: ILS DIRECTV 10 Launch Team at 11:23, Baikonur 1 comments Media Advisory The official Media Advisory has been released for the ILS Proton launch of DIRECTV 10. Check back for satellite broadcast coordinate updates. Posted 29 June 2007 0 comments Posted By: ILS Communications Team at 16:06, EDT Mission Overview The DIRECTV 10 Mission Overview is now available online and for download in PDF format. Also, be sure to visit our latest online newsletter, LIFTOFF for an interview with ILS Program Director Jim Bonner on the Proton enhancements that will be featured on the launch of DIRECTV 10. Posted 29 June 2007 1 comments Posted By: ILS Communications Team at 09:26, EDT AU + LV = ILV Very little time was wasted before the AU was mated to the launch vehicle (LV). With the AU on its rail dolly, Khrunichev specialists hand cranked the unit and aligned it with the LV. Mating operations were performed and, as we always like to report, there were no anomalies. It is finally one complete unit, known as the Integrated Launch Vehicle (ILV). While Khrunichev puts the ILV through two days of electrical checks, thermal shielding installations and readiness checks in preparation for the move to the Breeze M fueling station, the Boeing team performs their own pre-transport checks. Battery charging, RF checks, nitrogen purging requirements; all are performed side-by-side with Khrunichev in Hall 111. As you can most likely tell by the pictures, there's plenty of room in that huge hall for everyone to work in unison. Needless to say, the excitement is building as everyone sees the finished product and wraps up preparations for its final leg of a long journey: To the Breeze M fueling station and then off to Launch Complex 39. Photo: The ascent unit being mated to the Proton launch vehicle in Hall 111. Visit the Photo Gallery for more pictures. Posted 28 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 21:10, Baikonur 0 comments AU Move to Hall 111 L-10 Days and Counting! The signing festivities are complete and it is once again time to get down to business. With the rail transporter in place in Hall 101, the AU is lifted from the tilter and positioned over the transporter. The transporter is a locomotive car designed to support the AU on its journey to Hall 111. A locomotive engine is moved into Hall 101 and connected to the transporter rail car. As team members gather to watch, the slow and rather brief train ride gets underway. The train pulls out of Hall 101 and moves down the rails, at which point a switch is moved so the train can back up and move towards the entrance to Hall 111. This is the hall which houses the complete Proton M/Breeze M rocket that will take the DIRECTV 10 satellite into orbit. As we enter through a huge roll door, the size of the room is all one notices. As Hall 101 was earlier described as being able to hold a soccer game, this room can hold the grandstands as well. As the AU enters the room, we can only marvel at what is seen: the complete launch vehicle, laying horizontal in its support stand. Pictures do not do justice to the impressive sight of the LV in this room. The AU is lifted from the transporter and is placed on a holding dolly on rails. It is positioned at the head of the Proton rocket where it will rest for one night, as Khrunichev prepares the LV and the AU for mating. The excitement is building... stay tuned! Posted 27 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 17:19, Baikonur 2 comments DIRECTV 10 Launch Booklet We are pleased to announce that, for the first time on the ILS site, we are able to offer the upcoming launch booklet published by our partner, Khrunichev. DIRECTV 10 Launch Booklet (Requires Adobe Reader) Posted 27 June 2007 1 comments Posted By: ILS Communications Team at 12:09, EDT Countdown to Launch The countdown clock for DIRECTV 10's launch has officially started on the ILS homepage! Also, we have the webcast test page link up so you can bookmark it for the live broadcast on launch day. The broadcast begins approximately 30 minutes prior to launch, which is currently scheduled for July 6 at 21:16:19, EDT. Posted 27 June 2007 Posted By: ILS Communications Team at 10:14, EDT 1 comments Signing the PLF One of the more technical operations that we perform here is the signing of the payload fairing by the entire launch team. It takes a lot of coordination with all the parties. The exacting nature of the complex operation is really a sight to behold, as the team members take turns climbing up the ladder, putting their personal touches on the fairing logos and then climbing back down the ladder to safety. The biggest decisions are what to write, and who to dedicate the launch to: parents, children and loved ones of all sorts are named on the fairing as a tribute to them from the launch team members. It's a great photo opportunity for the team. It is also the last thing we do prior to mating the AU to the launch vehicle. It has been a long road for the SC contractors and their satellite, and it is at this point that they hand it over to the capable hands of our Russian partners from Khrunichev. Photo: ILS Launch Ops Manager undertaking the complex task of his launch dedication. Visit the Photo Gallery for more pictures. Posted 25 June 2007 1 comments http://admin.ilslaunch.com/blog/ (10 of 17)8/6/2007 10:21:34 AM PLF Encapsulation It is time to say goodbye to the SC, visually anyway, as the payload fairing is ready to be installed. With the SC horizontal and hovering above a rail track, the bottom half of the fairing is situated on a rail car below. It sits in a cradle and is hand cranked in to position under the SC. Once that is in place, the upper half of the fairing is hoisted up by crane and positioned above the prone SC and lowered to mate with the bottom half. Under the watchful Boeing team's supervision, the maneuvers were successful and the DTV 10 SC was officially encapsulated in preparation for its ride into orbit. This newly assembled configuration is now called the ascent unit (AU). Once the two halves are secured, the team spends two days performing electrical tests and verifying that, although encapsulated, it is still possible to communicate with the SC. The term "team" certainly applies in this case, as a veritable plethora of activities are ongoing while the Boeing folks and the Khrunichev teams work together performing pre-launch testing. As impressive a site it is to see the satellite hovering in a horizontal position, seeing the whole AU cantilevered off of the tilter stand is even more impressive. Time now to mate the AU to the Proton launch vehicle! The fun continues... Posted 24 June 2007 0 comments Posted By: ILS DIRECTV 10 Launch Team at 21:58, Baikonur Going Horizontal by the mounting base, and we have to rotate it from vertical to horizontal in order to install the payload fairing. After a successful mating of the SC to the Breeze M, the sum of which is referred to as the upper stage (US), there was very little time to admire the handiwork as we moved right into payload fairing encapsulation the very next morning. The first order of business required for encapsulation is the need to have the SC in a horizontal position. This is one of the more harrowing operations to witness. Here is the SC stack-up, fully loaded with propellant, coupled with the Breeze M engine, and mounted to a turnover fixture. That is a whole lot of inches and a whole lot of pounds, supported only No matter how many times one observes this operation, one cannot help but watch and comment that it is just not supposed to look like this. It can be quite nerve-wracking during these 30 minutes. It seems to get very quiet in the clean room while everything is underway, but the method once again proved true. The Breeze M, the newly designed payload adapter system and the flight hardware moved to horizontal just as they were designed to do. It really is a spectacular sight to see. Posted 23 June 2007 0 comments Posted By: ILS DIRECTV 10 Launch Team at 17:25, Baikonur http://admin.ilslaunch.com/blog/ (11 of 17)8/6/2007 10:21:35 AM Joint Operations Now that SC stand-alone testing is complete, we are starting the phase known as Joint Operations. This is when the SC is mechanically and electrically mated to the Launch Vehicle hardware. To put it simply, this is when we start making the little pieces into one big piece! The first step was to mate the SC to the adapter system - a conical structure that attaches to the bottom of the SC. Next, we took the SC-adapter combo and mated it to the Breeze M upper stage. We successfully completed these steps today after about 18 hours of work, taking into account all the testing and mechanical and electrical checks that had to occur. Saturday, the SC-adapter-Breeze M stack will be rotated from vertical to horizontal and the payload fairing installed. The combination of all these pieces into a single unit is known as the ascent unit (AU). The SC will remain in a horizontal orientation until we move the whole launch vehicle to launch pad on L-5 days. This differs from U.S. launch vehicle processing, in that the majority of assembly occurs horizontally. Quite a difference if you are not used to it! Photo: SC mated with the adapter system and Breeze M. Visit the Photo Gallery for more pictures. Posted 22 June 2007 0 comments Posted By: ILS DIRECTV 10 Launch Team at 23:28, Baikonur Contingency Days Now that SC fueling is complete, we are able to relax for a couple days during scheduled contingency days -- extra days built into the schedule. The SC is ready to go and the team is resting before the push of Joint Operations. To celebrate the successful completion on SC fueling and the end of stand-alone operations, ILS and Boeing hosted a barbeque (as you can tell, those are quite popular here) for all the team mates. Steaks and salads helped remind us of home, though the temperatures of around 100 degrees Fahrenheit (37 Celsius) reminded us we are not in Los Angeles or Virginia! We're looking forward to starting the joint operations phase on Friday and we'll have lots more to tell you about then. Posted 18 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 21:56, Baikonur 2 comments Fuel Load Ops Finished Today, the Boeing propellant team loaded the hydrazine fuel onto the SC. This operation, which took approximately eight hours, is the second half of the propellant load. It marks the completion of the propellant loading phase of SC preps. Kudos to the entire DIRECTV and Boeing teams for an excellent operation! It all went smoothly and according to plan. One engineer remarked that it was "boring", but that is exactly how we want operations here to continue, right up until T-0 on 7 July (local time). Because the propellant loading is a hazardous operation, the building was cleared and the rest of the non-essential personnel spent the day relaxing, traveling into town to shop and eat shashlik (a very tasty Russian ka-bob). It was also a great chance to call our dads to wish them a happy Father's Day. We will continue with some post-fueling testing of the SC, flight closeouts of all thermal blankets and removal of some Remove Before Flight (RBF) items over the next several days. Joint operations commence on Friday, 22 June. http://admin.ilslaunch.com/blog/ (12 of 17)8/6/2007 10:21:35 AM Posted 17 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 22:20, Baikonur 2 comments Oxidizer Load The DTV-10 SC operates with a bi-propellant propulsion system. This means that in the vast emptiness of space, it carries two sets of chemicals that react exothermically (hot and explosively!) when combined in the engines on board the SC to provide final drift orbital insertion. Since there is no oxygen in space, one of these chemicals supplies the oxygen in the chemical reaction. For this spacecraft, it's dinitrogen tetroxide (N2O4), otherwise known as oxidizer. We successfully loaded this first half of the propellants on the SC today. The operation required that all non-essential personnel evacuate Building 92A-50. We were lucky to have a Dnepr launch occurring at the other end of the Cosmodrome to keep us occupied for a bit. The teams that had the day off got to witness a spectacular early morning launch of the converted ICBM rocket. Posted 15 June 2007 2 comments Posted By: ILS DIRECTV 10 Launch Team at 21:29, Baikonur Dnepr & Buran While stand-alone operations were well underway, part of the Boeing team was able to take advantage of great weather and a break in their schedule to take in the launch of a Dnepr (pronounced "nepper") rocket from Area 31 of the Cosmodrome. Clear skies, an early morning launch and a westward-looking view gave the team a great opportunity to watch and hear the latest flight of the Dnepr rocket as it hoisted a small communications payload into space. While the Dnepr is not nearly as large as a Proton rocket, it was still a spectacular event. To hear the spectators describe it, there is still nothing quite like watching a rocket lift off and then, seconds later, hearing and feeling the rumble. With the blue skies, the rocket was visible through first stage separation. Although the launch was early in the morning, it was well worth missing breakfast to see it. After arriving back at the hotel and not missing lunch, the Boeing gang re-boarded the bus for an afternoon visit to the Gagarin Museum at Baikonur Cosmodrome. From a display honoring its namesake, Russian cosmonaut and national hero, Yuri Gagarin, to an actual full-scale model of the Buran, the Russian built version of the space shuttle, the history of the Russian rocket and space era is chronicled in great detail. Over 50 years of Cosmodrome history are on display in the museum. Many thanks go out to Khrunichev for accommodating their visitors with Photo: Top -- Inverted mushroom cloud from the Dnepr launch. Bottom -- Boeing team in front of the Buran. Visit the Photo Gallery for more pictures. Posted 15 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 18:45, Baikonur 0 comments http://admin.ilslaunch.com/blog/ (13 of 17)8/6/2007 10:21:35 AM Electrical Testing Complete! Today, our DIRECTV customer provided a final review of all the stand-alone electrical testing results and pronounced the SC ready for propellant loading. This announcement follows the "Consent to Load Propellants" meeting held between DIRECTV and Boeing. It's a critical step, in that it allows the load of highly hazardous chemicals into the tanks on board the SC. It's not an operation that you want to repeat or -- in the worst case -- reverse! After this review was completed, we held our Propellant Loading meeting where we reviewed the readiness of all systems, organizations, processes and procedures for loading SC propellants. Everyone agreed that we were ready, and the appropriate certificates were issued and presented to the KhSC program team. Posted 14 June 2007 0 comments Posted By: ILS DIRECTV 10 Launch Team at 18:24, EDT Kometa BBQ In keeping with the axiom about "all work and no play", it was decided that we were overdue for a little bit of play. With stand alone testing successfully underway and a full weekend schedule of spacecraft fuel loading ahead of us, we took advantage of a contingency day to gather the troops and break open the freezer and fire up the grill: steaks, Italian sausage and boiled shrimp -- a launch campaign version of surf and turf. We never really knew how many expert grillers we had on our campaign until all of the Pinkerton, ILS and Boeing personnel shared their proven grilling methods with our hosts. We discovered that there is no language barrier when it comes to grilling. The weather was perfect for our informal courtyard gathering at Baikonur's Kometa Hotel. ILS, Boeing and our staff from Weissker spent an enjoyable evening relaxing, dining and anticipating the upcoming spacecraft operations. There was even a rousing (and at times competitive but humorous) ping-pong tournament between some of the Boeing folks inside the hotel. Short of having this picnic by the side of a pool, it felt like home. As the campaign winds along, everyone is sharing the same feeling as we prepare for next milestone. The smiles are wide and the thumbs are pointed way up: bring on the propellant loading! Photo: Thumbs up from some Boeing team members. Visit the Photo Gallery for more pictures. Posted 13 June 2007 0 comments Posted By: ILS DIRECTV 10 Launch Team at 22:34, Baikonur Standalone Operations http://admin.ilslaunch.com/blog/ (14 of 17)8/6/2007 10:21:35 AM The Boeing SC contractor has been busy testing the DIRECTV 10 SC in what is known as stand-alone operations. This is the time in the beginning of the launch campaign when the SC contractors work alone to test and verify that the SC is healthy, load propellants and configure the SC for launch. After all these steps are done and the SC is completely ready to go for launch, we start "joint operations" where the SC is integrated with the Proton LV. Right now, they are in the process of verifying that the SC is completely healthy before we proceed to the next step: loading propellants into the tanks inside the SC. In parallel, the SC propellant loading team has been busy with all their checkouts a preparations. Everything is proceeding per the plan - a result of the last 18 months of preparation by DIRECTV, Boeing, ILS and KhSC. Posted 11 June 2007 0 comments Posted By: ILS DIRECTV 10 Launch Team at 16:38, Baikonur Unpack and Fitcheck On the night of June 6, the SC in its container made its way on the train from the airport to the processing facility, referred to as 92A50. The main room of this building, known as Hall 101, is absolutely huge - more than large enough to accommodate all the train cars containing the SC and support equipment with room to spare for a soccer game if so inclined! The SC container was offloaded, placed on the floor of the hall, and all the associated equipment was placed in the areas needed to support the unpacking and testing of the SC. This was finished by about 3 a.m. on June 7 – making for a very long 18-hour day counting all the operations, but using two shifts of personnel. The SC is well protected within the container, so we left it there overnight. Early the next morning, the riggers came in and started the process of removing the SC from its container. This entails removing the lid, rotating the SC from horizontal to vertical, and using the crane to life it off its supports. While this was going on, the Khrunichev specialists were preparing the adapter system on its stand in Hall 101 for a "touch and go" fitcheck. To ensure that there are no problems with the mechanical interface of the SC with the adapter and electrical cabling, we perform this short fitcheck before the SC enters Hall 103A, the SC processing and fueling hall. After a successful fitcheck, the SC was moved to a portable dolly and rolled into Hall 103A - its home for the next 14 days. Next step - SC stand alone testing and propellant load preparations! Photo: SC fitcheck underway. Visit the Photo Gallery for more pictures. Posted 07 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 20:35, Baikonur 4 comments All Aboard the SC Train! http://admin.ilslaunch.com/blog/ (15 of 17)8/6/2007 10:21:35 AM Well, today the DIRECTV 10 spacecraft (SC) arrived safely from Los Angeles. The Antonov-124 aircraft took a circuitous path after its departure from Los Angeles airport on 4 June, traveling first to Winnipeg, Canada, to Iceland, then Ulyanovsk, Russia and finally to Yubelieny airport at the Baikonur Cosmodrome. We had planned on a 10 a. m. arrival time, and we are sorry to report that the plane was 15 seconds late (probably due to some headwinds in the last mile to the airport). Better luck next time guys! After taxiing and clearing customs for five very tired passengers, the team snapped into action to open the hold and remove the support equipment and SC container from the airplane. The weather was fantastic for the offload, with light winds, unseasonably cloudy skies and temperatures in the mid-70s Fahrenheit (about 21 degrees Celsius). In just over seven hours, we had all the equipment offloaded and secured to the train that transported the SC to the processing facility. The SC train consists of a locomotive, a car which holds the passengers (affectionately known as the "Doghouse", a gage car, flatbeds with the SC equipment, a thermal rail car supplying conditioned air to the SC, and finally the SC itself mounted to a flatbed rail car. The gage car is interesting to note because it is an outline of the SC container. If this gage car happens to hit anything along the way, we would immediately stop because this means that the SC container would also hit if we kept moving. We always pre-verify the track with the gage car months before the SC arrives (to ensure compatibility), the day before arrival, and the day of arrival so we are triply sure that nothing will go awry! After a five-hour trip from the airstrip to the arrival at the processing facility, the SC container and all the associated equipment was offloaded and moved into the various areas of the facility in which they will be needed. Next step: Unpacking the SC and performing a short "touch and go" fitcheck. Stay tuned! Photo: Loading the SC on to its rail car. Visit the Photo Gallery for more pictures. Posted 06 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 16:48, Baikonur 1 comments Satellite Arrival Excerpted from Khrunichev press release. DIRECTV 10 multipurpose telecommunications spacecraft arrived at the Yubileiny airport of the Baikonur Cosmodrome, Kazakhstan, early this morning, 06 June. The spacecraft and all the equipment needed for ground operations to prepare the spacecraft for launch, was carried by an Antonov 124 "Ruslan" cargo plane operated by Russian "Polet" carrier. On the same day the spacecraft will be transported by rail to the state–of–the–art processing center (Building 92A–50, also known as MIK) where an industrial team from the spacecraft manufacturer, Boeing, will conduct autonomous checking and tests of all DIRECTV 10 systems. DIRECTV 10 is a commercial civil multipurpose communications satellite designed to provide DIRECTV Inc. customers unprecedented local and national High Definition Television (HDTV) throughout continental United States, Alaska and Hawaii. An industry leader, U.S.– based DIRECTV, Inc. delivers satellite–based television services to over 15 million U.S. customers in homes and businesses. The next-generation DIRECTV spacecraft, built on Boeing 702 bus, will be among the world's heaviest geostationary satellites. Its launch mass is over 5800 kg. The satellite projected life span is 15 years. DIRECTV 10 features state-of–the-art antenna and payload subsystems. The powerful http://admin.ilslaunch.com/blog/ (16 of 17)8/6/2007 10:21:35 AM payload integrates 32 active and 12 spare National Service Ka-band Traveling Wave Tube Amplifier (TWTAs) in addition to 55 active and 15 spare spot beam TWTAs. The payload is powered by a massive solar array that spans more than 48 meters consisting of ultra triplejunction gallium arsenide solar cells. DIRECTV 10 will receive and transmit programming throughout the United States with two imposing Ka-band reflectors, each measuring 2.8 meters in diameter, and nine other Ka–band reflectors. The Khrunichev–built Proton Breeze M heavy–class carrier rocket, which will be used for the DIRECTV commercial mission scheduled in July, arrived at its launch site and started its prelaunch preparations earlier (see Khrunichev's Breeze M arrival press release). The Khrunichev engineers are conducting routine assembly and test operations with the rocket in the same vehicle assembly building. Posted 06 June 2007 Posted By: Khrunichev Team at 03:31, EDT 4 comments Main Team Arrival member's family recipe. We were joined at the picnic by our partners from Khrunichev, who all seemed to very much enjoy the taste of the American summertime meal. It was also a relaxing way to meet and greet our customer, the SC manufacturers, and other launch campaign partners. Although the atmosphere was relaxed, there was a lot of excitement in the air as everyone knew that in just a few hours, the Antonov would arrive and deliver the SC. Time for the real fun to begin! While the early team spent our first days in Baikonur preparing for the spacecraft arrival, the main team personnel were hopping their transatlantic flights to join us. After a night in Moscow (no fireworks for them) and an early wake-up to catch their flight, the main team arrived in Baikonur right on schedule. To welcome them, the staff at the Fili Hotel graciously arranged a barbecue, complete with cheeseburgers with all the trimmings and homemade potato salad from a team Photo: The always-gracious Fili Hotel staff at Baikonur, preparing for the barbecue. Visit the Photo Gallery for more pictures. Posted 05 June 2007 1 comments Posted By: ILS DIRECTV 10 Launch Team at 22:43, Baikonur Early Team Arrival The second ILS launch campaign of 2007 is underway. The early team set out on the 31st of May from Virginia to kick off an early summer launch of the DIRECTV 10 from Baikonur. After a long trip and a safe arrival to Moscow, we received quite a welcome! We settled in for a quick onenight stay in Moscow and met up for our usual precampaign dinner. But with an early flight to Baikonur scheduled for the next morning, and with the sun going down, it was time to call it a night. Night in Moscow at this time of year means the sun goes down somewhere around 11:00 p.m., so it was hard enough to convince our bodies to go to bed. Then, as everyone tucked in for the night, the fireworks started. No matter who we asked, there was no explanation for the display. We could only attribute it to the hospitality of http://admin.ilslaunch.com/blog/ (17 of 17)8/6/2007 10:21:35 AM the Russians as they welcomed the American launch team back for another campaign. After breakfast and a very uneventful flight, the early team arrived safe and sound in Baikonur. What a difference a few months can make! Our clothing changed from March's arrival in heavy coats, boots and hats to shorts and sandals in June. Photo: ILS Launch Ops Manager, enjoying some beautiful Baikonur arrival weather! Visit the Photo Gallery for more pictures. Posted 04 June 2007 Posted By: ILS DIRECTV 10 Launch Team at 13:35, Baikonur 8 comments Welcome to the DIRECTV 10 Blog! We are excited to kick off another ILS launch campaign blog, this time featuring the launch of DIRECTV 10 on the enhanced Proton Breeze M. The early team has arrived safely in Baikonur, ready to get to work on this much anticipated launch. Boeing, the satellite manufacturer, performed additional testing on the spacecraft in the satellite manufacturing facility. The tests are complete and the planned launch date is now 7 July at Baikonur (6 July in the U.S.). Photo: Artist's rendering of the DIRECTV 10 satellite. Visit the Photo Gallery for more pictures. Posted 04 June 2007 Posted By: ILS Communications Team at 10:34, EDT 0 comments
SIX MORE PhD SCHOLARS PRODUCED BY UAF On the recommendations of external examiners and after fulfilling all the requirements, Muhammad Jawad Saleem S/o Muhammad Tahir Saleem, Reg. No. 2010-ag-545, Department of Entomology, Faculty of Agriculture, Muhammad Abu Bakar Saddique S/o Haq Nawaz, Reg. No. 2007-ag-2192, Department of Plant Breeding and Genetics, Faculty of Agriculture, Kamran Ikram S/o Ikram Ul Haq, Reg. No. 2006-ag-2115, Department of Farm Machinery and Power, Faculty of Agricultural Engineering and Technology has, Anisa Naeem D/o Naeem Ahmed, Reg. No. 2006-ag-1529, Centre of Agricultural Biochemistry and Biotechnology, Faculty of Agriculture, Saima Afzal D/o Muhammad Afzal, Reg. No. 97-ag-608, Department of Rural Sociology, Faculty of Social Sciences, Aziz Ullah S/o Abdul Jabbar, Reg. No. 2010-ag830, Department of Plant Breeding and Genetics, Faculty of Agriculture have passed their final examination for the degree of Doctor of Philosophy (2018). The Vice Chancellor is pleased to sanction their admissions to the degree of Doctor of Philosophy (2018). The titles of their thesis are "Geographic variation of Helicoverpa armigera (Hubner) (Lepidoptera: Noctuidae) susceptibility to cry toxins in Bt cotton, in Punjab Pakistan", "Enhancing drought tolerance in rice through activation of selfdefense genes by eco-contributors", "Design modification and performance evaluation of small scale sugarcane stripping machine", "Social history, genetic diversity and origin of date palm in Blochistan", "Determinants and policy implications of women entrepreneurship in Punjab (Pakistan)", "Genetics of drought tolerance indices in Gossypium hirsutum L.)" respectively. Now the PhD club swells up to 1678. SITUATION VACANT Applications are invited for recruitment as "Student Researcher" from M.Sc. (Hons) (Agri. Economics/ERE/Development Economic/Livestock Management) students in the USPCAS-AFS funded project entitled "Position/Policy Paper on Cattle Markets in Punjab" for a period of five months at a consolidated pay of Rs. 20,000 per month. The applications along with attested copies of educational/personal documents should reach in the office of Dr. Muhammad Amjed Iqbal, Co-Principal Investigator, Assistant Professor, Institute of Agricultural and Resource Economics, UAF within 15 days after the publication of this notice. Applications received after due date will not be entertained. APPOINTMENT IN THE RESEARCH PROJECTS It is directed by the ECP, refer to letter No. E&A (Agri.) 6-2/2018 dated 26-03-2018 received through Government of the Punjab, Agriculture Department that as per instructions no appointment can be made in any project till BAN is lifted. Therefore, all Principal Investigators/Project Directors Project Managers etc are advised to not make process for any kind of appointment in the research project. This is issued with approval of the Vice Chancellor. NOTIFICATION As provided under the General Instruction approved by the GSRB, the date for submission of final thesis for Spring Semester, 2017-18 is extended upto 14-06-2018 for those students who got scrutinized their semifinal theses from the office of the Director Graduate Studies. PLACEMENT OF PhD THESIS FOR PEER REVIEW 1. PhD thesis of Miss Sundas Aslam, Regd. No. 2009-ag-1423 will be placed in the office of the Chairman, Department of Botany on 13-06-2018 for one week. The title of his thesis is "Morphoanatomical and Eco-physiological studies of genus Carex from the Punjab". 2. PhD thesis of Miss Saher Mumtaz, Regd. No. 2013-ag-61, will be placed in the office of the Chairman, Department of Botany on 13-06-2018 for one week. The title of his thesis is "Soil-plant relationship in family Cyperaceae from different ecological regions of the Punjab". 3. Mr. Tariq Javaid, Regd. No. 2007-ag-2503, PhD student of the Department of Plant Breeding and Genetics will place his PhD thesis entitled "Inheritance pattern of forage yield and quality attributing traits in Alfalfa (Medicago sativa L.)" for peer review in the Library, Department of Plant Breeding and Genetics from 11-06-2018 for one week. The faculty and the students are invited to peruse the thesis for any correction and improvement please. 4. PhD thesis of Mr. Muhammad Irfan Sohail, Regd. No. 2005-ag-1485 will be placed in the office of the Director, Institute of Soil and Environmental Sciences, UAF for one week prior to its submission for foreign evaluation from 12-06-2018 to 22-06-2018. The title of his thesis is "Effectiveness of silicon sources for safe food production from cadmium contaminated soils". The faculty and the students are invited to peruse the thesis for any suggestion/corrections. The suggestion received if in order will be incorporated through the supervisory committee. All the staff members and students are welcome to read/consult the thesis. 5. PhD thesis of Miss Sobia Kanwal, Regd. No. 2013-ag-584, entitled "Impact of water Pollution on the existence of soil macro-fauna among cauliflower (Brassica oleracea L. var. hotrylis) and tomato (Solanum Lycopersicum L.) fields." will be placed in the office of the Chairman, Department of Zoology, Wildlife & Fisheries for one week i.e. from 21-06-2018 to 27-06-2018. The faculty and the students are invited to review the thesis for positive criticism and suggestions. PhD THESIS/SYNOPSIS DEFENSE 1. Mr. Muhammad Wasim Haider, Regd. No. 2009-ag-587, PhD student, Institute of Horticultural Sciences will defend his PhD thesis at University level in the Institute of Horticultural Sciences, at DLC-2, UAF on 27-06-2018 on 09:00 am. The title of his thesis is "Management strategies for breaking tuber dormancy in potato (Solanum tuberosum L.)". 2. Mr. Atif Ali, Regd. No. 2011-ag-3375, PhD student from the Department of Forestry and Range Management has successfully defended his PhD synopsis at University level on 10-05-2018. The title of his synopsis was "Development of mutation breeding strategies for the selection of phenotypically superior Prosopis genotypes". 3. Mr. M. Faizan Anjum Rafiq, Regd. No. 2010-ag-2767, a PhD student, Department of Agronomy, has successfully defended his PhD synopsis on 11-05-2018. The title of his synopsis is "Optimizing adaption options for sustainable Cotton-Wheat cropping system under changing climate". 4. Miss. Rabia Zafar, Regd. No. 2013-ag-1989, a PhD student of Economics has successfully defended her synopsis on 22-05-2018 at 10:00 am in the Council Room of Faculty of Social Sciences. The title of her synopsis was "Price Mechanism of Safe Drinking Water and its Implications of Human Health in Punjab, Pakistan". 5. PhD thesis of Mr. Muhammad Sohail Akhtar, Regd. No. 2010-ag-60, entitled "Farmer's perceptions and their coping strategies regarding the impact of climate change in rice-wheat cropping system of the Punjab, Pakistan" will be placed in the office of the Chairperson, Department of Rural Sociology from 13-06-2018 to 26-06-2018 for peer review. All concerned faculty members and students are welcome to read/comments. 6. PhD thesis of Mr. Usman Zafar, Regd. No. 2003-ag-2264, entitled "Sensor-Based Application of Drip Irrigation to Enhance Crop and Water Productivity" will be placed for peer review in Chairman's office, in the Department of Irrigation & Drainage, Faculty of Agricultural Engineering & Technology from June 12, 2018 to June 22, 2018. The suggestion received will be incorporated in thesis through supervisory committee. 7. Miss Hina Afzal, Regd. No. 2014-ag-855, a PhD student of Economics has successfully defended her synopsis on 25-05-2018. The title of her synopsis was "Total Factor Productivity Growth in Major Sectors in Pakistan's Economy: An Empirical Analysis". QUOTATIONS 1. Sealed quotations are invited from the interested parties for renting out space for photocopying business in the Department of Library, UAF for the year 2018-19. Application/sealed quotations should reach in the office of the Department of Library within 7 days after the publication of this notice. The bidder will submit a bank draft of Rs. 20,000/- as mount of surety in the name of PO (Library), UAF which is refundable if quotation is not approved. If qualified bidder is not starting business according to the terms and conditions within the stipulated period the amount of surety will be forfeited in favour of UAF. Terms and conditions and other details can be seen in the office during working hours. The committee reserves the right to accept or reject any offer without assigning any reason. 2. Sealed quotations are invited for the purchase of chemicals to be used in the "Improvement of Berseen Clover Seed Quality by Managing fungal Seed Infection and Infestations with a special emphasis on stem and Root". The quotations should reach in the office of the Project Manager, PARB, P. No. 951, in the Department of Plant Pathology, within 4 days after the publication of this notice. List can be seen in the office. The estimated cost Rs. 100,000/-. 3. Sealed quotations are invited for the purchase of Chemicals to be used in the Project 954 "Integrated Management of Guava Dieback in Pakistan". The quotations should reach in the office of the Project Manager in the Institute of Horticultural Sciences, within 4 days after the publication of this notice. List can be seen in the office. The estimated cost Rs. 100,000/-. 4. Sealed quotations are invited for the purchase of Plasticware/Glassware to be used in the project entilted "Resistance Gene Analogues based Molecular identification for Dieback Disease Resistance in Shisham (Dalbergia sissoo)". The quotations should reach in the office of the Project Manager, PARB Project No. 952 in the CABB, within 4 days after the publication of this notice. List can be seen in the PM Office. The estimated cost Rs. 100,000/-. TENDER NOTICE Sealed tenders are invited from the firms/contractors registered/enlisted with the UAF for the following works at UAF on items rate/ the percentage rate circulated by the Finance Department Government of the Punjab as per PPRA rules. Last date for the purchase of tender Documents: 21-06-2018. Date of receiving and opening on 22-06-2018 at 11:00 am to 11:30 am. Tender documents can be obtained from the office of the Executive Engineer, (ECD-M) UAF against written request accompanied with attested copy of enlistment/ up to date renewal letter and fee receipt valid P.E.C license up to 31-12-2018 (If required). Authority letter on pad form of contractor/firm, identity card of contractor/managing partner of the firm, registered partnership deed with power of attorney, and on payment of prescribed tender fee into the account No. 11-9/NBP, UAF Branch. 2. Tender rate and amount should be filled in figure as well as in words and tender should be signed as per general direction in the tender documents. 3. Tempered tender or sent by post will not be entertained. 4. No conditional tender or tender without bid security @ 2% of tender cost in shape of deposit at call of any schedule bank and attested copy of registered partnership and power of attorney in case of firm will be entertained. 5. The Executive Engineer, (ECD-M) reserves the right to reject all tenders at any time prior to acceptance. The concerned contractor shall be communicated the ground of its rejection but it is not required to justify the ground of rejection.
Rubberflex Installation Guidelines I. Before you begin a Rubberflex installations… Good work habits require on-site installers to review all safety and health information available. This includes the review of: A. Material Safety Data Sheets (MSDS) B. Labels C. Specifications D. Instructions E. Other pertinent publications II. Definitions A. Grade Levels 1. Suspended—A suspended floor is one with a minimum of 18" of well ventilated air space below. 2. On Grade—An on-grade floor is one in direct contact with the ground or over a fill which is in direct contact with the ground. A slab on ground level is an example of this. 3. Below grade—A below grade floor is partially or completely below the surrounding grade level in direct contact with the ground or over a fill which is in direct contact with the ground. B. Subfloors and underlayments 1. Subfloor—A subfloor is selected for structural purposes and is the substrate for the underlayment. 2. Underlayment—The smooth surface used as the substrate for the floor covering. 3. Subfloor/underlayment combination—A surface which must meet structural requirements as well as have a smooth surface for the floor covering. III. Interior and exterior preparations A. Wood floor/subfloor preparations 1. Rubberflex installation on wood subfloors is recommended for suspended subfloors only. On grade or below grade installations will be at the discretion of the installer. 2. Subfloor panels, strip wood, board or plank-type subflooring may require covering with underlayment panels. (See Section III A.3.) 3. Wood underlayments should be structurally sound, designed for resilient flooring underlayment purposes, with a minimum thickness of 1/4". The panels should be clean, free of any dirt, wax, oil, or residue of adhesive. 4. All wood underlayments/sub-floors should be solid, well nailed at the joints, and free from movement. 5. Old wood floors to be covered should be stripped of paint or varnish; old adhesive must be removed (See caution, attachment D); or if the surface has a residue of adhesive, oil, or wax, it can be covered with an appropriate underlayment. B. Concrete floor preparation 1. The surface of a concrete subfloor should be dry, smooth, and structurally sound. It should also be free of depression, scale, or foreign deposits of any kind. 2. All concrete subfloors on or below grade level should be tested for moisture. (See section III.B.7.D) 3. Paint, varnish, oil, and wax should be entirely removed from all subfloors. (See caution, Attachment D). 4. Rough, uneven, cracked, score marked concrete floors should be cleaned and filled with an appropriate mastic or underlayment on any grade level. It is not recommended that expansion joints with elastometric fillers be covered either with underlayment or by flooring. Flooring installed across expansion joints often crack or buckle when the slabs move. 5. Dusty or chalky surfaces on a suspended concrete subfloor should be swept clean and sized with one coat of primer. A dusty concrete floor on or below grade can be a sign of alkali salts, and a moisture test should be conducted. (See Section III.B.7.D) 6. Scaly and cracked concrete may not be a good foundation for Rubberflex installation. The installer may consider applying a top coat of concrete. 7. Concrete drying/curing a. Most curing compounds also reduce the adhesion of Rubberflex flooring and they should not be used on floors intended to be covered unless they are of a kind which is known not to interfere with adhesion. It is recommended that a bond test be conducted prior to complete installation. (See Section III.B.7.D) b. Suspended concrete should be permitted to dry thoroughly with good ventilation and if possible, with heat. Rubberflex may be installed only after moisture tests prove the suspended concrete floor is sufficiently dry. (See Section III.B.7.D) c. On-grade or below-grade concrete floors should have a moisture barrier installed to protect from ground moisture. d. Bond and moisture tests are used to determine if the concrete is sufficiently dry as well as to determine the compatibility of the flooring adhesive to the concrete subfloor. Test areas should be selected adjacent to walls, columns, etc., and other light-traffic areas. Using the flooring material specified, install at least one panel using the adhesive recommended. If after 72 hours the bond material is secure, it may be concluded that the subfloor surface is dry and sufficiently clean of foreign material for satisfactory installation of Rubberflex flooring. e. Several tests for moisture are available and may be used by the contractor and/or installer. These included but are not limited to: 1. Delmhorst Moisture Test 2. Protimeter Concrete Master 3. Anhydrous Calcium Chloride Test. f. Where moisture is present, several methods for correcting this deficiency have been developed. These include but are not limited to: 1. Sodium silicates 2. Potassium silicates 3. Surface coatings 4. Vapor membranes 8. There are many available products that have been developed for use as floor fills that include cellular concretes, resin-reinforced self-leveling cement underlayments, and gypsum-based products. These are commonly recommended by the manufacturers or installers for leveling rough or uneven subfloors, or as toppings for otherwise unsuitable subfloor conditions. All recommendations and guarantees regarding their suitability and performance as underlayments for Rubberflex flooring must be the responsibility of the manufacturer and installer of the underlayment system used. It is recommended that Rubberflex flooring not be installed over gypsum based patches or underlayments that have been applied to on, or below, grade concrete or damp suspended concrete. (See Attachment C) 9. Because of joints between sections or concrete planks, this type of subfloor requires finishing with a concrete topping before Rubberflex flooring is installed. Trowelable underlayments are not satisfactory for smoothing preformed concrete subfloors. C. Existing Resilient Floors 1. Rubberflex flooring may be installed over most existing resilient flooring products providing the proper installation system is used for Rubberflex and the old resilient flooring meets the following. a. It must not be textured or embossed enough to show through the new installation. Rubberflex that is 1/4" thick tends to prohibit the mirroring effect of the pattern being covered. b. It is completely and firmly bonded. c. It was properly installed over recommended underlayments and substrates also recommended as being suitable for Rubberflex flooring. d. It must show no evidence of moisture, alkaline salts or hydrostatic pressure. e. Waxes and other finishes should be removed. f. Indentations and other finishes should be replaced or repaired. 2. If there is any doubt about the existing resilient flooring being acceptable as an underlayment, it should be covered with an appropriate wood underlayment or removed. (see Warning, Attachment D) D. Polymeric Poured (seamless) Floors 1. All seamless floors begin used as a subfloor for Rubberflex flooring must be well cured and free of any residual solvent, structurally sound, and well bonded to a concrete subfloor. Any loose or damaged areas must be completely removed and patched with an appropriate underlayment of patching compound. 2. There must be no history of moisture related problems. 3. Any "nubbly" texture should be removed by machine sanding. (see Section III.C.1.A) Do not use a skim coat of latex underlayment to smooth the surface as it will not adhere reliably to the pour-on floor. 4. Old floor finishes must be completely removed. Ensure substrate is completely dry if old finish is wet stripped. E. Metal Floors If Rubberflex flooring is to be installed on or over metal, a bond test should be conducted prior to complete installation or contact Centaur Floor Systems for additional information and recommendations. F. Ceramic Tile, Terrazzo and Marble 1. Rubberflex flooring may be installed over ceramic tile, terrazzo, or marble subfloors above, on or below grade. They should be firmly bonded to a structurally sound substrate. 2. The floor must be cleaned of all paint, varnish, oil, wax and finishes. (see Caution, Attachment D) Glazed or very smooth surfaces should be abraded and badly fitted joints or cracks should be repaired. Badly worn floors or floors with low places should be repaired and/or leveled with an appropriate underlayment prior to installation. IV. Layout, Design and Installation A. General Specifications - Installation Note: For all Rubberflex sheet flooring installations, normal resilient sheet flooring product installation practices should be followed. A staggered-joint method for layout and installation should be employed whenever practical. The flooring will follow the contour of the floor to be covered. The smoother the substrate, the better the finished floor. 1. Installation should not begin until the work of all other trades has been completed and the area cleared of extraneous materials. If the job requirements are such that the floor must be installed before other trades have completed their work, the installed flooring should be covered with a suitable protective covering. 2. For interior installation — all rooms, Rubberflex flooring and adhesive should be maintained at a minimum temperature of 70º F (21.11C) for at least 24 hours before, during and 24 hours after installation. 3. For fully adhered installation—spread adhesive evenly and at the rate of coverage recommended by the adhesive manufacturer. Weights, such as sand bags, may have to be used on the edges, corners or seams of fully adhered installations while the adhesive cures. B. Rubberflex Sheet Flooring 1. Rubberflex sheet flooring may be installed in a loose lay format. Loose lay applications indoors are based on installer's recommendations and the end user's requirements. All Rubberflex flooring to relax fully if rolled for shipment. Reverse roll and allow to relax fully in a warm environment prior to installation is recommended. 2. Fully adhered indoor installation may use a two-part epoxy or an adhesive that has been tested and recommended to be used with Rubberflex flooring. (see Attachment A). The installer should perform, at a minimum, a bond test in the area of the flooring installation to ensure the adhesive selected will perform adequately under those conditions. 3. Fully adhered exterior installations requires the use of an approved two-part epoxy. (see Attachment A) The two-part Epoxy should be mixed and applied according to the adhesive manufacturer's recommendations and guidelines. allow sufficient time for installation to cure properly (see adhesive manufacturer's recommendations) prior to allowing foot traffic. 4. For loose lay exterior installations, the installer should consult with Centaur Floor systems for installation recommendations and specific guidelines prior to installing Rubberflex flooring. 5. Rubberflex flooring can be field cut utilizing a razor knife and a straight edge. Use caution whenever using razor knives or other similar cutting devices to prevent accidental injury. 6. Reducing strips, edge guards, and corner strips, manufactured from metal, vinyl, or rubber are approved and may be used at the discretion of the installer. 7. Game lines may be painted directly onto Rubberflex flooring using an appropriate game line paint for those purposes. For interior installations, a sealer/finish should be applied as soon as the game line paint has sufficiently dried. 8. To achieve tight seams, certain situations may dictate that it is necessary to trim the sides and/or ends or Rubberflex. when trimming Rubberflex, it is recommended that 1/8" thick flooring be double cut. 9. After adhesive and Rubberflex is in place, it is recommended that the entire installation be rolled using a 100 pound (45.36kg) flooring roller or a suitable substitute to embed the floor in the adhesive and eliminate trapped air. Weights, such as sand bags, may have to be used on the edges, corners, or seams of fully adhered installations while the adhesive cures. To ensure Rubberflex flooring makes contact with adhesive along walls, door casing, et., press firmly in place with a hand roller or with hand pressure and a cloth. It may be necessary to roll fully adhered Rubberflex installations more than once. when using slow setting adhesives such as epoxies, it may be necessary to roll the installation a second time with a 100 pound flooring roller within 2-4 hours after the initial rolling has been completed and before final adhesive set. This will help to ensure an even, consistent spread of adhesive and provide maximum bond. 10. Care should be taken when laying Rubberflex sheets onto the adhesive. Place edge next to the adjacent sheet first, taking care not to drag the sheet across the adhesive. Most adhesives (when curing) have a memory which may cause the seam to open up during the adhesive curing process. C. Rubberflex Tiles 1. Rubberflex tiles for interior use can be installed as a loose lay application. for exterior use, tiles should be fully adhered using a two-part epoxy adhesive. (See Attachment A) Attachment A Adhesive Product Suggestions The following adhesives have been tested and found acceptable for use with Rubberflex flooring. If these particular brand products are not available in your area, your local flooring distributor should be able to make suitable substitute recommendations. A bond test should be performed prior to installation in all cases! Notice: It is important for you to become comfortable with whatever adhesive you choose for a particular job. All adhesives should first be tested by the installer to ensure it will be compatible and will work for that particular purpose and condition. The performance and guarantee of the products used in preparation, testing, installation and maintenance of Rubberflex, during and after installation, remain with the manufacturer of said product and not Centaur Floor Systems. ``` MapeI Ultra/Bond G12 (2 part Epoxy) 708-364-4470 (USA) 514-662-1212 (CAN) ``` Chicago Adhesives Products Co. Chapco 150 (2 part Epoxy) 800-621-0220 Canadian Chemical Coatings Syntac 3405 (2 part Epoxy) Syntac 5762 (2 part Polyurethane) 514-692-8255 Synthetic Surfaces Nordot #77F Adhesive (2 part Epoxy) Nordot #107K Adhesive (2 part Epoxy, fast set) The following adhesives may only be used for interior installations and where moisture is not present. Interior Adhesive Guidelines * Latex or acrylic-based rubber adhesive * Air curing * Water resistant characteristics * Plasticizer resistant * Clear-thin spread or release-type adhesives are not recommended Advanced Adhesive Technology AAT-1161 Universal Adhesive-Water Based) (with or without cross linker) 800-228-4583 Para-Chem Parabound M287 (Urethane/synthetic latex) Fast setting latex adhesive) 800-825-4583 Dap Inc. Durabond D-400 (Latex) 513-667-4461 Chicago Adhesives Products Co. Chapco 299 (Premium Vinyl Tile Adhesive) (Synthetic Acrylic Latex) 800-621-0220 Attachment B Sealer/Finish Product Suggestions—Interior use only The following sealer/finishes have been tested and found acceptable for use with Rubberflex. You may contact these manufacturers for distributor locations nearest you. They will also assist you with technical information and instructions for cleaning and maintaining their products. Product literature, MSDS, and brochure are also available by calling the number listed for that manufacturer. It is recommended that the sealer/finish selected be tested prior to applying to ensure product meets with finished installation requirements. The performance and guarantee of the products used in preparation, testing and installation and maintenance of Rubberflex, during and after installation remain with the manufacturer of said product and not with Centaur Floor Systems. Attachment C Underlayment, Patch and leveling Compound Manufacturers The following list of manufacturers and their products are provided for information purposes only. Ardex Pittsburgh, PA 412-264-4240 Self-leveling underlayments, patch, toppings-cementitious. Donsal Charlotte, NC 800-334-0784 Polymer modified cement resurfacing compound, floor underlayment, vinyl patch. Dependable Rocky River, OH 800-227-3434 Latex underlayment, polymer/Portland type underlayments, cementitious/gypsum patch. Gyp-crete Hamel, MN 800-356-7887 Cementitious underlayments. Hacker Industries Newport Beach, CA Gypsum concrete underlayments Quikrete Atlanta, GA 404-634-9100 Self-leveling floor resurfacer, cementitious/special additives. 800-642-3455 Attachment D Cautions and Warnings WARNING A. Flooring that contains asbestos 1. Do not sand, dry scrape, bead blast or mechanically pulverize existing flooring, backing or lining felt. These products may contain asbestos fibers that are not readily identifiable. Avoid crating dust. Inhalation of asbestos dust may cause asbestosis or other serious bodily harm. Smoking greatly increases the risk of serious bodily hard. 2. Numerous products, devices, and techniques have been recently introduced and/or recommended for the removal of resilient floor coverings. Before utilizing any work practice for resilient floor covering removal, it should be determined if the work practice meets all applicable regulations or standards including those of the Occupational Safety and Health Administration (OSHA) for occupational exposure to asbestos. B. Adhesives containing asbestos 1. Some in-place asphaltic adhesives may contain asbestos fibers that are not readily identifiable. In the removal of asphaltic "cutback" adhesives, do not use power devices which can create dust. The inhalation of asbestos dust may cause asbestosis or other serious bodily hard. Smoking greatly increases the risk of serious injury. Assume that all in-place asphaltic "cutback" adhesive contain asbestos. 2. Numerous products, devices, and techniques have been recently introduced and/or recommended for covering and/or removal or residual asphaltic "cutback" adhesives. Before utilizing any work practice for covering or removal of residual asphaltic "cutback" adhesives, it should be determined if the work practice meets all applicable regulations or standards including those of the Occupational Safety and Health Administration (OSHA) for occupational exposure to asbestos. CAUTION Certain paints may contain lead. Exposure to excessive amounts of lead dust presents a health hazard. Refer to applicable federal, state and local laws concerning lead paint abatement.
International Journal of Computer Engineering and Information Technology VOL. 8, NO. 11, November 2016, 213–219 Available online at: www.ijceit.org E-ISSN 2412-8856 (Online) Application of Text Mining for Faster Weather Forecasting Suvendra Kumar Jayasingh 1 , Jibendu Kumar Mantri 2 and P Gahan 3 1 Biju Patnaik University of Technology 2 North Orissa University 3 Sambalpur University 1 email@example.com, 2 firstname.lastname@example.org, 3 email@example.com ABSTRACT Weather forecasting is a challenging problem in predicting the state of the climate for a future time at a given location. Weather is the state of atmosphere which is measured based on a scale of hot or cold, dry or wet, storm or calm and cloudy or clear. Human kind has tried a lot since ancient times to anticipate the future climate. It is why climate change prediction has become a very important task to the scientists and researchers of many countries. The weather is a continuous, data-intensive, multi dimensional, dynamic and chaotic process [6] and these characteristics made the weather forecasting a challenging job in the world. In order to make accurate prediction, many scientists have tried to forecast the meteorological behaviors. The objective of the research is to predict more accurately the meteorological characteristics. This article gives importance on using the fuzzy field and Natural Language Generation (NLG) that will make the weather prediction in a better and faster manner. Keywords: Weather Forecasting, J48 Decision Tree, Text Mining, Multiple Linear Regression (MLR), Root Mean Square Error (RMSE), Waikato Environment for Knowledge Analysis (WEKA), Natural Language Generation (NLG), Support Vector Machine(SVM). 1. INTRODUCTION Weather forecasting is a very important and useful area in the human day to day life. Forecasting weather for future is very necessary as human plans for the agriculture and many industries which are mostly dependent on weather conditions. For defence, shipping, aero navigations and mountaining purpose, we need to predict the weather conditions. Also to get prepared for forthcoming disasters and natural calamities, the abrupt change in climate condition needs to be forecasted. The weather forecasting is done using the data collected from satellites. In this paper, the weather parameters like Average Temperature, Average Dew, Average Humidity, Average Air Pressure and Average wind speed of Cuttack city in Odisha state of India was taken to forecast the rain fall status of that place. We have drawn the decision tree based upon the J48 algorithm by using the numeric data for the weather parameters collected. Then the numeric data was converted to linguistic of textual form. Again the J48 Decision tree was drawn. A comparison is made based on the Root Mean Squared Error (RMSE). This paper uses the Waikato Environment for Knowledge Analysis (WEKA) to design the decision tree for numeric and textual data after which the comparison concludes that the text mining for decision tree model design gives a faster and better way of predicting the weather. The Support Vector Machine was developed by taking the weather data of 365 days for training the model. Then the model was tested by a set of test data. 2. J48 DECISION TREE Weka contains a data mining tool named J48 decision tree which is the implementation of C4.5 algorithm coded in Java. Ross Quinlan developed a decision tree by using C4.5 algorithm. This C4.5 is the extended version of ID3 algorithm. The decision tree generated by C4.5 is used for classification. It decides how the parameters behave to predict the nature of one dependent variable. In other words, the target variables are predicted by the algorithms designed by decision tree. 3. TEXT MINING Text mining refers to text data mining which derives useful information from a database comprising of text data. The numeric data analysis which is generally used in data mining gives us useful information in data mining. But our proposed model is designed to use the database in textual form so that in data mining the text data will be used for prediction of useful information by drawing the decision tree. After minute comparison between the data mining based on numeric data and text data, it is found that the decision tree built by using textual data gives quicker prediction than the decision tree built based upon the numeric data. 4. SUPPORT VECTOR MACHINE Support Vector Machine is basically built upon the statistical learning theory. It is used to map the target data X into some feature space F with high dimension with a non linear mapping function to construct the non linear hyper plane [9]. In this article, the Support Vector Machine is uses the weather parameters like temperature, dew, humidity, air pressure and wind speed to predict the weather conditions like rain, no rain, Fog, Thunder Storm etc. 5. RELATED WORK Hayati Mohsen and Mohebi Zahra have designed a model for predicting weather parameters before one day [1]. Zan Thet Chaw and Naing Thin Thu of University of Computer Studies have worked on Hidden Markov Models(HMMs) approach for rainfall forecasting out of the time series data during Myanmar Rainy Season [2]. Chattopadhyay Suarjit, Department of Mathematics, Techno Model School has predicted average summer – monsoon rainfall by proposing an artificial neural network model based weather prediction model [3]. Brian A. Smith, Ronald W.MClendo and Gerrit Hoogenboom have used Artificial Neural Network (ANN) for predicting air temperature by increasing the number of observations [4]. Oyediran O. F. and Adeyemo A. B. have made a comparison between Adaptive Neuro Fuzzy Inference System(ANFIS) and Multi Layered Perceptron(MLP) Artificial Nueral Network Models for analysing meterological data. The performance of the two models were evaluated and found that the ANFIS performed better than MLP ANN with lower error of prediction. 6. PROPOSED MODEL We propose a model for prediction of rainfall at particular place i.e. Cuttack city of Odisha in India by taking the time series data of one year. The data of one year was used to train the model and then the data of one month, say January, was used to test the model. It is how the prediction of weather could be done. The data was collected from the website https://www.wunderground.com. The five weather parameters used for our model are Temperature, Dew, Humidity, Air Pressure and Wind Speed. The data present in the web site are numeric values. The J48 algorithm was used to draw the decision tree for predicting the rain fall. Then the data of the weather parameters are converted from numeric to linguistic form i.e. into text format [7]. Then the J48 algorithm was used to draw the decision tree for predicting the rain fall. The different statistical parameters were compared after taking the Decision tree output from the numeric data and textual data. It was found that the later was quicker and better in predicting the rain fall. 7. DATA PRE-PROCESSING The data for the different weather parameters like temperature, dew, humidity, air pressure and wind speed collected are numeric in nature. With the context of our proposed model, the numeric data for the weather parameters are described in more natural and flexible summary. The numeric data is translated into flexible linguistic [8] data which is in the form of Natural Language. The entire range of present temperature is divided into five parts, namely, „Very Low‟, „Low‟, „Medium‟, „High‟ and „Very High‟. The detail description of the different weather parameters for conversion from numeric to text are mentioned below. Table 1: The data summarization during conversion of numeric data too text data \| Temperature(⁰C) \| \| \| \| \|---\|---\|---\|---\| \| Numeric Range \| \| Text Value \| Numeric Range \| \| <=20 \| \| Very Low \| <=15 \| \| 21-25 \| \| Low \| 16-20 \| \| 26-30 \| \| Medium \| 21-25 \| \| 31- 35 \| \| High \| 25-30 \| \| >35 \| \| Very High \| >30 \| \| Humidity(%) \| \| \| \| \| Numeric Range \| Text Value \| \| Numeric Range \| \| <=60 \| Very Low \| \| <=1000 \| \| 61-70 \| Low \| \| 1001-1005 \| \| 71-80 \| Medium \| \| 1006-1010 \| \| 81-90 \| High \| \| 1011-1015 \| \| >90 \| Very High \| \| >1015 \| \| <=5 \| Very Low \| \|---\|---\| \| 6-10 \| Low \| \| 11-15 \| Medium \| \| 16-20 \| High \| \| >20 \| Very High \| Table 2: Sample text data of 15 days after conversion from numeric data to text data \| Dat e \| temp _ avg \| dew_ avg \| humidit y_ avg \| press _ avg \| wind_ avg \| Even ts \| \|---\|---\|---\|---\|---\|---\|---\| \| 01- 01- 201 5 \| Very Low \| Low \| Very High \| High \| High \| Rain \| \| 02- 01- 201 5 \| Low \| Mediu m \| High \| High \| Mediu m \| Rain \| \| 03- 01- 201 5 \| Low \| Mediu m \| High \| High \| Very Low \| No Rain \| 8. ALGORITHM The algorithm used to translate the numeric data to text equivalent to enable us for text mining of the weather forecasting is as follows: if (temp_numeric<=20) set temp_text=very low else if (temp_numeric>20 and temp_numeric<=25) set temp_text=low else if (temp_numeric>25 and temp_numeric<=30) set temp_text=medium else if (temp_numeric>30 and temp_numeric<=35) set temp_text=high else set temp_text=very high if (dew_numeric<=15) set dew_text=very low else if (dew_numeric >15 and dew_numeric <=20) set dew_text =low else if (dew_numeric >20 and dew_numeric <=25) set dew_text =medium else if (dew_numeric >25 and dew_numeric <=30) set dew_text =high else set dew_text =very high if (humidity_numeric<=60) set humidity _text=very low else if (humidity_numeric>60 and humidity_numeric<=70) set humidity_text=low else if (humidity_numeric>70 and humidity_numeric<=80) set humidity_text=medium else if (humidity_numeric>80 and humidity_numeric<=90) set humidity_text=high else set humidity_text=very high if (pressure_numeric<=1000) set pressure_text=very low else if (pressure_numeric>1000 and pressure_numeric<=1005) set pressure_text=low else if (pressure_numeric>1005 and pressure_numeric<=1010) set pressure_text=medium else if (pressure_numeric>1010 and pressure_numeric<=1015) set pressure_text=high else set pressure_text=very high if (windflow_numeric<=5) set windflow_text=very low else if (windflow_numeric >5 and windflow_numeric <=10) set windflow_text =low else if (windflow_numeric >10 and windflow_numeric <=15) set windflow_text =medium else if (windflow_numeric >15 and windflow_numeric <=20) set windflow_text =high else set windflow_text =very high The application of above mentioned algorithm converts the numeric data into text equivalent. 9. EXPERIMENTAL RESULTS The J48 algorithms was used to draw the decision tree for predicting the rain fall based upon the weather parameters present in numeric form. The decision tree generated by WEKA using J48 classifier for training set is shown below. The statistical parameters in the decision tree generated from numeric data for training is as follows. Table 3: Statistical Parameters Of Numeric Data Used For Training The Model \| Sl. No. \| Parameters \| Value \| \|---\|---\|---\| \| 1 \| Number of leaves \| 21 \| \| 2 \| Size of Tree \| 41 \| \| 3 \| Time taken to build the model \| 0.08 sec \| \| 4 \| Correctly classified Instances \| 275(75.3425%) \| \| 5 \| Incorrectly Classified Instances \| 90 (24.6575 %) \| \| 6 \| Kappa statistic \| 0.503 \| \| 7 \| Mean absolute error \| 0.1123 \| \| 8 \| Root mean squared error \| 0.2369 \| \| 9 \| Relative absolute error \| 67.5193% \| \| 10 \| Root relative squared error \| 82.5383% \| After the model was trained with the data of one year (365 days), the test data of one month (31 days) was fed to the model. After testing, the following parameters were found. Table 4: Statistical Parameters Of Numeric Data Used For Testing The Model \| Sl. No. \| Parameters \| Value \| \|---\|---\|---\| \| 1 \| Number of leaves \| 21 \| \| 2 \| Size of Tree \| 41 \| \| 3 \| Time taken to build the model \| 0.05 sec \| \| 4 \| Correctly classified Instances \| 17(54.8387%) \| \| 5 \| Incorrectly Classified Instances \| 14 (45.1613 %) \| \| 6 \| Kappa statistic \| 0.503 \| \| 7 \| Mean absolute error \| 0.1563 \| \| 8 \| Root mean squared error \| 0.3192 \| \| 9 \| Relative absolute error \| 85.4655% \| \| 10 \| Root relative squared error \| 101.4223% \| \| 11 \| Total Number of Instances \| 31 \| The statistical parameters in the decision tree generated from text data for training is as follows. Table 5: Statistical parameters of text data used for training the model \| 1 \| Number of leaves \| \|---\|---\| \| 2 \| Size of Tree \| \| 3 \| Time taken to build the model \| \| 4 \| Correctly classified Instances \| \| 5 \| Incorrectly Classified Instances \| \| 6 \| Kappa statistic \| \| 7 \| Mean absolute error \| \| 8 \| Root mean squared error \| \| 9 \| Relative absolute error \| \| 10 \| Root relative squared error \| \| 11 \| Total Number of Instances \| After the model was trained with the text data of one year (365 days), the test data of one month (31 days) was fed to the model. After testing, the following parameters were found. Table 6: Statistical Parameters of Text Data Used For Testing The Model The decision tree generated by WEKA using J48 classifier for training set of text data is shown below. \| Sl. No. \| Parameters \| \|---\|---\| \| 1 \| Number of leaves \| \| 2 \| Size of Tree \| \| 3 \| Time taken to build the model \| \| 4 \| Correctly classified Instances \| \| 5 \| Incorrectly Classified Instances \| \| 6 \| Kappa statistic \| \| 7 \| Mean absolute error \| \| 8 \| Root mean squared error \| \| 9 \| Relative absolute error \| \|---\|---\| \| 10 \| Root relative squared error \| \| 11 \| Total Number of Instances \| The numeric data collected with the weather parameters like temperature, dew, humidity, air pressure and wind speed are divided into 2 sets. One is training set another test set. The training set contains data of one year i.e. 365 days. The training set of data is fed to the model using J48 decision tree and Support Vector machine (SVM). The statistical parameters in SVM generated from numeric data for training is as follows. Table 7: Statistical Parameters Of Numeric Data Used For Training The SVM Model \| Sl. No. \| Parameters \| \|---\|---\| \| 4 \| Correctly classified Instances \| \| 5 \| Incorrectly Classified Instances \| \| 6 \| Kappa statistic \| \| 7 \| Mean absolute error \| \| 8 \| Root mean squared error \| \| 9 \| Relative absolute error \| \| 10 \| Root relative squared error \| \| 11 \| Total Number of Instances \| After the SVM model was trained with the data of one year (365 days), the test data of one month (31 days) was fed to the model. After testing, the following parameters were found. Table 8: Statistical parameters of numeric data used for testing the SVM model \| Sl. No. \| Parameters \| Value \| \|---\|---\|---\| \| 4 \| Correctly classified Instances \| 17(54.8387%) \| \| 5 \| Incorrectly Classified Instances \| 14 (45.1613 %) \| \| 6 \| Kappa statistic \| 0.3288 \| \| 7 \| Mean absolute error \| 0.2115 \| \| 8 \| Root mean squared error \| 0.3133 \| \| 9 \| Relative absolute error \| 115.6636% \| \| 10 \| Root relative squared error \| 99.5624% \| \| 11 \| Total Number of Instances \| 31 \| 10. ANALYSIS After careful study of both the models, it was experimentally found that the decision tree generated by taking the text data is smaller in size than that generated using the numeric data. In case of text data, the size of the tree is 10 where as in case of numeric data, it is 41 for doing the same prediction of rain. Our ultimate objective is to predict the status of the rain such as „Rain‟, „No Rain‟, „Fog‟, „Thunderstorm‟, „Thunderstorm, Tornado‟, „Rain, Thunderstorm‟ or „Fog, Thunderstorm‟. Also, the number of leaves where the decision of the aforesaid events of rain is decided is 21 in case of numeric data whereas it is only 8 in case of text data. So, it is observed by taking many such sample data and test data that the decision obtained by taking the text data is faster and better than the numeric data. Table IX shows the parameter comparison between Predictions using Numeric and Text Data. Table 9: Parameter comparison between Predictions using Numeric and text Data \| Parameter \| Prediction using Numeric Data \| Prediction using Text Data \| \|---\|---\|---\| \| Number of leaves \| 21 \| 8 \| \| Size of Tree \| 41 \| 10 \| \| Time taken to build the model \| 0.08 sec \| 0.08 sec \| \| Correctly classified Instances \| 275(75.3425%) \| 248(67.9452%) \| \| Incorrectly Classified Instances \| 90 (24.6575 %) \| 117(32.0548 %) \| \| Kappa statistic \| 0.503 \| 0.3614 \| \| Mean absolute error \| 0.1123 \| 0.1326 \| \| Root mean squared error \| 0.2369 \| 0.2575 \| \| Relative absolute error \| 67.5193% \| 79.7444% \| \| Root relative squared error \| 82.5383% \| 89.6998% \| \| Total Number of Instances \| 365 \| 365 \| If we compare between the parameters obtained by using J48 decision tree and SVM while testing, it gives the following analytical outcome. Table 10: Parameter comparison between Predictions using J48 Decision Tree and SVM \| Sl. No. \| Parameters \| J48 Decision Tree \| SVM \| \|---\|---\|---\|---\| \| 4 \| Correctly classified Instances \| 17(54.8387%) \| 17(54.8387%) \| \| 5 \| Incorrectly Classified Instances \| 14 (45.1613%) \| 14 (45.1613%) \| \| 6 \| Kappa statistic \| 0.503 \| 0.3288 \| \| 7 \| Mean absolute error(MAE) \| 0.1563 \| 0.2115 \| \| 8 \| Root mean squared error(RMSE) \| 0.3192 \| 0.3133 \| \| 9 \| Relative absolute error(RAE) \| 85.4655% \| 115.6636% \| \| 10 \| Root relative squared error(RRSE) \| 101.4223% \| 99.5624% \| \| 11 \| Total Number of Instances \| 31 \| 31 \| By analyzing table X, we see that J48 decision tree gives less mean absolute error and relative absolute error than SVM. Thereby, we can conclude that the J48 decision tree gives better prediction of weather than the prediction using Support Vector Machine. 11. COMPARISON OF MODELS BASED ON THRESHOLD CURVE The models based on the numeric data of 365 days were analysed based upon the different class values like „Rain‟, „No Rain‟, „Fog‟, „Thunderstorm‟, „Thunderstorm, Tornado‟, „Rain, Thunderstorm‟ or „Fog, Thunderstorm‟ etc. The threshold curve generated for Support Vector Machine and J48 decision tree were shown below. Fig. 3. Threshold Curve in SVM for class value Rain Fig. 4. Threshold Curve in J48 for class value Rain The comparison of threshold curves between SVM and J48 signifies that the J48 classifier gives better result in predicting weather events based upon the parameters taken. 12. CONCLUSION AND PROPOSED FUTURE WORK It has been concluded that the text mining in predicting the rain fall has given promising results. It is found that the text mining gives better and quicker prediction in rain fall forecasting. This study clearly gives a picture that the text mining used in generating the J48 decision tree in weather forecasting gives result accurately as needed. When we use the support vector machine to predict the weather events and was compared with the statistical parameters obtained from predicting the same using J48 decision tree, it was remarked that later predicts better. As text mining is better than numerical data mining in case of J48 decision tree modelling, it is proposed to use text mining in J48 decision tree to obtain better and quicker weather prediction. The result obtained in the study emphasizes that text mining and further application of NLP can be used for further weather forecasting experiments. REFERENCES [1] Hayati M. And Mohebi Z.(2007), "Temperature Forecasting Based on Neural Network Approach", World Applied Sciences Journal 2 (6):613-620.ISSN 1818-4952. [2] Zan C. And Naing T. (2009), "Myanmar Rainfall forecasting using hidden Markov Model", IEEE International Advance Computing Conference. [3] Chattopadhyay S. (2006), " Multilayered feed forward Artificial Neural Network model to predict the average summer – monsoon rain fall in India", IEEE, Volume : 11, pp.:125-130. [4] Brian A. Smith, Ronald W.MClendon, Gerrit Hoogenboom, "Improving Air Temperature Prediction with Artificial Neural Networks", International Journal of Computational Intelligence , Vol.10, No.3, March, 2007. [5] Oyediran O. F., Adeyemo A. B., "Performance Evaluation of Neural Network MLP and ANFIS models for Weather Forecasting Studies", African Journal of Computing & ICT, IEEE, Vol. 6, No. 1, March 2013. [6] Dr. S. Santhosh Baboo, I. Kadar Shreef, "An efficient weather forecasting system using Artificial Neural Network", International Journal of Environmental Science & Development, W1.1, No.4, October – 2010, ISSN: 2010-0264. [7] van der Heide A., Trivino G.(2009), "Automatic generated linguistic summaries of energy consumption data". In proceedings of 9th ISDA Conference, pp. 553559. [8] Eciolaza L., Pereira Farina M., Trivino G.(2012), "Automatic linguistic reporting in driving simulation environments", Applied Soft Computing. [9] Radhika Y., Shashi M., "Atmosphereic Temperature Prediction using Support Vector machines", International Journal of Computer Theory and Engineering, Vol – 1, No -1., April, 2009.
August 8, 2011 Donald Berwick,MD, MPP Administrator Centers for Medicare&Medicaid Services Department of Health and Human Services RE:Availability of Medicare Datafor Performance Measurement Dear Dr.Berwick: The 38 undersigned organizations arefrom a collaboration of leading consumer,labor, and employer organizations committed to improving quality and affordability of health care through the use of performance information to inform consumer choice, payment, and quality improvement.We appreciate the opportunity to comment on the Availability of Medicare Data for Performance Measurement proposed rule. We strongly support making Medicare data available so that reports on provider performance can be compiled. Greater transparency of provider performance is necessary to improvethe quality, safety, and cost of health care and give consumers much needed information to make decisions. In addition, reportson provider performance give health plans and othersinformation to guide contracting, tiering, benefit design, and pay‐for‐performance programs.Other industries provide comparative information on performance to enable consumer decision‐ making and stimulate marketimprovements.Health care should be no different.In fact, in health care, there is an even greaterimperative to make useful information available because patients' lives and well‐being are at stake. Section 10332 ofthe Patient Protection and Affordable Care Act (ACA) requires CMS to share Medicare data with Qualified Entities for performance measurement and reporting on providers of services and suppliers, as long as protections ofpatient privacy and data security are in place, and the methods with which the data are used are transparent and subject to review by the public and affected providers and suppliers. In our view, however, many parts of the proposed rule will needlessly narrow access and use of Medicare data and could stifle innovation.We fear that under the proposed rule, the promise of having Medicare data available to improve quality and inform patient and clinical decisions will not be fully realized. Below,we provide comments on areas of the proposedrule that are particularly important to consumers and purchasers. As an Appendix to this letter, we provide redlined changes to the proposed rule. We believe these changes and clarifications to the proposedrule willbenefit both patientsandproviders. Permit the broadest possible use of Medicare data to achieve the greatest public benefit, while protecting patient privacy and data security.Data should be released to the maximum extent possible under the law, consistent with adequate protections for patient privacy and data security and with transparency of measurement methods.Quite properly, the law does not call on the Secretary to judge the merits of each measurement activity using the data, but rather to ensure that Qualified Entities receiving the data have shown appropriate evidence of their experience and capacity to measure and report results using such data; to protect patient privacy; and to make their methods and measurement results transparent and subject to public scrutiny.In our experience, organizations with experience in using claims data for public reporting have a good understanding of proper organizational conduct and know how to handle sensitive data. Given this, CMS should focus on penalties for the few that may be irresponsible rather than preemptively tying the hands of trustworthy entities. Qualified Entities are required to share methods, measurement results, and the underlying data, including names of patients if requested, with providers of services and suppliers that will be included in the reports, prior to making the reports public. These provisions are important to ensuring the accuracy and fairness of public reports. We believe CMS should set up mechanisms for providers and suppliers to authenticate their identity and their own ability to protect data security before receiving information on patients. In addition, Qualified Entities must be allowed to set up requirements for any providers or suppliers requesting information to provide authentication of their identity and to document their own procedures for securely receiving and protecting data so that data and names are not sent to, or accessible to, someone other than the appropriate provider or supplier. The proposed rule indicates that the Medicare claims data will be made available solely to Qualified Entities that will be using only claims data in their performance measures. However, much progress has been made in combining different data sources to produce a more comprehensive set of performance measures. Thus, it will sometimes be preferable to augment claims data with clinical data or other information to create a more dynamic database that can be drawn on to produce a more complete and accurate picture of provider performance. We strongly encourage CMS to expand the acceptable types of measures to include those that are derived from other data sources, including registries and electronic health records. We also suggest including not only physician data, but also reports that combine physician and hospital data. This is consistent with the direction of the Affordable Care Act, which encourages clinical integration and a focus on improving health outcomes. Performance measures should be responsive to these goals. Medicare data also should be available for uses that extend beyond public reporting to include incorporation in provider rewards and consumer incentive programs. The law says that Qualified Entities receiving the data must produce public reports but it does not bar them from using these reports for other purposes, such as pay‐for‐performance, and does not bar allowing other organizations or individuals to use these reports for other purposes as well. We do not believe the proposed rule says otherwise, but we are concerned it might be interpreted to limit the way Qualified Entities and others can use the results. We suggest CMS clarify that when reports are produced according to the rules, they can be used for other purposes in addition to public reporting. Additionally, there may be instances where multiple organizations are requesting data for the same region. We believe CMS should allow different Qualified Entities to produce reports on the same region. Consumers can decide which information is most useful to their particular circumstances. Finally, there are organizations that are only qualified to distribute performance reports to providers and the public. There are also organizations that are experienced at aggregating claims data and producing performance results. CMS should consider allowing organizations with the experience to produce performance results from claims data to be Qualified Entities as long as they provide aggregated results (e.g., numerators and denominators) to other qualified organizations that will distribute those results to providers and the public. Balance the need for standardization with the need forinnovation.Standardization of measures facilitates comparisons across different providers, thereby creating more useful and meaningful information. Giving preference to NQF‐endorsed measures over other measures fosters standardization and ensures a level of confidence in the measures.However, despite the strong leadership of NQF and others in developing and endorsing measures,the current portfolio of nationally endorsed measures is too limited to meet the needs of consumers. Recognizing that performance measurement is an evolving field, it is critical that this rule permit innovation and flexibility in testing and/or using non‐NQF endorsed measures. The proposed requirement for a formal comment and rule‐making process unnecessarily adds burden and costs for CMS and Qualified Entities, and can dramatically slow improvement efforts. If a Qualified Entity can show that its use of an alternative measure meets any of the tests enumerated in the law, and if the Qualified Entity can provide evidence that stakeholders appropriate to judge its usefulness have determined it to be so, CMS should allow the data to be used for such a measure. We also encourage CMS to apply the criteria inThePatient Charter for Physician Performance Measurement,Reporting and Tiering Programs(the"Patient Charter"),which is supported by a variety of stakeholders, used by many regional reporting initiatives, and incorporated into NCQA's Physician Hospital Quality Certification, in approving non‐standardized measures. Make the cost of acquiring Medicare data affordable for all Qualified Entities.The law says: "Data described in paragraph (3) shall be made available to a qualified entity under this subsection at a fee equal to the cost ofmaking such data available[emphasis added]." We are concerned that, under the proposed rule as explained in the Supplementary information, CMS' charges for providing claims data to a Qualified Entity will be prohibitively expensive for many organizations, particularly highly qualified non‐profit organizations, and that the basis for calculating the charges is not consistent with the law. The proposed rule estimates it will cost $200,000 to provide data on 2.5 million beneficiaries. That is substantially more than the current cost, from $70,000 to $107,000 as we understand it, to provide the same amount and type of data for research purposes. We believe the intent of the law is that Qualified Entities be charged only CMS' incremental cost of "making data available," which we think is properly interpreted to refer to pulling the data and shipping it. We believe the Qualified Entities cannot be expected to pick up any portion of the cost of collecting the data and assembling it into an easily usable database. Indeed, CMS very likely will have other operational reasons to do that work. And we do not think any costs CMS incurs evaluating, monitoring, or giving technical assistance to Qualified Entities are costs of "making the data available." Rather, they are a component of the government's overall responsibility for operating parts of the health care system, and as a result of having data that is legally required to be made public. We believe it is extremely important to avoid the unintended consequence of creating a pricing structure that will limit access to the data to only large, for‐profit organizations. We also believe CMS may be able to reduce the costs it has to absorb in various ways, such as, eliminating or scaling back on technical assistance expenses (organizations needing such assistance could purchase the service in the private market) and streamlining its review process (NQF‐endorsed measures that are used in the public report can be given "automatic" approval and the re‐application process can be eliminated for organizations that have a problem‐free record with their initial use of the data). Furthermore, we recommend CMS consider a sliding scale based on the tax status of the Qualified Entity (e.g., charge non‐profit organizations less). In its pricing, CMS should keep in mind that organizations conducting measurement activities are performing a function that assists CMS in carrying out its responsibility of improving quality and reducing costs in the healthcare system. Do not limit the availability of Medicare claims data to areas where the Qualified Entity has claims data from other sources.The law requires Qualified Entities include in the evaluation of the performance of providers of services and suppliers claims data from non‐Medicare sources along with Medicare claims data. However, the law does not require that the requesting Qualified Entity have these data from other sources in hand before receiving the Medicare claims data and, most importantly, does not require that the Qualified Entity have claims data from other sources for all areas where it will use Medicare claims. The ACA requirement that the Qualified Entity have claims data from other sources serves two purposes. First, having such data even for a limited geographic area provides evidence of the Qualified Entity's experience of proper use and proper protection of the privacy and security of such data. Second, having such data will enable the Qualified Entity to do tests and assess and report on the extent to which using claims data from other sources affects measurement results compared to using Medicare data alone. For example, an important area of interest is having reliable results. It is true that having non‐Medicare claims data will increase sample sizes but having such data is not necessary to reliable reporting; requiring data from other sources is at best a crude way of trying to ensure reliability. Instead, CMS should focus on factors such as minimum number of observations, measure reliability, or confidence thresholds. Thus, the presence of non‐Medicare data should not be a bright‐line test and should not be required for all regions where the Qualified Entity is requesting Medicare claims data. Requiring non‐ Medicare claims data would be especially problematic for any Qualified Entity that intends to produce a national measure, since few if any Qualified Entities will have claims data for the entire U.S. Yet a national measurement program is more likely than many regional programs to have high visibility and also to serve areas where there is limited local quality improvement leadership. Improve the efficiency of the process.Parts of the proposed rule can be streamlined for a more effective and efficient process. For example, Qualified Entities are required to re‐apply with CMS upon change in measures or prototype report. In the case of measures, the proposed rule requires Qualified Entities to send new materials to CMS at least 90 days before its intended confidential release to providers of services and suppliers. The Qualified Entity cannot proceed with the new measures without approval. We propose removing the requirement that Qualified Entities apply for approval to change measures if they are switching to a standard measure. The law allows for the reporting of standard measures and having this step in place adds unnecessary costs and potentially delays reporting results. There may be occasions when a Qualified Entity may need to change its prototype report. Following the proposed rules, the Qualified Entity would need to "send the new prototype report to CMS 90 days prior to its intended confidential release to providers of services and suppliers". CMS should remove the requirement that Qualified Entities always apply for approval of changes to their report if the changes do not substantially change the report.For substantial changes, CMS should respond to the Qualified Entity in no more than 60 days. If CMS is unable to respond in this time frame, the Qualified Entity should be allowed to continue with public reporting. Finally, we suspect certain oversight procedures will be more burdensome than beneficial. Although we support periodic auditing, we question the value and efficacy of site visits. These visits pose a large administrative cost and information can be gathered via other means. For those reasons, we recommend removing the site visit option. On behalf of the millions of Americans represented by the undersigned organizations, thank you for your efforts to improve the quality and affordability of patient care. If you have any questions, please contact either of the Consumer‐Purchaser Disclosure Project's co‐chairs, William Kramer, Executive Director for National Health Policy for Pacific Business Group on Health, or Debra Ness, President of the National Partnership for Women & Families. Sincerely, AARP American Benefits Council American Hospice Foundation The Boeing Company Center for Medical Consumers Childbirth Connection Consumers' CHECKBOOK/Center for the Study of Services Culinary Health Fund The Empowered Patient Coalition Greater Detroit Area Health Council Health Action Council Ohio HealthCare 21 Business Coalition Health Policy Corporation of Iowa Health Services Coalition HR Policy Association Indiana Employers Quality Health Alliance Iowa Health Buyers Alliance The Leapfrog Group Lehigh Valley Business Coalition on Health Care Maine Health Management Coalition Massachusetts Group Insurance Commission Mid‐Atlantic Business Group on Health Midwest Business Group on Health National Business Coalition on Health National Partnership for Women & Families New Jersey Health Care Quality Institute Niagara Health Quality Coalition Northeast Business Group on Health Pacific Business Group on Health Puget Sound Health Alliance PULSE of America Silicon Valley Employers Forum South Carolina Business Coalition on Health St. Louis Area Business Health Coalition Unite HERE Health Virginia Business Coalition on Health Wal‐mart Stores, Inc. Wyoming Business Coalition on Health Appendix Subpart G--Availability of Medicare Data for Performance Measurement Sec. 401.701 Purpose and scope. The regulations in this subpart implement section 1874(e) of the Social Security Act as it applies to the Centers for Medicare & Medicaid Services (CMS). The rules apply to Medicare data made available to qualified entities for the evaluation of the performance of providers of services and suppliers. Sec. 401.702 Definitions. (a) Qualified entity. A qualified entity is defined as a public or private entity that: (1) Is qualified, as determined by the Secretary, to use claims data to evaluate the performance of providers of services and suppliers on measures of quality, efficiency, effectiveness, and resource use, and (2) Agrees to meet the requirements described in Section 1874(e) of the Social Security Act and meets the requirements at Sec. Sec. 401.703 through 401.710. (b) Provider of services. A provider of services under this subpart is defined in the same manner as the identical term at section 1861(u) of the Social Security Act. (c) Supplier. A supplier under this subpart is defined in the same manner as the identical term at section 1861(d) of the Social Security Act. (d) Claims. Claims are itemized billing statements from providers of services and suppliers that, except in the context of Part D drug event date, request reimbursement for a list of services and supplies that were provided to a Medicare beneficiary in the Medicare fee-for-service context, or to a participant in other insurance or entitlement program contexts. In the Medicare program, claims files are available for each institutional (inpatient, outpatient, skilled nursing facility, hospice, or home health agency) and non-institutional (physician and durable medical equipment providers and suppliers) claim type as well as Medicare Part D (Prescription Drug) Event data. (e) Standardized data extract. For purposes of this subpart, the standardized data extract is the subset of Medicare claims data that the Secretary would make available to qualified entities under this subpart. (f) Beneficiary identifiable data. For the purposes of this subpart, beneficiary identifiable data is any data that contains the beneficiary name or beneficiary name and any other direct identifying factors, including, but not limited to, race, sex, age, or address. (g) Encrypted data. For the purposes of this subpart, encrypted data is any data that does not contain the beneficiary name or any other direct identifying factors, but does include a unique beneficiary identifier that allows for the linking of claims without divulging the direct identifier of the beneficiary. (h) Claims data from other sources. For purposes of this subpart, claims data from other sources means provider- or supplier-identified claims data that an entity has from its own operations or from providers of services, suppliers, private payers, all-payer databases, or other sources. An entity's having such data is relevant, along with other evidence of experience, with regard to its organization, operations, and governance. (i) Cost of CMS making the data available. For purposes of this subpart, cost of making the data available means the incremental cost CMS incurs to provide the data to the requesting entity and does not include any cost CMS may incur in collecting or processing the data into a database from which the data can be drawn for release nor any cost CMS may incur screening requesting entities of monitoring the use of the data. Sec. 401.703 Eligibility criteria for qualified entities. (a) Eligibility criteria: To be eligible to apply to receive data as a qualified entity under this section, an applicant generally must demonstrate expertise and sustained experience, defined as three or more years, to the Secretary's satisfaction in the following three areas, as applicable and appropriate to the proposed use : (1) Organizational and governance criteria, including, to the extent necessary for the types of measurement the entity intends to carry out: (i) Accurately calculating quality, efficiency, effectiveness, and resource use measures from claims data, including: (A) Indentifying an appropriate method to attribute a particular patient's services to specific providers of services and suppliers. (B) Ensuring the use of approaches to ensure statistical validity such as a minimum number of observations or minimum denominator for each measure. (C) Using methods for risk-adjustment to account for variation in both case-mix and severity among providers of services and suppliers. (D) Identifying methods for handling outliers. (E) Correcting measurement errors and assessing measure reliability. (F) Identifying appropriate peer groups of providers and suppliers for meaningful comparisons. (ii) A business model that would cover the costs of performing the required functions, including the fee for the data. (iii) Successfully combining claims data from different payers to calculate performance reports. (iv) Designing, and continuously improving the format of performance reports on providers of services and suppliers. (v) Preparing an understandable description of the measures used to evaluate the performance of providers of services and suppliers so that consumers, providers of services and suppliers, health plans, researchers, and other stakeholders can assess performance reports. (vi) Implementing and maintaining a process for providers of services and suppliers identified in a report to review the report prior to publication and providing a timely response to provider of services and supplier inquiries regarding requests for data, error correction, and appeals. (vii) Establishing, maintaining, and monitoring a rigorous data privacy and security program, including disclosing to CMS any inappropriate disclosures of beneficiary identifiable information or HIPAA violations for the preceding 10-year period, and any corrective actions taken to address such issues. (viii) Accurately preparing performance reports on providers of services and suppliers and making performance report information available to the public in aggregate form, that is, at the provider of services or supplier level. (2) Ability to combine Medicare claims data with claims data from other sources, including demonstrating to the Secretary's satisfaction that the claims data from other sources that it intends to combine with the Medicare data received under this subpart address many of the methodological concerns expressed by multiple stakeholders regarding the calculation of performance measures from a single payer source so that it can carry out its responsibilities under Sec. 401.704 (a)(6). (3) Documentation of rigorous data privacy and security policies including enforcement mechanisms. (b) [Reserved] Sec. 401.704 Operating and governance requirements for qualified entities. (a) Submit to CMS a list of all measures it intends to calculate and report, the geographic areas it intends to serve, and the methods of creating and disseminating reports. This list must include the following information, as applicable and appropriate to the proposed use: (1) Name of the measure, and whether it is a standard or alternative measure, (2) Name of the measure developer/owner, (3) Measure specifications, including numerator and denominator, (4) The rationale for selecting each measure, including the relationship to existing measurement efforts and the relevancy to the population in the geographic area(s) the entity would serve, including: (i) A specific description of the geographic area or areas it intends to serve, and (ii) A specific description of how each measure evaluates providers of services and suppliers on quality, efficiency, effectiveness, and/or resource use. (5) A description of the methodologies it intends to use in creating reports with respect to all of the following topics: (i) Attribution of beneficiaries to providers and/or suppliers, (ii) Benchmarking performance data, including: (A) Methods for creating peer groups, (B) Justification of any minimum sample size determinations made, and (C) Methods for handling statistical outliers. (iii) Risk adjustment. (6) A description of— (i) How it will evaluate and document the extent to which the usefulness to the public (including reliability, validity, and other factors) of reports it will be producing using the Medicare claims data might be affected by including or not including claims data from other sources, and (ii) How it will combine with the Medicare claims data such claims data as it has from other sources, even if it has such data only for a limited number of the providers of services and suppliers whose performance it will be reporting on, if it concludes that using these claims data from other sources will enhance usefulness to the public. (b) Submit to CMS a description of the process it would establish to allow providers of services and suppliers to view reports confidentially, request data, and ask for the correction of errors before the reports are made public. (c) Submit to CMS a prototype report and a description of their plans for making the reports available to the public. Sec. 401.705 The application process and requirements. (a) Application deadline. Qualified entity applications must be submitted by March 31, 2012 and by the close of the first quarter of the calendar year each year thereafter. (b) Selection criteria. To be approved as a qualified entity under this subpart, the applicant must meet the eligibility and operational and governance requirements, and fulfill all of the application requirements to CMS' satisfaction, agree to pay a fee equal to the cost of CMS making the data available, and execute a Data Use Agreement with CMS, that among other things, reaffirms the statutory ban on the use of Medicare data provided to the qualified entity by CMS under this subpart for purposes other than those referenced in this subpart. (c) Duration of approval. The entity would be permitted to participate as a qualified entity for a period of three years from the date of notification of application approval by CMS. The qualified entity must abide by all CMS regulations and instructions for this program. If the qualified entity wishes to continue performing the tasks under this subpart after the three-year approval period, the entity may re-apply for qualified entity status following the procedures set forth below. (d) Reporting period. Unless otherwise specified in its description of methods, the a qualified entities entity must produce reports on the performance of providers of services and suppliers annually beginning in the calendar year after they are approved by CMS.. (e) The distribution of data. Once a qualified entity is approved by CMS under this subpart, it would be required to pay a fee equal to the cost of CMS making this data available. After the qualified entity pays the fee, CMS would release claims data to the qualified entity. (1) CMS would release standardized extracts of encrypted data from Medicare parts A and B claims data, and D drug event data for the most recent three years of data available at that time. The data would be limited to the geographic spread of the qualified entity's other claims data as determined by CMS. (2) After the first year of participation, CMS would provide qualified entities with the most recent additional year of data on a yearly basis. Qualified entities would be required to pay a fee equal to the cost of CMS making this data available before CMS would release the most recent year of additional data to the qualified entity. (f) Re-application. Qualified entities in good standing may re-apply for qualified entity status. A qualified entity would be considered in good standing if it has had no violations of the requirements of the program or if the qualified entity is addressing any past deficiencies either on its own or through the implementation of a corrective action plan. To reapply a qualified entity would need to submit to CMS documentation of any changes to what was included in their original application. Reapplicants would need to submit this documentation at least 6 months before the end of their three year approval period and would be able to continue to serve as qualified entities until the re-application is either approved or denied by CMS. If the re-application is denied, CMS would terminate its relationship with the qualified entity. Sec. 401.706 Updates to plans submitted as part of the application process. (a) If a qualified entity wishes to make changes to: (1) Its list of proposed measures, the qualified entity must send all the information referenced in Sec. 401.704(a) for the new measure to CMS at least 90 days prior to its intended confidential release to providers of services and suppliers. (2) Its proposed prototype report, the qualified entity must send the new prototype report to CMS at least 90 days prior to its intended confidential release to providers of services and suppliers. (3) Its plans for sharing the reports with the public, the qualified entity must send the new plans to CMS at least 90 days prior to its intended confidential release to providers of services and suppliers. (b) The qualified entity would be notified when its proposed changes are approved or denied for use. Under no circumstances may a qualified entity issue a report, use a measure, or share a report without first obtaining CMS approval. (c) If the amount of claims data from other sources available to a qualified entity decreases, the qualified entity must immediately inform CMS and submit documentation that the remaining claims data from other sources is sufficient to address the methodological concerns regarding sample size and reliability. Under no circumstances may a qualified entity issue a report, use a measure, or share a report after this point. (1) If CMS determines that the remaining claims data is not sufficient, the qualified entity would have 60 days to acquire new data and submit new documentation to CMS. If after 60 days, the qualified entity does not have access to new data or if CMS decides the qualified entity still does not possess the need amount of additional claims data, CMS shall terminate its relationship with the qualified entity. (2) If CMS determines that the remaining claims data is sufficient, the qualified entity may resume issuing reports, using measures, and sharing reports. Sec. 401.707 Ensuring the privacy and security of data. (a) Qualified entities must comply with the data requirements in the data use agreement (DUA) with CMS. The DUA would require the qualified entity to maintain privacy and security protocols throughout the duration of their agreement with CMS and would ban the use of data for purposes other than those referenced in this subpart. The DUA would also prohibit the use of unsecured telecommunications to transmit CMS data and would require disclosure of the circumstances under which CMS data would be stored and transmitted. (b) Qualified entities must inform each beneficiary whose beneficiary identifiable data has been or is reasonably believed to have been inappropriately accessed, acquired, or disclosed pursuant to the DUA. Sec. 401.708 Selection and use of performance measures. (a) Standard measure. A standard measure is defined as a measure that can be calculated from the standardized extracts of Medicare Parts A and B claims, and Part D drug event data that: (1) Meets one of the following criteria: (i) Endorsed by the entity with a contract under section 1890(a) of the Social Security Act; (ii) Time-limited endorsed by the entity with a contract under Section 1890(a) of the Social Security Act until such time as the full endorsement status is determined; (iii) Developed pursuant to section 931 of the Public Health Service Act; or (iv) Can be calculated, in whole or in part, using from standardized extracts of Medicare parts A or B claims or part D drug event data, was adopted through notice and comment rulemaking and is currently being used in CMS programs that include quality measurement. (2) Is used in a manner that follows the measure specifications as written (or as adopted through notice and comment rulemaking), including all numerator and denominator inclusions and exclusions, measured time periods, and specified data sources. (b) Alternative measure. (1) An alternative measure is defined as a measure that is not a standard measure, but that can be calculated, in whole or in part, from using the standardized extracts of Medicare Parts A and B claims, and Part D drug event data thatif: (i) Has been found by tThe Secretary determines through a notice and comment rulemaking processthat its use would, to be more valid, reliable, responsive to consumer preferences, costeffective, or relevant to dimensions of quality and resource use not addressed by standard measures, such determination to be based on— (A) Information submitted by the requesting entity, (B) Information submitted by one or more other parties reporting on consultations with members of the public, including consumers and providers of services and suppliers of types whose performance would be measured, or (C) Information collected through a notice and comment rulemaking process, and, (ii) Is The measure will be used by a qualified entity in a manner that follows the measure specifications as written (or as adopted through notice and comment rulemaking), including all numerator and denominator inclusions and exclusions, measured time periods, and specified data sources. (2) An alternative measure may be used up until the point that a standard measure or measures become available such that the use of the alternative measure is no longer more valid, reliable, responsive to consumer preferences, cost-effective, or relevant to dimensions of quality and resource use than if the alternative measure were not used, for the particular clinical area or condition becomes available at which point the qualified entity must switch to the standard measure within 6 months or submit additional scientific justification and receive approval from the Secretary to continue using the alternative measure. (3) To submit an alternative measure for consideration for use in the following calendar year an entity must submit the following by May 31st: (i) The name of the alternative measure. (ii) The name of the alternative measure's developer or owner if a specific developer or owner is known. (iii) Detailed specifications for the alternative measure. (iv) Information demonstrating howEvidence that use of the alternative measure is would be more valid, reliable, cost-effective, relevant responsive to consumer preferences, cost-effective, or relevant to dimensions of quality and resource use not addressed by standard measures than if the measure were not used. Sec. 401.709 Provider of services and supplier requests for error correction. (a) Qualified entities must announce on a public website provided by HHS, or in notifications to major organizations that represent types of providers of services and suppliers that have been evaluated by the entity, the availability of reports for confidentially review, and must share make available measures, measurement methodologies, and measure results with to evaluated providers of services and suppliers at least 30 business days prior to making reports public. The 30 days begins on the date on which qualified entities send the confidential reports to providers of services and suppliers. (b) Qualified entities must allow providers of services and suppliers at least 10 business days after receipt of a report to make a request for the data. (c) Qualified entities must allow providers of services and suppliers at least 10 business days after receipt of the data to make a request for error correction. (d) If a qualified entity receives a request for beneficiary names from a provider of services or supplier, the qualified entity must forward that request to CMS including a copy of the signed request from the provider of services or supplier as an attachment. (1) After the qualified entity receives the beneficiary names from CMS and sends the information to the requesting provider of services or supplier, the qualified entity must immediately destroy that data and is not permitted to retain or use the beneficiary names in any way. (2) If a qualified entity does not immediately destroy all identifiable data after sharing the information with the requesting provider of services or supplier, it will be subject to the penalties referenced in Sec. 401.710(d). (e) Qualified entities must inform providers of services and suppliers that reports would be made public, including information related to the status of any data or error correction requests, after a specified date (at least 30 business days after the report was originally shared with providers of services and suppliers), regardless of the status of any requests for error correction. (f) If a provider of services or supplier still has a data or error correction request outstanding at the time of making the reports public, the qualified entity must, if feasible, post publicly the name of the appealing provider and the category of the appeal request. (g) Prior to sending measure results, data used in calculating the results, beneficiary names, or other information to any provider of services or supplier, a qualified entity may require that the requesting provider of services or supplier, according to standards and procedures specified by the qualified entity, document and authenticate the identity of the requesting provider of services or supplier, its legal right to see the requested data under applicable laws protecting patient privacy, and a secure communication process the provider of services or supplier will provide for transmission of the requested information. Sec. 401.710 Monitoring and sanctioning of qualified entities. (a) CMS would monitor and assess the performance of qualified entities using the following methods: (1) Audits (2) Submission of documentation of data sources and quantities of data upon the request of CMS and/or site visits (3) Analysis of specific data reported to CMS by qualified entities through annual reports, as described in paragraph (b) of this section, and reports on inappropriate disclosures or uses of beneficiary identifiable data, as described in paragraph (c) of this section. (4) Analysis of complaints from beneficiary beneficiaries and/or providers of services or suppliers. complaints (b) Qualified entities must provide annual reports to CMS containing information related to: (1) General program adherence, including: (i) The approximate number of Medicare and private claims combined. (ii) The approximate percent of the overall market share the number of claims represents in the qualified entity'sgeographic area included in the qualified entity's reports. (iii) The number of measures calculated. (iv) The approximate number of providers of services and suppliers profiled by type of provider and supplier. (v) A measure of public use of the reports. (2) The providers of services and suppliers data sharing, error correction, and appeals process, including: (i) The number of providers of services and suppliers requesting claims data. (ii) The number of requests for claims data fulfilled. (iii) The number of error corrections. (iv) The type(s) of problem(s) leading to the request for error correction. (v) The time to acknowledge the request for data or error correction. (vi) The time to respond to the request for error correction. (vii) The number of requests for error correction resolved. (c) Qualified entities must inform CMS of inappropriate disclosures or uses of beneficiary identifiable data pursuant to the requirements in the DUA. (d) CMS may take the following actions against qualified entities if it is determined that they are violation of any of the requirements of the qualified entity program, regardless of how CMS learns of the violation: (1) Provide a warning notice, which indicates that future deficiencies could lead to termination, to the qualified entity of the specific concern (2) Request a corrective action plan (CAP) from the qualified entity (3) Place the qualified entity on a special monitoring plan (4) Terminate the qualified entity Sec. 401.711 Termination of qualified entities. (a) Grounds for terminating a qualified entity agreement. CMS may terminate an agreement with a qualified entity if the qualified entity: (1) Engages in one or more serious violations of the requirements of the qualified entity program. (2) Fails to completely and accurately report information to CMS or fails to make timely corrections to reported performance information per providers of services and supplier requests for such correction. (3) Fails to submit an approvable corrective action plan (CAP), fails to implement an approved CAP, or fails to demonstrate improved performance after the implementation of a CAP. (4) Improperly uses or discloses claims information received from CMS in violation of the requirements of the regulations in this subpart. (5) Based on their reapplication, no longer meets the requirements in this subpart. (b) Return of CMS data upon voluntary or involuntary termination from the qualified entity program: 10 (1) If a qualified entity's agreement with CMS is terminated by CMS, it must immediately upon receipt of notification of such termination commence returning or destroying any and all CMS data (and any derivative files). In no instance should this process exceed 30 days. (2) If a qualified entity voluntarily terminates participation in the program, it must return to CMS, or destroy, any and all CMS data in its possession within 30 days notifying CMS of its intent to end participation. Sec. 401.711 Applicability of this subsection The provisions of subsection 1874 (e) of the Social Security Act and of these regulations implementing such subsection do not affect or limit in any way other provisions under which Medicare claims data may be released, or have been released, including, for example, release of data for research purposes or release of data on hospitals.
Common Scams: Recognizing and avoiding fraud Consumer Action Managing Money Project www.managing-money.org Common Scams: Recognizing and avoiding fraud It's impossible to be aware of all the different types of scams being perpetrated. However, there are certain scams that are carried out far more often than others, due in large part to their success rate. Here is a rundown of some of the most widely perpetrated scams. Although we organize the scams by target group, scammers can expand their target audience and will not hesitate to reel in anyone who will take the bait, so check out the scams in all the categories (general, seniors, veterans/servicemembers, immigrants and students) to be better prepared to avoid them. As you read about the scams, look for the warning signs that would alert you to similar ploys. And make note of the "What to know/do" section for each, which provides effective tips for spotting, dodging and dealing with scam attempts. Note: This publication is intended for use with Just Say No to Scams: A guide to protecting yourself from liars, cheats and crooks, which has been written to help you understand how crooks reel in their prey, recognize potential scams, know what to do to avoid becoming a victim, and find scam prevention and reporting resources. Just Say No to Scams is available for free download at Consumer Action's website (https://www.consumeraction.org/english/articles/scams_guide). Table of Contents General scams These ploys typically don't target a specific demographic (seniors, veterans, immigrants, etc.); virtually everyone is fair game. In many of these scams, victims are found by chance (for example, when the scammer places calls to random numbers or promotes a bogus tech support service online). In others, the crook works off of a "lead" (for example, your name on a "sucker" list—a list of people who have fallen for scams in the past and are believed to be more likely to be cheated again—or your profile on a dating website). Tax scams How they work: An imposter claiming to work for the Internal Revenue Service (IRS) threatens you with arrest, deportation or other action if you don't immediately pay taxes you supposedly owe, typically via wire transfer, prepaid card or gift card (including iTunes). Another approach is to request "verification" of personal or account information, supposedly for the purpose of processing your tax return or refund. What to know/do: The IRS will always contact you by mail first. If you haven't received a letter, be suspicious of a call or other communication claiming to be from the agency. Be particularly wary if you are asked for immediate payment, or if the person insists you use a particular payment method (wire transfer, prepaid card, gift card or cashier's check, for example). Also be suspicious if the person asks for personal data such as your Social Security or other account number, or your PIN or password. And remember: A legitimate IRS employee will never threaten you with arrest, a lawsuit or deportation for not paying your taxes. Read the "Tax Scams/Consumer Alerts" page on the IRS website to become familiar with these and similar tactics (https://www.irs.gov/newsroom/tax-scamsconsumer-alerts). If you think the call might be legitimate, ask for the caller's name, badge number and callback number. (Don't trust caller ID, which is often rigged by scammers.) Then hang up and call the U.S. Treasury Inspector General for Tax Administration (TIGTA) at 800-366-4484 to verify that the person is really an IRS employee with a valid reason to contact you. If you receive a questionable letter, you can verify the notice type and contact information on the IRS website (https://www.irs.gov/individuals/understanding-your-irs-notice-or-letter). Do not reply to or click on links in email or text messages claiming to be from the IRS. Do not ever pay anything until you have verified beyond any doubt that you owe the money and are paying it to a legitimate IRS representative. Debt collection scams How they work: A scammer impersonating a legitimate debt collector contacts you about a debt you supposedly owe, requiring immediate payment, often in the form of a wire transfer, prepaid or gift card number, or cashier's check. If you don't pay up, the "collector" threatens you with jail or other legal action. In other cases, the collector is legitimate, but the debt is not valid (too old, or already paid or settled), is for the wrong amount, or is being collected from the wrong person (because you have the same name as the real debtor, for example). What to know/do: If a debt collector contacts you, proceed with caution, particularly if the contact is unexpected. Collecting a valid debt is not a scam. However, there have been cases where scammers have accessed consumers' credit reports and, armed with accurate information about account names, balances and payment history, were able to convince the accountholders to pay them. Threats or disclosure of confidential information (like your Social Security number) is illegal and should raise a red flag, as should demand for payment via a particular method (wire or gift card, for example). Anytime you are contacted by a debt collector, you should request that a "validation notice" be mailed to you. This notice includes detailed information about the debt and your rights, and, by law, must be sent within five days of initial contact. Refuse to discuss the debt until you receive it. In the meantime, ask for the collector's name, agency name, address, phone number and website address, and then do some research. But remember, just because you confirm someone is a legitimate debt collector doesn't mean they have the right to collect the debt from you. Do not pay anything until you have verified the legitimacy of the collector and the validity of the debt. Learn more in Consumer Action's When a Collector Calls (https://www.consumer- action.org/english/articles/when_a_collector_calls_an_insiders_guide_to_respon ding_to_debt_collectors ) and at the Federal Trade Commission's (FTC) "Fake Debt Collectors" webpage ( https://www.consumer.ftc.gov/articles/0258-fake-debtcollectors ). Counterfeit check scams How they work: Someone gives you a (counterfeit) check and asks you to deposit it and then return part of the money to them. It is often cloaked as an accidental overpayment for something they are purchasing from you, though sometimes it's related to a "secret shopping" gig, work-at-home pitch or similar scheme. When the fake check bounces, you are out whatever money you gave to the scammer plus a returned check fee. What to know/do: The best policy is not to accept a check or money order unless you know and trust the person you're dealing with and/or the bank confirms that the check has cleared (though it can take a while to be sure the payment isn't counterfeit or forged). If you decide to call and confirm the validity of a check with the bank it is drawn on, find the bank's phone number on your own; don't trust a phone number or website address printed on the face of the check or provided by the person giving it to you. Don't believe contrived excuses for an overpayment; only accept the exact amount due you. Never wire money to strangers; the funds are untraceable and unrecoverable. Learn more at the FTC's "Fake Checks" webpage (https://www.consumer.ftc.gov/articles/0159-fake-checks). Advance fee scams How they work: Someone contacts you offering help dealing with your finances— for example, getting out of debt, reducing payments on your student loans, avoiding foreclosure, getting a lump sum out of your pension, tapping the equity in your home, negotiating a tax settlement or erasing negative information in your credit report. You pay the scammer's fee upfront, but the help doesn't materialize. What to know/do: Be skeptical if you didn't initiate contact. If you are interested in an offer, first verify the business's legitimacy, check customer satisfaction ratings, compare prices, etc. Also look into the value of the assistance you would be paying for. In many cases, the service being offered for a fee is actually available free of charge. For example, federal student loan borrowers can reduce or defer payments through the U.S. Department of Education at any time for free (https://studentaid.ed.gov/sa/repay-loans); homeowners can apply for a loan modification or forbearance through their mortgage servicer at no charge (https://www.consumer.ftc.gov/articles/0187-when-paying-mortgage-struggle); taxpayers can set up a payment plan (https://www.irs.gov/payments/paymentplans-installment-agreements) or try to negotiate a settlement (https://www.irs.gov/payments/offer-in-compromise) directly with the IRS for free; and it costs nothing for consumers to try to negotiate a settlement with their creditors (https://www.consumerfinance.gov/ask-cfpb/what-is-the-best-way-tonegotiate-a-settlement-with-a-debt-collector-en-1447/) or correct errors in their credit reports (https://www.consumer.ftc.gov/articles/0151-disputing-errors-creditreports). It's also important to know that, at least in the case of credit repair, federal law prohibits companies from collecting fees until after certain services have been delivered (https://www.consumer.ftc.gov/articles/0058-credit-repairhow-help-yourself#croa). Avoid anyone who promises you will qualify for a loan or credit card before you even apply, particularly if you have a low or no credit score. Learn more at the FTC's "Advance-Fee Loans" webpage (https://www.consumer.ftc.gov/articles/0078-advance-fee-loans). If you have a problem with a company, report it to your local consumer affairs office or to your state attorney general (AG) (http://www.naag.org/). Windfall (sweepstakes, inheritance, etc.) scams How they work: Someone informs you that you've won a prize, received an inheritance, gotten a grant or are entitled to some other windfall—but, you must first pay a fee or provide personal information to collect it. In some cases, scammers place ads offering grants and then will request that victims wire money for processing fees or taxes before the grant money can be sent to them (of course, it never is). What to know/do: Assume that anyone who contacts you to say you have won a prize, received an inheritance or are entitled to some other windfall but demands a fee or personal information before you can collect it is a scammer. Learn more at the FTC's "Prize Scams" webpage (https://www.consumer.ftc.gov/articles/0199-prize-scams). While the promise of a jackpot is enticing, steer clear of any contest that requires you to reveal sensitive data (Social Security number, etc.) to enter. Don't click on links in email or text messages announcing you've won—they could install malware. Ignore any communication requesting help to get a fortune out of another country and into the U.S. (known generally as "Nigerian Prince" scams). If you're the victim of an international scam (many originate overseas), you can report it to eConsumer.gov (www.econsumer.gov), a site run by the International Consumer Protection and Enforcement Network (ICPEN). Recovery/refund scams How they work: Someone contacts you promising to recover money you've lost— for a fee. What to know/do: Assume that anyone who contacts you to recover lost money— missing prize winnings, undelivered products, fraud losses, etc.—is trying to scam you. Scammers often share "sucker lists" containing the contact information of consumers who have fallen for scams in the past. The idea is that someone who has been scammed before is more likely to fall for another scam— in this case, believing that someone will help recover your losses. Legitimate agencies, like the FTC and CFPB, that work on consumers' behalf never call victims to promise a refund in advance and never ask for a fee or personal information before helping. If you get a communication that you think might be legitimate, get the person's name, company or agency name, contact information and tax ID number, and then do your own independent research. (Don't believe that a phone number, address or website the person provides is trustworthy.) Learn more at the FTC's "Refund and Recovery Scams" webpage (https://www.consumer.ftc.gov/articles/0102-refund-and-recovery-scams). Charity scams How they work: You are contacted by a charity (maybe even one with a familiar name) requesting an immediate monetary donation. The representative dissuades you from thinking about it or researching the organization. These scams happen year-round, but are particularly prevalent after a natural disaster or other tragedy, or during the holidays, when people are eager to help and donation requests are expected. What to know/do: Rather than donate in response to a random request, be proactive and research the causes and charities you want to support. Charity Navigator (https://www.charitynavigator.org/) and Give.org (http://give.org/) are just a couple of the online tools available for finding a legitimate charity that meets your goals. After a disaster or other tragedy, local news outlets often compile lists of reputable charities helping victims—check out those websites or contact the station. If you think you might be interested in supporting a caller's charity, ask the person to provide the organization's website address. But be aware that a scammer could set up a bogus website, so you'll still want to verify legitimacy using one of the charity research websites. When donating, use a credit card, which offers strong consumer protections under the law, rather than cash, wired funds, prepaid or gift cards, or a cashier's check. And don't give an unknown caller access to your account by providing an account number. The Do Not Call Registry (https://www.donotcall.gov/), which allows you to opt out of telemarketing calls, doesn't apply to charities, but you can ask an organization not to contact you again if you don't want to hear from them. If the charity is legitimate, it will likely comply with your request. If it's bogus, you can expect future calls. The FTC offers additional information at its "Before Giving to a Charity" webpage (https://www.consumer.ftc.gov/articles/0074-giving-charity). Pyramid schemes How they work: This type of investment scam (also known as a Ponzi scheme) lures victims through the promise of very attractive and/or guaranteed returns. Early investors tout the too-good-to-be-true opportunity to friends and family members, unwittingly recruiting new victims. Once the supply of new investors dwindles and/or existing investors want to cash out, the scheme falls apart and everyone (except the originator) loses (think Bernie Madoff, whose elaborate Ponzi scheme was discovered in late 2008: https://en.wikipedia.org/wiki/Madoff_investment_scandal). Multi-level marketing (MLM) schemes are similar, but are organized as businesses where recruits are required to buy a large inventory and/or recruit new distributors. What to know/do: Don't put your money into any investment not registered with the Securities and Exchange Commission (SEC) and/or state regulators, or invest with anyone who isn't a licensed investment professional or employed by a registered investment company. Tools for researching investment companies and professionals include FINRA's BrokerCheck (https://brokercheck.finra.org/ or 800-289-9999); the SEC's Investment Adviser Public Disclosure program (https://adviserinfo.sec.gov/IAPD/Default.aspx); and your state's securities regulator, which you can find through the North American Securities Administrators Association (NASAA) website (http://www.nasaa.org/aboutus/contact-us/contact-your-regulator/). Be particularly suspicious of any investment that guarantees positive returns, promises unusually high returns or pays positive returns even when similar investments are not doing well. Check your account statements and follow up on errors. Be suspicious if you meet with resistance when trying to withdraw money, or you don't receive a payment you're expecting. One of the best ways to protect yourself and find legitimate investments is to learn about investing from reputable sources, including Morningstar (http://www.morningstar.com/cover/Classroom.html), 360 Degrees of Financial Literacy (https://www.360financialliteracy.org/Topics/Investor- Education/Investing-Basics), The Motley Fool (https://www.fool.com/retirement/2017/08/19/our-guide-to-investing-forbeginners.aspx) and E*Trade (https://us.etrade.com/knowledge/education). Multi-level marketing (MLM) schemes are similar, but are organized as businesses where recruits are required to "buy in," sometimes through the purchase of a large inventory of product they then have to sell to recoup their investment. Often, recruits earn money by signing up new distributors, whose investment is used to pay off the earlier participants. While not always illegal, the FTC offers tips for steering clear of questionable multi-level marketing schemes (https://www.ftc.gov/tips-advice/business-center/guidance/multilevel-marketing). Learn more in The Balance's "10 Signs It Is an MLM Scam" (https://www.thebalance.com/business-is-an-mlm-scam-1794756). Affinity fraud How it works: Someone offers you an attractive (but fraudulent or questionable) investment or business opportunity specifically because of your affiliation with a particular demographic or community. What to know/do: Affinity fraud exploits the trust that exists among members of a group (those who share a common religion, language, ethnicity, culture, profession, financial status, age, etc.). The fraudster might be a member of the group, or may just pretend to be. In some cases, the organizer befriends prominent members of the group in order to gain entry and legitimacy. The scam typically takes the form of a fake investment or business venture. Money given to the organizer by new investors is used to pay off earlier investors. Eventually the scheme collapses when there are no new investors to fund it, existing investors suspect foul play (sometimes because they are met with resistance when trying to get their money out) or the perpetrator vanishes with the money. While affinity fraud hits virtually all demographics, immigrant communities can be particularly attractive targets because they may not speak English well, could be economically marginalized, might not be aware of their rights, or may fear deportation or other consequences if they report the crime. Do not let your guard down just because of a common background, or because someone you trust vouches for the organizer or touts the investment (that person might be fooled too). Go through the same steps to verify the individual, company and investment that you would if there were no personal connection (see "Pyramid schemes" on page 7). Be aware that social media has made it easier for scammers to find their victims and infiltrate a group or community. The SEC warns that even if an actual investment exists, it typically makes little or no profit—the fraudster simply uses investors' money until the scheme collapses. If you are a victim of affinity fraud, report it to law enforcement. While there are no guarantees, your report could help prosecute the perpetrator and result in restitution (as in the Bernie Madoff case: http://www.businessinsider.com/howbernie-madoffs-ponzi-scheme-worked-2014-7). At the very least, reporting it to the SEC or the Federal Trade Commission could help prevent other consumers from falling prey to the same scam. Sales scams How they work: Scammers want your money, and one of the best ways to get it is to try to sell you something. Often, the item is counterfeit, invalid or nonexistent. Cases include counterfeit luxury goods, duplicate concert/event tickets, invalid gift cards, leases on homes the scammers don't own, undelivered goods sold through a website, supplies or training for bogus work-at-home jobs, or puppies that don't exist. In the case of health and cosmetic products, what is being sold may be ineffective or even dangerous. What to know/do: It's wise to do business only with merchants you know and trust, or ones that you have at least had an opportunity to investigate through online reviews, the Better Business Bureau, etc. When conducting a peer-to-peer transaction (buying from or selling to an individual), try to do it through an intermediary that offers some protections (PayPal, eBay and Airbnb, for example). If a buyer or seller tries to persuade you to do the deal "off the record" (outside the site's normal, tracked process), it's a sign that you could be dealing with a scammer and you should probably walk away. Always beware of offers, claims and prices that appear too good to be true, and be suspicious of unlikely or convoluted stories (for example, the landlord working overseas who needs to rent his home out from afar). If you run into a problem, try to resolve it first with the individual that you made the purchase from. However, if it's an intentional scam and/or you paid with cash or the equivalent, you have little hope of recovering your losses. If you made the transaction through an intermediary, find out what protections it offers. If you paid by credit card, contact the card issuer to dispute the charge. If you paid by debit card or check, you may be out of luck, but it's worth contacting the bank to see if there's anything they can do. If you believe a crime has been committed, report it to the police. If the scam took place online, report it to the Internet Crime Complaint Center (https://www.ic3.gov/default.aspx) as well. When shopping online—even with legitimate businesses—take precautions to avoid problems and be prepared to deal with issues that might arise. Consumer Action's free Savvy online shopping: Tips for trouble-free transactions ( https://www.consumeraction.org/modules/articles/savvy_online_shopping_tips_for_trouble_free_transa ) ctions) and Savvy online shopping: How to resolve a dispute (https://www.consumeraction.org/modules/articles/savvy_online_shopping_how_to_resolve_a_dispute guides can help you stay safe and resolve problems. Tech support scams How they work: Someone claiming to be from a well-known tech company notifies you (typically by phone or email, or through a pop-up window in your browser) that there is a serious technical problem with your computer that he can fix if you pay a fee or give him remote access to your computer. (Victims sometimes unwittingly initiate contact with the scammer themselves after finding a bogus tech support number online.) The scammer takes your payment and provides worthless services and/or downloads malware that locks your computer files until you pay a ransom. Sometimes the scammer agrees to provide the victim with a refund of any fees paid but claims to need a bank account number to do so. Then, instead of putting money into the account, he takes money out of it. What to know/do: Assume that any unexpected call claiming to be aware of your computer problems is a scam and hang up; Microsoft, Apple and similar companies are not actively tracking your computer looking for problems and then contacting you to fix them, and neither is your internet service provider (ISP). You should also assume that emails and pop-up windows saying there is a problem with your computer are malicious. Even finding tech support through an online search can be risky since fraudsters often buy ads and pay search engines to have their info come up in search results for key words such as "tech support," "virus removal," "Norton support," etc. When you need to contact tech support, conduct your search carefully and verify that you are contacting a legitimate business. (Tip: Spoofed sites typically have a URL close to, but not the same as, the real one—for example, www.microsofthelp.com or www.micosoft.com instead of the correct www.microsoft.com.) Never provide your credit card number, account information or personal data to someone claiming to be from tech support unless you initiated the call, are absolutely certain who you're dealing with and have thoroughly researched the product, service or subscription you're being sold. Never click on links in unsolicited email messages or texts, and never click on pop-up ads, warnings or other messages. Doing so can initiate the installation of damaging software onto your computer or device. Don't give someone you aren't 100 percent sure you can trust remote access to your computer to "fix" it, since that provides them with the opportunity to steal your data and/or cause damage and then charge you a fee to undo it. For many reasons, it's a good habit to back up your computer files regularly and install software that protects you against viruses, spyware and malware. Learn more about computer and online security at the FTC's OnGuardOnline (https://www.consumer.ftc.gov/features/feature-0038-onguardonline). And if you think only older generations fall for tech support scams, you're wrong— millennials may be the hardest hit (http://abcnews.go.com/US/tech-supportscams-hit-millennials-hardest-realize/story?id=51743331). False health claims How they work: Hucksters market weight loss, medical and youth-preserving treatments and products that turn out to be ineffective or even harmful. What to know/do: Read the FDA's "Health Fraud Scams…Are Everywhere" (https://www.fda.gov/downloads/forconsumers/protectyourself/healthfraud/ucm30 2359.pdf), which provides tips for recognizing these types of scams. Consult with your general physician regarding any specific medical issues you experience. And remember: There's no quick and easy way to lose weight, no "miracle" cures, and no fountain of youth. The Red Flags of Quackery (http://sci-ence.org/red-flags2/) is an entertaining illustrated guide to pseudo-science and the bogus claims that lead consumers to spend, collectively, billions of dollars each year on ineffective and even dangerous health treatments and products. Whatever the product or program you are considering, beware of "free" trial offers, often hawked through television infomercials. Trial offers of any kind can be costly because many, if not most, people who accept the offer forget to cancel before the trial period ends and wind up paying for something they don't want. Romance scams How they work: Often perpetrated online through dating websites or social media, this ruse involves tricking the victim into believing the scammer has romantic intentions or is a true friend. Once he or she has gained the target's confidence and emotional commitment, a request for money is made, often under the guise of wanting to purchase a ticket to come visit the victim. In some cases, the money is needed to resolve a nonexistent emergency. What to know/do: Scammers prey on the vulnerable, so always have your guard up when you put yourself out there as someone looking for a relationship. Before becoming involved with someone new, do some background research. Scammers often create fake online profiles and use stolen photos. Search the person's name, try to verify that they live and work where they say they do, and do an image search of their photo using a tool such as Google Images (https://images.google.com/). (Click the little camera image to paste in the photo's URL or upload the photo you want to compare.) If the photo appears under several different names, it's a scam. Don't ignore the little signs that something isn't right. For example, scammers often proclaim deep feelings very quickly, ask their target to communicate off the dating site (to avoid being detected by the site moderator), or claim to be American, yet their communication style doesn't match that of a native speaker. They tell stories that tug at your heartstrings, use a lot of endearments ("babe" and "darling," for example), often are traveling or working abroad (providing an excuse not to meet in person), and eventually ask for money (or make you believe you chose to offer it to them). Don't ever send money to someone you met online or enter into any other transaction with them (opening a bank account and wiring money, forwarding a package or making an online purchase, for example). Learn more at the FTC's "Online Dating Scams" webpage (https://www.consumer.ftc.gov/articles/0004-online-dating-scams). AARP's article "Are You Real?—Inside an Online Dating Scam" (https://www.aarp.org/money/scams-fraud/info-2015/online-dating-scam.html) is a detailed account of how one scammer broke his victim's heart and stole $300,000 from her. The U.S. Army Criminal Investigation Command, which receives hundreds of allegations a month from victims who state they got involved in an online relationship with someone claiming to be a military servicemember, offers a webpage full of red flags to look for and tips for avoiding an imposter (http://www.cid.army.mil/romancescam.html). While you should report the scam to the website where it began as well as to the FTC (https://www.ftccomplaintassistant.gov/), the FBI's Internet Crime Complaint Center (https://www.ic3.gov/default.aspx) and your state attorney general (http://www.naag.org/current-attorneys-general.php), the odds of you recovering your financial losses are slim to none. Blackmail schemes How they work: You do something that you wouldn't want a spouse, parent, employer, school administrator, law enforcement officer or anyone else to find out about, and someone photographs or records you, or gets hold of a sensitive email or text message, and then demands money to keep your secret. What to know/do: Since virtually everyone around you has a smartphone and the ability to photograph or record whatever you do, and email and text messages are not always secure, don't put yourself in a compromising position. As you make choices, ask yourself how your actions could be construed and what the consequences might be. If you submit to someone's demands for money in exchange for their silence, be aware that there's no guarantee your secret will remain private even after you have met the blackmailer's demands. Senior scams While consumers of all ages should be on guard against scams, seniors can be particularly vulnerable to fraud. This can be because of changes in the brain that make it harder for the elderly to detect suspicious body language and other warning signs that someone might be untrustworthy (http://news.usc.edu/135031/senior-scams-and-fraud-due-to-aging-brain/). Or it can be because they are isolated, are more likely than young people to be home (and available to answer the phone or door), are inexperienced in managing their finances (a deceased spouse may have been the primary household money manager) or don't have access to the internet and the tools it offers for verifying claims and identifying scams. The elderly are also more likely to be financially scammed by someone they know and trust—a friend, family member, caregiver or other helper. All states have laws to protect older people from abuse. In addition to reporting suspected elder fraud to the local adult protective services agency (https://eldercare.acl.gov/Public/Index.aspx) and law enforcement, notify any financial institution holding an account that has been fraudulently accessed. Learn more about the following scams and others in the National Council on Aging's (NCOA) list of the top 10 financial scams targeting seniors (https://www.ncoa.org/economic-security/money-management/scamssecurity/top-10-scams-targeting-seniors/). Medicare/Social Security scams How they work: A scammer posing as a Medicare or Social Security Administration representative provides a bogus reason why he needs your Medicare or SS number and/or financial account information (and then uses your Medicare benefits or steals your money or identity). In another scenario, someone sells you a cheap Medicare-covered medical device such as a back brace. Using your account information, they bill Medicare for a device worth many times more than what you received. Or they sell you discounted prescription drugs that might be fake or even harmful. What to know/do: Government agencies typically initiate communications via mail, not by phone, so don't ever give your Medicare, Social Security or other account numbers or your personal data to an unexpected caller. Only provide your Medicare number to healthcare providers or facilities at the time you are actively seeking service. Call Medicare (800-633-4227) or Social Security (800-772-1213) to verify a request. Never respond to open solicitations for Medicare-covered supplies or services. If there is something you need, ask your healthcare provider for referrals to suppliers, or ask your doctor if the supplier you are considering doing business with is reputable. Be very cautious about ordering medication online or in response to a call or other unsolicited communication. Confirm with your physician that the company you are considering ordering from is reputable. Consistently monitor your Medicare statements. Look for any claims for services or supplies billed to you that you didn't receive or that are more expensive than expected. You can set up an account at MyMedicare.gov (https://www.mymedicare.gov/) and access your claims information online at any time. If you suspect you have been contacted by a Medicare scammer or are the victim of Medicare fraud, report it to the U.S. Department of Health and Human Services Office of Inspector General by phone (800-HHS-TIPS/800-447-8477) or online (https://forms.oig.hhs.gov/hotlineoperations/report-fraud-form.aspx). Learn more at Medicare's "fighting fraud" webpage (https://www.medicare.gov/formshelp-and-resources/report-fraud-and-abuse/report-fraud/reporting-fraud.html). Home equity scams How they work: A lender offers you a loan against the equity in your home— money you could use to make needed repairs or just make ends meet. But the loan turns out to have high fees added. Or, the lender encourages you to refinance repeatedly to pull more money out of your home, each time adding additional fees to your debt. These loans typically have variable interest rates, which means your payments fluctuate and may become unaffordable, and many are "interest only," which means you never pay down your debt and your payments will eventually increase. In some cases, the loan has a balloon clause requiring full repayment in just a few years. If you can't keep up, the lender forecloses on the property and you lose your home. What to know/do: Seniors aren't the only victims of home equity loan scams, but they can be particularly attractive targets because they are more likely to have a lot of equity in their property and to live on a fixed income that makes it difficult to pay for repairs or property taxes. Before using your home as collateral for a loan, consider other options, like taking in a boarder or reducing your living costs in some way. Do not respond to unsolicited loan offers. Borrow only from a reputable lender that you contact after shopping around and doing some company research. Get advice and assistance from someone you can trust. A HUD-certified housing counselor can offer guidance about loan terms, affordability, lender reputation, your rights and alternatives to borrowing. Find one at the U.S. Department of Housing and Urban Development website (https://www.hud.gov/i_want_to/talk_to_a_housing_counselor). Have someone knowledgeable look over the loan papers with you. Be sure you understand the terms of the loan, including what the monthly payments will be; whether they can fluctuate, and by how much and how often; whether the payments include principal or are interest-only; and whether there is a balloon payment. If you find yourself in over your head, don't wait—get assistance immediately. If the loan violates federal credit laws, you may be able to save your home. Contact a HUD counselor or an attorney for guidance. If you are of low income, find local legal aid at the Legal Services Corporation website (https://www.lsc.gov/what-legal-aid/find-legal-aid). Grandparent scams How they work: A scammer pretending to be a family member—often a grandchild—calls and claims to need money urgently, typically for something like emergency medical care or bail in another country. Sometimes pairs of scammers work together, with one claiming to be an arresting officer, lawyer, doctor or other authority figure and the other impersonating the grandchild pleading for help (briefly enough to evade detection as an imposter). The scammer demands payment, usually via wire or a prepaid or gift card, to avoid some unwelcome consequence (jail, withheld medical care, etc.). What to know/do: As with other scams carried out by a caller demanding immediate payment, just hang up. If you are concerned about the person who is supposedly in trouble and in need of money, try to contact him or her directly, or verify with another family member or anyone else likely to know if the story is true (even if the scammer tells you not to). You can avoid a lot of scam attempts simply by screening out callers you don't know. Ask your phone service provider if it offers the option to block unrecognized and unwanted calls. Funeral and burial scams How they work: In one approach, the scammer reads obituaries and funeral notices and then contacts the grieving spouse or family members (often by attending the funeral!) claiming the deceased died with an outstanding debt and coercing them to pay it off. Another type of scam is the sale of fake burial plots, often discovered by the victim or family members only when the plot is needed. And, while not technically a scam, some funeral homes try to oversell products and services in violation of the law. What to know/do: If you are contacted or approached by someone you don't know claiming to be a friend or lost family member of the deceased, be skeptical. Don't be convinced just because the person can produce some accurate details about the deceased—there is a lot of information online, in public records and even in an obituary that can help someone piece together a convincing story. Don't ever give anyone money under pressure. If you think their claim might be legitimate, take time to verify it. Ask for help from people you trust—your lawyer, if you have one, would be a good resource because he or she could also tell you what your rights are related to any debts the deceased left behind. Learn more at the FTC's "Debts and Deceased Relatives" webpage (https://www.consumer.ftc.gov/articles/0081-debts-and-deceased-relatives). If you decide to pre-purchase a burial plot or crypt, do so through a reputable cemetery, and get a written receipt. If you will be making payments rather than paying in full at the time of purchase, read the agreement so that you understand any fees or hidden costs, such as interest or other charges. While not a scam in the strictest sense, a tactic of disreputable funeral homes is to capitalize on family members' unfamiliarity with the considerable cost of funeral services. For example, some funeral directors will insist that an expensive casket is needed for a direct cremation (untrue), or will try to upsell and overcharge you. Don't be pressured into spending more than you want or need to. The Funeral Rule (https://www.consumer.ftc.gov/articles/0300-ftc-funeral-rule), enforced by the Federal Trade Commission, gives you many rights, including the right to buy funeral goods and services separately rather than as a package that includes things you might not need or want; the right to get price information over the phone and a written, itemized price list when you visit a funeral home; and the right to provide the funeral home with a casket or urn you purchase elsewhere. (Note: The Funeral Rule doesn't cover cemeteries and mausoleums unless they sell both funeral goods and funeral services.) Veteran and servicemember scams Instead of receiving deserved respect for their service to our country, veterans, and even active duty servicemembers, are instead often targeted by scammers. In fact, a late-2017 AARP Fraud Watch Network survey found that more than twice as many veterans as nonveterans lost money to scam artists during the previous five years. Below are a few of the most prevalent veteran/servicemember scams. Read the AARP Watchdog Alert Handbook: Veterans' Edition: 9 Ways Con Artists Target Veterans (http://action.aarp.org/site/DocServer/Watchdog-Alert-Handbook-VeteransEdition.pdf) to learn more about how to avoid becoming a scam victim. Veteran charity scams How they work: A scammer appeals to your loyalty to the military by requesting a donation to a charity that purports to help veterans and/or servicemembers. In some cases, the charity doesn't exist. In others, a charity is established legally, but all or most of the donated funds go into the pockets of the fundraisers. What to know/do: Don't judge a charity by its name. Before responding to a donation request, research the organization on one of the websites listed under "Charity scams" on page 6. As with any donation request, never feel pressured. You can call the charity directly or visit its website to make a donation if you are satisfied with what you find out from your research. If you make a donation, use a credit card—never cash. Military benefits schemes How they work: In one scenario, a veteran is offered a cash buyout of his or her future pension or disability benefits. The buyout is typically a fraction of the value of the benefit, leaving the veteran in financial straits after the lump sum runs out. Or, the veteran is persuaded to take out a pension advance loan at an exorbitant cost with unaffordable payments. In another scenario, the veteran is persuaded to put his or her assets into an annuity or trust in order to qualify for the Aid & Attendance Benefit, reserved for those with few liquid assets at their disposal. The veteran ends up paying high fees for the advice and financial products, and also may jeopardize their eligibility for Medicaid, lose access to their money for a long time or have to repay the benefits after an investigation. What to know/do: Don't take a buyout of, or a loan against, your VA pension or other benefits, move your assets around to qualify for benefits, or pay someone to file a claim. Call the U.S. Department of Veterans Affairs (VA) National Pension Hotline at 877-294-6380 to speak to a counselor about any investment or other pitch that requires you to pay for it out of your pension or sign over your benefits. For more information about VA pension, visit www.benefits.va.gov/pension or call 800-827-1000. Learn more at the FTC's "Pension Advances: Not So Fast" webpage (https://www.consumer.ftc.gov/articles/0513-pension-advances-not-so-fast). The VA also warns against working with anyone who tries to persuade you to move assets around or who charges you for help filing a claim for pension or Aid & Attendance benefits (https://www.benefits.va.gov/PENSION/Pensionprograminfo.pdf). Learn more at the Federal Trade Commission's "Veterans' Pensions" webpage (https://www.consumer.ftc.gov/articles/0349-veterans-pensions). If you are having trouble making ends meet, look into other options that don't put your future income at risk. Read Consumer Action's 15-page Servicemembers and Veterans Financial Empowerment Resource Sheet (https://www.consumeraction.org/english/articles/servicemembers_and_veterans), which provides information about dozens of government and non-profit resources and programs that you might qualify for, from housing assistance and emergency grants to food programs and utility discounts. This is a companion to, and should be used in conjunction with, the general Financial Empowerment Resource Sheet (https://www.consumer- action.org/english/articles/financial_empowerment_resource_sheet ) , which includes dozens more resources that do not require military or veteran status. Also read Consumer Action's Economic survival guide for servicemembers and veterans ( https://www.consumer- action.org/english/articles/economic_survival_guide_for_servicemembers_and_v eterans), which can help you recognize scams, protect your benefits and know your rights. VA records/assistance scams How they work: Someone attempts to charge for military records that are available free or at a low cost directly through the VA or other agency. Or, they offer to assist you with filing for your VA benefits, for a fee. What to know/do: Contact the VA or your service unit directly to request copies of the records you need. They are provided free or for a very small fee. (Visit https://www.usa.gov/veterans-documents for links to records sources.) The FTC warns veterans not to pay for benefits application forms—they are available free—and wants you to know that the people who are accredited through the VA to provide assistance are not allowed to charge you for help completing and submitting VA paperwork. To find an accredited adviser (attorney, claims agent or Veterans Service Organization representative), use the VA's online search tool (https://www.va.gov/ogc/apps/accreditation/index.asp). You also can contact your state Veterans Affairs office (https://www.va.gov/statedva.htm) for information and referrals. Do not assume that an adviser is accredited, qualified or honest just because the business has "veterans," "military" or similar terms in its name. GI Bill schemes How they work: Recruiters convince veterans to use their GI Bill benefits at their shady for-profit school. In many cases, the school requires the veteran to take out expensive private student loans to cover all the tuition and expenses, yet provides a sub-par education that leaves the student unprepared to earn a living. In other cases, veterans are the victims of bait-and-switch scams, where they use their benefits to enroll in one type of schooling and receive, instead, low-cost correspondence courses that aren't even covered by the GI Bill. What to know/do: Before choosing a school or training program, visit the Know Before You Enroll website (http://knowbeforeyouenroll.org/), developed to protect veterans and their GI Bill benefits. Consumer Action's A Guide to Finding the Right Job Training School (https://www.consumer- action.org/modules/articles/job_training_schools ) presents the pros and cons of different education options and helps you vet schools and job training programs. VA phishing attempts How they work: Someone contacts you claiming to be with the VA and says that your personal data is needed to "update" your records, be considered for a job (through the Vets.gov career site), proceed with a benefits claim or for some other reason. Once you give up your information, the scammer steals your money or your identity. What to know/do: The VA and related agencies will never ask you for your sensitive data by phone or email; requests and other communications come via regular mail. If you get a call or message that you think might be legitimate, call the VA (800-827-1000), agency or business directly to verify. If you confirm that the call or email you received was a phishing attempt, report it to the VA's Identity Safety Service (https://www.va.gov/identitytheft/ or 855-578-5492). Immigrant scams The vast majority of scams targeting immigrants in the U.S. use either the promise of achieving the victim's desired immigration status or the threat of deportation to persuade him or her to give the scammer money or disclose personal information. These schemes become more widespread in a political climate that is unfriendly toward immigrants because it is easier to exploit their fears. In such an environment, it's particularly important to verify claims and vet the agencies and individuals who offer services and assistance. Immigration assistance scams How they work: Businesses and individuals claiming to have special expertise or influence charge you for help filling out immigration forms, getting a visa, renewing a green card or applying for citizenship. In most cases, the fee is unnecessary because free assistance is available. In many cases, the person providing the "service" is unqualified and actually does more harm than good. In some cases, the perpetrator takes your money and does nothing at all. What to know/do: Don't rely on a notario for legal advice. These people often represent themselves as qualified to offer legal advice or immigration services, but in the U.S. notarios are not lawyers and are not authorized to provide any legal services related to immigration. In fact, the "help" they offer might actually hurt you. Get immigration assistance only from those authorized by the U.S. government to provide it. Find an authorized immigration service provider at the U.S. Citizenship and Immigration Service (USCIS) website (https://www.uscis.gov/avoid-scams/find-legal-services). Don't believe someone's claim that they can get you special treatment or a change to your immigration status. Do not pay for blank government forms; get free forms at www.uscis.gov/forms or by calling the USCIS (800-870-3676) or visiting a local USCIS office (https://www.uscis.gov/about-us/find-uscisoffice/field-offices). Don't let anyone keep the originals of your official documents, such as your passport or birth certificate. A scammer might do this to ensure you pay them. USCIS will never ask you to transfer money to an individual, or to wire money via Western Union or use PayPal for immigration fees. The State Department will never email you about receiving a visa. The USCIS offers tips for avoiding scams and finding legitimate, qualified assistance on its website (https://www.uscis.gov/avoid-scams). The FTC offers additional information at its "Scams Against Immigrants" webpage (https://www.consumer.ftc.gov/articles/0141-scams-against-immigrants). Deportation scams How they work: The scammer threatens to arrest or deport you or your family members if you don't pay a fee. Sometimes he or she impersonates an immigration official or Homeland Security officer, other times a debt collector or the IRS—anyone who can make the threat of deportation convincing. What to know/do: Immigration, Homeland Security and other agency officials will not call you, threaten you or demand payment. Even if a fee were required, these agencies don't collect payments by phone, or by wire transfer, prepaid card or gift card. They also don't ask immigration applicants to confirm personal information (such as passport number) that they should already have. If you have applied for a visa and believe a call or other communication could be legitimate, call back using the contact number you were given at the time of your application. Or find it on the legitimate agency's website (beware of spoofed— fake—sites, and don't trust Caller ID). Student scams Students can be attractive targets for scammers because they are easy to find (college campuses), have some money (from parents, student loans, part-time jobs, etc.), are away from home for the first time (so not under parents' watchful eyes) and probably inexperienced with money management. The best protection for college students is to learn, before heading off to school, how to recognize and avoid scams. Tuition scams How they work: Someone claiming to be from the college registrar or other school office contacts you to say that your tuition is late and you'll be dropped from your classes if you don't make the payment immediately. What to know/do: As with other scams requiring immediate payment "or else," contact the office the caller claims to represent at a number you find yourself and know is legitimate and ask what the status of your account is. If the original contact was legitimate, you can pay the office when you contact them. Advance fee scams How they work: Someone contacts you offering help to get a scholarship, complete your FAFSA (Free Application for Federal Student Aid) or get an internship. You pay the scammer's fee upfront but don't get the help or results you expected. What to know/do: You can do all these things yourself at no cost (it's not called a "Free" Application for Federal Student Aid for nothing). The U.S. Department of Education even offers free application assistance at its website (https://studentaid.ed.gov/sa/fafsa/filling-out) and by phone (800-433-3243). However, if you are interested in paying for assistance or guidance, do some research on the company or individual first—verify legitimacy, check customer satisfaction ratings, compare prices, etc.—and get guidance from a counselor at the school you are, or will be, attending. If you have a problem with a company, report it to your school as well as to your local consumer affairs office and/or state attorney general (AG) (http://www.naag.org/). Online textbook scams How they work: A website offers textbooks at "unbeatable" prices, but the books you ordered never arrive. What to know/do: Generally speaking, unusually low prices for anything should raise a red flag. Don't do business with an online retailer until you have verified that the website and merchant are legitimate. Check online reviews and ratings, and ask around to find out if other students at your school have had a good experience with the merchant. If you do buy, use a credit card so that you have recourse if your order is not fulfilled or the items you receive were misrepresented. Check-cashing scams How they work: Similar in most ways to other counterfeit check scams (see page 4), this one is carried out by someone posing as a fellow student, perhaps claiming to have lost their ID/debit card or not having an account established yet. The scammer typically offers to let you keep a portion of the check in exchange for your cashing it. Their check later bounces and you're out the cash you gave them plus a returned check fee. What to know/do: Simply don't deposit or cash a check from someone you don't know and trust. Protect yourself! Being able to recognize common scams is a good way to avoid them and other types of fraud. Learn more about how crooks reel in their prey and what you can do to avoid becoming a victim in Just Say No to Scams: A guide to protecting yourself from liars, cheats and crooks, available for free download at Consumer Action's website (https://www.consumeraction.org/english/articles/scams_guide). About Consumer Action www.consumer-action.org Through multilingual consumer education materials, community outreach and issue-focused advocacy, Consumer Action empowers underrepresented consumers nationwide to assert their rights and financially prosper. Consumer advice and assistance: Submit consumer complaints to www.consumer-action.org/hotline/complaint_form or 415-777-9635 (Chinese, English and Spanish spoken). About this guide This guide was created by Consumer Action's Managing Money Project (www.managing-money.org). It is part of a free, comprehensive educational module on scams, including training materials to be used by community educators, available online (https://www.consumeraction.org/modules/module_scams). © Consumer Action 2018
EVALUATION OF IFRC WEST AFRICA EBOLA VIRAL DISEASE APPEAL RESPONSE SIERRA LEONE AND LIBERIA FINAL DRAFT REPORT 16 APRIL 2018 BY: Sophia Ayoo, Lucy Njigua and Virginie Roiron LIST OF ABBREVIATIONS CBAT Community based action team CBHFA Community Based Health and First Aid CBHP Community Based Health Programme CBS Community Based Surveillance CEA Community engagement and accountability CEBS Community events based surveillance CHAST Children hygiene and sanitation transformation CT Contact Tracing CTS Contact Tracing and Surveillance DERC District Ebola Response Center DHMT District Health Management Team DREF Disaster Response Emergency Fund DRR Disaster Risk Reduction EOC Emergency Operations Centre EVD Ebola Virus Disease ERT Emergency Response Teams ERU Emergency Response Units ETC Emergency Treatment center EWS Early Warning System FACT Field assessment and coordination team FGD Focus Group Discussion FSL Food Security and Livelihood GoSL Government of Sierra Leone HQ Headquarters HS Health System IDSR Integrated disease surveillance and response IFRC International Federation of Red Cross and Red Crescent IMS Information Management System IPC Infection prevention and control LRCS Liberia Red Cross Society M&E Monitoring and Evaluation MNCH Maternal newborn and child health MoU Memorandum of Understanding MSF Médecins SansFrontières MOA Ministry of Agriculture MoH Ministry of Health MoHS Ministry of Health and Sanitation NERC National Ebola Response Center OCA Organisational Capacity Assessment OD Organisational Development PHAST Participatory hygiene and sanitation transformation PPE Personal protective equipment PSS Psychosocial Support RC Red Cross RM Resource Mobilization RRA Rapid Recovery Assessment SDB Safe and Dignified Burials SDH Social determinants of health SGBV Sexual and Gender Based Violence SL Sierra Leone SM Social Mobilization SLRCS Sierra Leone Red Cross Society SOP Standard Operating Procedures SRH Sexual and Reproductive Health SSI Semi-Structured Interview ToR Terms of Reference UN United Nations UNDP United Nations Development Programme UNMEER UN Mission for Ebola Emergency Response WASH Water Sanitation and Hygiene WHO World Health Organisation TABLE OF CONTENTS 1. EXECUTIVE SUMMARY The Ebola virus disease (EVD) epidemic in Guinea, Liberia and Sierra Leone is the longest, largest, deadliest, most complex and challenging Ebola outbreak in history, claiming the lives of at least 11,310 people. Following the detection of Ebola outbreak in Guinea in March2014, the International Federation of Red Cross and Red Crescent Societies (IFRC) launched an operation that gradually expanded in scale and scope, and was followed by a recovery phase which has ended in Liberia and will continue up to June 2018 in Sierra Leone. The IFRC EVD intervention final evaluation intended to evaluate the impact of the appeal for Ebola response in the three countries of Liberia, Guinea and Sierra Leone. It is expected that findings, key lessons learnt and recommendations from the evaluation will guide the IFRC, partner National Societies of Liberia and Sierra Leone in future programming as well as in Africa region. The evaluation was implemented in Sierra Leone and Liberia and the field work took place between 18 th November and 7 th December 2017. FINDINGS The IFRC response was very coherent with the existing policies and frameworks; and relevant and appropriate to the needs of the communities. The Red Cross social mobilization activities and approaches were particularly valued by community members. The IFRC response has shown a great level of coordination within the global response and was able to effectively take the lead of the Safe and Dignified Burials (SDB) pillar for which IFRC provided good quality and widely acknowledged leadership. The recovery rapid assessments were participatory but they were not found sufficient to analyse needs, vulnerabilities and capacities within specific environments. Combined with a lack of baseline information and weak Monitoring and Evaluation Systems across programmes, this resulted in the design of overambitious recovery plans that experienced challenges targeting the most vulnerable. Although some components of the recovery plans are relevant to key needs such as food security and livelihoods, they lacked a strong public health focus prioritizing community based health promotion and prevention, addressing the social determinants of health and the barriers to access to health care, epidemic preparedness, strengthening of the health systems and humanitarian diplomacy. Although particularly relevant to IFRC resilience vision, the recovery plans are not found relevant enough to the National Societies' core mandates and capacities and did not factor in the National Societies capacities. In Liberia, the recovery programme is considered insignificant as the NS was shattered by the aftermaths of the integrity issue right after the response phase and hardly implemented any recovery activities. IFRC deployed Field Assessments and Coordination Teams, launched appeals and deployed Emergency Response Units as soon as the epidemic was declared in both countries. IFRC quickly initiated small-scale social mobilization interventions in the affected areas and gradually expanded to the rest of the districts/branches. IFRC personnel were brought in to provide coordination and technical support to the NS for effective implementation. The timeliness of the operation has however been a challenge as most of the activities were slow to scale up, which can be explained by the difficulty in recruiting local and international staff combined with slow funding mobilization in the initial phase. Volunteers retention has been a challenge during the operation due to weak volunteers management policy and continues to be an issue.The slow recruitment of staff, volunteers and deployment of delegates combined with limited NS capacities, delayed implementation of activities which resulted in a low burn rate of the funds available. The volunteers had to be recruited and trained before they could implement any activities in the community which led to some delays in the implementation. The lack of sufficient vehicles delayed the operation especially in hard to reach areas. Weak IMS and M&E meant that the operation was not able to predict the evolution of the epidemic. 4 The IFRC clearly identified and integrated the issue of staff and volunteers' safety which was timely and efficiently factored in the appeals and activities. Although the physical safety of staff and volunteers was properly addressed resulting in only four of them infected, their psychosocial needs were not clearly taken into consideration and systematically addressed as reported during the interviews. Given the scale and the complexities of the operation, the evaluation team concludes that the operation was efficiently managed. Regardless of the inefficiency in availability and utilization of resources, a number of key activities in the response were timely and efficient: the SDB activities began immediately after the National Societies were requested to lead the pillar, social mobilization and community engagement activities were implemented immediately (although with a limited scope initially); the setting up of ETC centre was timely after the request from WHO. However, activities in contact tracing and PSS were slow to take off because they were introduced after the other activities in the operation. Introducing them earlier would have helped the operation to reduce the number of new infections and also encourage reintegration of survivors and reduce stigma of EVD infected persons. The allegation of mismanagement of funds in the two countries slowed down activities affecting efficient management of activities especially in the recovery phase. In Sierra Leone, a review in 2016 uncovered serious issues of non-compliance with regard to the awarding of a contract to build new warehouses for the Sierra Leone Red Cross. IFRC immediately requested SLRCS terminate the contract in question, and oversaw a new procurement process with additional compliance oversight. A new contract was awarded, and construction resumed in September 2017. In Liberia, a 2015 standard internal audit of expenditures uncovered irregularities which in turn triggered an internal investigation. That investigation found evidence of fraud related to inflated prices of relief items, with involvement of individuals from the National Society. As a result of that investigation, the President of Liberia dissolved the National Societies board of governors. Following this cases IFRC has put in place a strengthened 'triple defense' prevention framework to protect against fraud and corruption in high risk operations. This framework establishes new checking and enforcement measures at each line of fraud prevention defense. 1 The IFRC response coverage was strategically targeted to control EVD transmission and to address the likelihood of the quick spread of EVD to all parts of the country. The recruitment of volunteers (both men and women) covered the local communities in all the Districts in the two countries with some representation of those living with physical disability in Sierra Leone. The information was packaged in different modes which facilitated dissemination to all community members regardless of status, gender and age. However, those living with disability, especially the visually handicapped were not adequately covered since there was no information in braille. IFRC/the National Societies community engagement and social mobilization approaches were very effective. Despite the time required to recruit and train volunteers, the National Societies eventually had access to local communities at the grassroots through the NS volunteer network in all the districts. They recruited and trained more than 4,000 volunteers who had adequate and relevant capacity; and they effectively participated in the activities of all the five pillars of intervention. In addition, the volunteers enabled IFRC/National Societies to intervene effectively in some of the hard to reach areas and the most difficult communities to penetrate. The evolution of the social mobilization approach eventually led to the development of the Community led Engagement Approach which was found very effective although it came at a late stage. Volunteer social mobilization activities across the five pillars contributed significantly to community positive change of attitude towards EVD intervention. The volunteers established strong links with the community and religious leaders, an approach which was paramount in marshaling the support and active participation of communities and ensuring an effective follow up of activities. On the ground, the five-pillars approach enabled effective community mobilization, tracing suspected cases for treatment or quarantine, providing psychosocial support to communities to cope, providing clinical services to manage and treat EVD and burying the dead in a dignified manner and disinfecting the environment. Volunteers in different pillars were interdependent and collaborated as they worked for effective results. Interviews and FGD conducted during this evaluation and academic research all point to a great impact of the IFRC response in curbing and stopping the epidemic. The role of SDB combined with CTS has been crucial and the importance of the RC social mobilization approach widely acknowledged as a major contributor to stopping the epidemic. Regarding sustainability, at the community level, although knowledge and awareness on key prevention and protection measures is still there, people in both countries were found to be gradually going back to their past practices as fear has now disappeared. The ebola response achievements in strengthening the HS are being consolidated in the CBS programmes which are implemented nationally and to which SLRCS contributes actively. However, it is not clear at this point whether CBS will be continued by SLRCS at the end of the EVD appeal. The FSL intervention in SL has effective elements of sustainability that will require a continued monitoring and support. In Liberia, the baseline of the current CBHP programme supported by Canadian Red Cross indicate that ebola related knowledge is still of a reasonable level amongst communities. The NS is implementing an integrated CBHP including WASH, DRR and DM envisaged through an epidemic outbreaks angle, which led to the formulation of county-based contingency plans in Bomi County. A national LRCS preparedness program building on this experience could support to sustain the ebola response achievements. From a Health System Strengthening point of view, some of the Red Cross interventions are now clearly sustained within the National Health Systems of both countries. In both countries, the successful leadership taken by IFRC in the Safe and Dignified Burials pillar led to the development of guidelines and SoP which are owned nationally. The Integrated Disease Surveillance and Response Systems have been implemented and are being strengthened with support of CDC and WHO and are a direct legacy of the ebola lessons learnt. The training of staff and volunteers in various thematic related skills have strengthened the capacity of the NS in these areas. The National Socieites have a pool of skilled staff and volunteers able to carry out social mobilization and community engagement activities, provide psychosocial support services, carry out disease surveillance and contact tracing, disaster management and early warning systems, in addition to carrying out safe and dignified burials. Despite these positive trends, the overall sustainability of the response lacked a focused exit strategy planning for the transition from one phase to the other from a strategic, programmatic and resources point of view. In SL, the scope of the CBHP/WASH/DRR programme and the current level of achievements of the recovery plan remains limited, which may limit the sustainability of many EVD response achievements, both at the communities and SLRCS levels. The capacity building of national societies improved their capacities to respond to future emergencies. However, the National Societies still struggle with lack of volunteer database and recordkeeping contributing to poor volunteer recruitment and retention. The development and implementation of policies and systems to guide the management in terms of human resources; procurement and logistics; financial management and; PMER will help the National Societies to address the challenges that they continue to face and strengthen the capacity of the National Societies. To ensure that the gains made in building the capacity of the NS are sustained, it is important that a strong capacity building programme is established to support the leadership and governance. RECOMMENDATIONS OR F UTURE RESPONSES F * R1:Community Led Engagement Approach The experience of the Community Led Engagement Approach seemed to have yielded positive results although it came late in the response. It is therefore recommended to look into this approach more indepth and capture lessons learnt and key best practices to mainstream those in a community engagement and accountability strategy designed for emergency responses that would entail: - The recruitment of a great number of community volunteers at the local community levels is an effective strategy to reach the local communities. Attempts should be made to ensure that recruitment of volunteers is inclusive of all groups of community members including those living with disability. The proactive systematic recruitment of female volunteers as part of the volunteers teams should be maintained and replicated. - It is recommended that IFRC should systematically involve community leaders in all the stages of interventions, including planning, rather than wait and involve them before communities show signs of resentment to an intervention. - Build on community leaders and their role in developing and implementing by-laws during the response to explore further opportunities to strengthen the sustainability of behavior changes. * R2: Volunteers Management The retention of the capacitated and motivated community based volunteers which have been a key asset to the success of the response shall be a top priority of the IFRC agenda and shall be taken into account from the onset of the operation. It is recommended that IFRC develops strategies to enhance retention of volunteers during interventions while at the same time ensuring efficient management of their phasing out at the end of the response. Identifying relevant activities in the program areas of NS or internship programs could be a way forward. In any case, it is recommended to conduct training on volunteer development and management when the need is identified. Psychosocial support to volunteers needs to be better incorporated and mainstreamed in emergency response at an early stage. It is recommended to have PSS for staff and volunteers developed during predisasters times as a key component of Disaster Management and OD programming. * R3: Monitoring and Evaluation It is recommended to IFRC to review its M&E system in emergency to be able to collect and analyse data needed to run the operation with anticipation. In epidemic outbreak responses, a focus on epidemiological data should be emphasized in order to establish a sound data analysis function indispensable to provide strategic directions to the operation. It is also recommended to improve information management and monitoring and evaluation to ensure that there is integrity of data coming from the branches. Similarly, it is recommended that the M&E system in recovery is improved to allow a more efficient programme management and accountability to donors, including baseline assessments and the monitoring of realistic and workable indicators at all levels of the program hierarchy. M&E trainings for project officers and branch managers should be conducted on a regular basis. R4: Transition from response to recovery It is recommended to plan the transition from emergency to recovery with a clearer analysis of the National Societies mandates and capacities. IFRC should engage in assessments of capacities and OD gaps during the response in order to plan a well-targeted transition from response to recovery. Such transition could be planned by deploying OD staff with relief experience during the response, who would be tasked to analyse OD needs and support in planning the transition in terms of availability of resources and design of programmes and OD plans. Workable and realistic exit strategies should be designed and systematically implemented to enhance the sustainability of the emergency response gains. Recovery Strategic planning * R5: Vulnerability Analysis It is recommended that the design and implementation of recovery programming is based on systematic in-depth vulnerabilities and capacities assessments that could be conducted during a brief and focused "inception period". Such a phase would also allow good quality baseline assessments to be conducted. These assessments would support in refining ambitions and in designing appropriate approaches in line with existing vulnerabilities and would also form the basis of a strong participatory community development approach aiming at strengthening social cohesion and inclusion of the most vulnerable. * R6 : Food Security and Livelihoods Strategic planning for recovery needs to take into account IFRC and the operating National Societies mandate and core competencies. Food Security and Livelihood is relevant to IFRC focus on resilience but does not always translate into strategic priorities and competences at the National Societies level who traditionally do not have strong capacities in this sector. Such a discrepancy shall be addressed when planning for recovery and strategic partnerships shall be sought at the global and/or country level with key actors to overcome this challenge when it arises. * R7: Health In the health sector which remains a core strategic priority and competence both for IFRC and the NS globally, it is recommended to conduct strong baseline data, KAP surveys and barriers analysis when planning for recovery, to ensure the design of in-depth public health programming that addresses root causes of poor health. Similarly to FSL, strategic partnerships with key health actors should be sought to address health issues and address social determinants of health which are not within the range of the Red Cross Red Crescent Movement priorities and competences. Humanitarian Diplomacy for health should become a systematic approach to which, combined with strategic partnerships, has the potential to substantially increase the impact of IFRC Health programming. * R8: Capacity Development of National Societies The National Societies should be supported to develop resource mobilization strategies aimed at building the NS capacities to implement programmes within their core strategic priorities and build sustainability of the programmes. Financial support services should be placed at the branch offices to support the branch managers.The National Societies headquartersshould have the capacity to support the branch/county branches to have the adequatefinancial management skills. Continous capacity development programmes focusing on financial management, policy development, procurement and logisitics, human resource and administrationshould be sustained in all the National Societies. Refresher trainings in the areas of social mobilization skills, Pyschosocial support and couselling, integrated disease surveillance, contact tracing should be conducted regularly. In addition, regular monitoring ofcapacity building activities should be carried out. Coaching and mentoring of NS leadership on good governance and management should carried out on a regular basis. The national executive board should carry out annual self- assessment to evaluate their work in strengthening the NS in strategic policies and implementation of financial audits, HR , procurement, resource mobilization and sustainability.Change agents within the leadership should be identified to spearhead change and create ownership of the capacity building programme Draft policies and procedures should be approved by the board and close monitoring of implementation carried out. During an emergency period, the board might suspend full implementation of policies and procedures in writing. Clear timelines must be set for when this should apply and regular review of the situation should be carried out to determine if it is safe to revert back to full implementation of the policies and procedures. FOR MID TO LONG TERM PLANNING WITHIN CURRENT PROGRAMMES * R9: It is recommended that both National Societies develop a realistic and well-targeted strategic plan which will form the basis of its partnerships and resource mobilization strategies and includes a resource mobilization strategy that is based on effective programming as much as on other income generating activities. * R10: CBS should remain, in this form or as ECV, part of the National Societies core programming integrated in CBHP and DRR. There is however a need to improve its sustainability by relying more on unpaid community volunteers, including possibly the Community Health Workers, and by establishing a clearer and stronger relationship between volunteers and health facilities. * R11:The FSL intervention in SL has effective elements of sustainability that require a continued monitoring and support from the NS. Such support should be planned for and implemented during the remaining months of recovery appeal implementation. 2. BACKGROUND The Ebola virus disease (EVD) epidemic in Guinea, Liberia and Sierra Leone is the longest, largest, deadliest, and the most complex and challenging Ebola outbreak in history. It is unprecedented in terms of its duration, size of infections and fatality, and geographical spread. The EVD outbreak in West Africa started in Guinea on 26 December 2013 and spread across borders to both rural and urban areas, to Liberia, Sierra Leone, Nigeria, Senegal and Mali; and reached some parts of Europe and the United States of America. The first case in Liberia was recorded on 30 March2014 in Foya District, Lofa County and in Sierra Leone (SL) on 27 May 2014 where it spread more rapidly than in the other countries. At least 11,310 people died from the disease during the outbreak. Although the EVD outbreak was recognized in January 2014, the WHO did not declare a public health emergency of international concern until 9 August 2014, regardless of the warnings from agencies on the ground, especially Médecins Sans Frontières (MSF). Most international organizations began to respond in a significant scale only after September 2014. Delayed recognition of the extent of the epidemic was compounded further by poor communications, political and cultural resistance by communities. On 18 September 2014, the United Nations Security Council declared the EVD outbreak a threat to peace and security. This was followed by the establishment of the UN Mission for Ebola Emergency Response (UNMEER) on 19 September 2014.The EVD response continued to be destabilized by a state of panic and confusion arising from resistance by communities. The situation only began to change by the end of 2014, when the response became increasingly focused on the districts and started working closely with local officials and community leaders (DuBois, 2015). Following the detection of Ebola outbreak in Guinea in March-April 2014, IFRC launched on 7 April a DREF of 113,217 Swiss francs (for Sierra Leone) and 101,388 Swiss francs (for Liberia) to support communication activities combined with social mobilization (SM) and community sensitization. Several hundreds of volunteers were trained on EVD awareness (use of personal protective equipment, psychosocial support, hygiene promotion and epidemic control). FACTs were deployed in May and June 2014 to Liberia and Sierra Leone (SL) respectively. In Liberia, the first EVD Emergency Appeal was launched in April 2014 for six months with a budget of 517,766 Swiss francs and was revised four times: in July 2014 (1.9 million Swiss francs for nine months) with a focus on scaling up of dead body management; in September (8.5 million Swiss francs and timeframe extended to June 2015); in November (24.5 million Swiss francs). The fourth revision in June 2015 extended the timeframe to the end of 2017 with a revised budget of 46.3 million Swiss francs which transitions from emergency response to recovery. The first Emergency Appeal for SL was launched in June 2014 for 880,000 Swiss francs and was revised four times: in July 2014 (1.36 million Swiss francs), in September-October 2014 (12.9 million Swiss francs to include SDB and ETC), followed by revision n° 3 for 41.1 million Swiss francs, and a revision n° 4 for 56.75 million Swiss francs in March 2015. The January 2015 IFRC Strategic framework consolidates the IFRC strategy to address EVD in the three affected countries including a focus on the post-Ebola recovery period. From February 2015 to March 2015, an IFRC Recovery Rapid Assessment (RRA) team was deployed to the three affected countries which led to the development of recovery plans. What started as a public health crisis in Guinea on 26 December 2013 degenerated into development crises. According to UNDP, the Ebola crisis devastated fragile healthcare systems, as large numbers of healthcare workers became ill or died from the disease. Non-Ebola related morbidity and mortality, including infant and maternal mortality, also increased as resources were diverted to fighting the virus and people avoided seeking health care. The Governments response to contain the EVD led to a disruption in livelihoods and economic security due to closure of markets, roads, banks and movement restrictions. The outbreak erupted at a crucial period in the agricultural season for rice and other important food crops. Many farmers were unable to complete key time-critical agricultural activities such as harvesting and crop maintenance. Two livelihoods groups have been especially affected: the market dependent households and farmers with women being the most affected group. The outbreak had substantial effects on the countries' economies and public finances as shown by World Bank assessments. While all three countries were growing in the first half of 2014, the full-year 2014 growth dropped in Liberia to an estimated 2.2 percent from 5.9 percent expected before the crisis, and in Sierra Leone to an estimated 4.0 percent from 11.3 percent expected before the crisis. Access to basic services – such as education, water and sanitation - has been relatively limited in the Ebola-affected countries. The cohesion of affected communities was also weakened significantly as health care workers, Ebola survivors and burial teams were stigmatized and rejected by their communities (UNDG, 2016). 3. SCOPE AND METHODOLOGY 3.1 PURPOSE AND OBJECTIVE OF THE STUDY The IFRC EVD intervention final evaluation intended to evaluate the impact of the appeal for Ebola response in the three countries of Liberia, Guinea and Sierra Leone. It is expected that findings, key lessons learnt and recommendations from the evaluation will guide the IFRC, partner National Societies of Liberia and Sierra Leone in future programming as well as in Africa region. The details of the evaluation objectives and expected outputs are detailed in the ToR found in Annex 1. The evaluation was implemented in Sierra Leone and Liberia and could not be implemented in Guinea. The field work took place between 18 November and 7 December 2017. 3.2 METHODOLOGY The final evaluation methodology is detailed in the inception report which is found in Annex 2. The evaluation was carried out by three consultants, in Sierra Leone from 18 to 27 November and in Liberia from 28 November to 6 December 2017. The detailed itineraries are found in Annex 3. The methodology used for data collection during the final evaluation was qualitative and included document review, observation and Focus Group Discussions (FGD) in the target communities. Semi-structured interviews (SSI) were conducted with key informants from National Societies headquarters (HQ) and branches, with district authorities, IFRC staff and other key stakeholders (see Annex 4). To the extent possible, triangulation was used to verify and validate information. FGD and SSI were conducted according to structured guides developed for the purpose of this evaluation. 3.3 STUDY LIMITATIONS * The study was conducted two years after the end of EVD Response: most of the key/lead staff involved in the response had either left the IFRC/National Societies and other organizations or were in the process of exiting. In addition, most community members are currently in the process of healing from the trauma of EVD experience and more focused on moving ahead with their lives; and were sometimes uneasy to recall events related to the response. They were understandably more focused on talking about their current daily struggle against poverty, making it challenging for the team to bring them back to painful memories. * Accessing all key documents prior to country visits has been at times challenging given the great number of documents and the lack of centralization by IFRC. * The timeframe for the country visits was modified a number of times, making it challenging for IFRC country teams and for the evaluation team toplan field work, at times generating time loss. Some stakeholders could not be interviewed: for instance it has not been possible to meet staff or beneficiaries knowledgeable about the Emergency Treatment Centers in Sierra Leone, which reduces the findings on this pillar. * The short time frame allocated for a very complex multi-country study involving complex interactions limited the depth of the evaluation. * The evaluation took place in the tense and complex context of the integrity issues affecting its operation in the three countries. In Liberia the integrity issue was unveiled early January 2016 and the National Societies was completing an in-depth and painful restructuring process during the evaluation. In Sierra Leone the issue was still emerging and being dealt with, generating tension and uncertainty. This situation meant that people were reluctant to discuss financial, logistic and procurement topics. It also meant that a great number of key staff involved in the operation was not working for the NS anymore, which limited the scope of the information gathered. * The analysis of whether the programme activities were implemented at the right cost and maximizing the use of resources, and the total management and operational costs has not been possible based on financial documentation available. In addition, given the timing of the evaluation, it was difficult to discuss utilization of funds as it was viewed as a sensitive issue that people were reluctant to address due to the current fraud investigation. The lack of financial procurement documentation at the National Societies level also made it difficult to evaluate if the resources were used at the right cost. 4. FINDINGS 4.1 COHERENCE, RELEVANCE AND APPROPRIATENESS OF THE RESPONSE 4.1.1 Emergency Response Strategy The 'Accra Response Strategy' was agreed upon by Health Ministers from eleven West African countries in July 2014, and the 'Ebola Response Roadmap' published by WHO in August 2014. The 'Accra Response Strategy' was based on three pillars of action: immediate outbreak response interventions; enhanced coordination and collaboration; and scale-up of human and financial resource mobilization. The contents of these two strategies were reiterated in the September 2014 UN STEPP strategy which is structured around five priorities: 1. Stop the outbreak: Identify and Trace people with Ebola Safe and Dignified Burials (SDB); 2. Treat the infected: Care for Persons with Ebola and Infection Control for Responders; 3. Ensure essential services (Food Security and Nutrition, Health services, Cash Incentives); 4. Preserve stability: Reliable supplies of materials and equipment, social mobilization (SM) and Community Engagement and Messaging; 5. Prevent outbreaks in countries currently unaffected. Each of the five elements included specific targets and timelines, which called for 70percent of patients isolated and receiving care and 70percent safe and dignified burials within 60 days of the Mission being rolled out. The classic approach to managing an Ebola outbreak was followed until August 2014 when additional response measures then focused on "the three B's": behaviour, beds and burials. Later, in places where Ebola incidence had declined, emphasis was shifted to the three C's: community ownership, case finding and contact tracing and a greater emphasis was placed on the district-level (DuBois, 2015). The initiation, development and scaling up of response activities by the IFRC is coherent with the response policies and approaches which guided the global response to this unprecedented EVD outbreak, and appropriate to meet the needs identified based on global policies and approaches. The IFRC appeals and the Ebola Strategic Framework results matrix captures the STEPP indicators, making IFRC strategic and operation approach completely coherent with the global response strategy. IFRC was able to quickly and adequately react to the epidemic through a number of appeals and subsequent revisions. The urgency of reacting to the epidemic was quickly identified and materialized in the DREF and the FACT which adequately identified key needs and ways forward. The focus on social mobilization and related training of volunteers appeared in the initial stages of the IFRC planning for response and the same applies to contact tracing. The issue of safety of staff and volunteers involved in a very risky response were addressed early in the response which can account for a very low number of volunteers infected (only four in both countries). The crucial Safe and Dignified Burials pillar is planned for as early as July 2014 and scaled up at the requests of both Governments The integration of case management through the establishment and management of 2 ETC in Sierra Leone at the request of WHO Director General is very coherent with the overall response approach and relevant to the needs of treating an increasing number of EVD patients. Thus, following the detection of Ebola outbreak in Guinea in March-April 2014, IFRC launched on 7 April a DREF of 113,217 Swiss francs (for SL) and 101,388 Swiss francs (for Liberia) to support communication activities combined with social mobilization (SM) and community sensitization. Several hundreds of volunteers were trained on EVD awareness (use of personal protective equipment, psychosocial support, hygiene promotion and epidemic control). FACTs were deployed in May and June 2014 to Liberia and Sierra Leone respectively. In Liberia, the first EVD Emergency Appeal was launched in April 2014 for six months with a budget of 517,766 Swiss francs (SM, surveillance, safety through the use of PPE, PSS and support to people in quarantine). It was revised four times: in July 2014 (1.9 million Swiss francs for nine months) with a focus on scaling up of dead body management; in September (8.5 million Swiss francs and timeframe extended to June 2015); in November (24.5 million Swiss francs). The third revision clearly spells out Beneficiary Communication –"bencomm"- as a specific outcome, capturing the crucial importance of community mobilization in the control of the epidemic. It also launched the piloting of the community based protection approach and made contact tracing and surveillance (CTS) as a separate outcome. The fourth revision in June 2015 extended the timeframe to the end of 2017 with a revised budget of 46.3 million Swiss francs. It introduced the Community Event Based Surveillance System (CEBS) and WASH activities which are found a relevant and timely transition to recovery. The latest revised appeal transitions from emergency response to recovery. The first Emergency Appeal for Sierra Leone was launched in June2014 for 880,000 Swiss francs with a continued focus on social mobilization and the initiation of contact tracing and surveillance (CTS) and PSS. This appeal also included a specific output dedicated to minimizing the risks to volunteers, indicating a strategic concern for volunteers and staff security early in the response. The appeal was revised four times: in July 2014 (1.36 million Swiss francs) when Emergency Response Units (ERU) were deployed to establish the Emergency Treatment Centres (ETC) in Kenema (extraordinary DREF allocationof 1million Swiss francs); in September-October 2014, with confirmed caseload spiraling out of control and twelve out of thirteen districts affected (12.9 million Swiss francs to include SDB and ETC), followed by revision n° 3 for 41.1 million Swiss francs, and a revision n° 4 for 56.75 million Swiss francs in March 2015. The January 2015 IFRC Strategic framework consolidates the IFRC strategy to address EVD in the three affected countries including a focus on the post-Ebola recovery period. It is organized around five outcomes and their related outputs: 1. the epidemic is stopped; 2. National Societies (have better Ebola preparedness and stronger long term capacities; 3. IFRC operations are well coordinated; 4. SDB are effectively carried out by all actors; 5. Recovery of community life and livelihoods. Like other humanitarian actors, IFRC followed the WHO standard recommended public health actions for stopping the Ebola outbreak, which have been characterized as the five pillars of the IFRC Ebola response: 1. Community engagement – social mobilization; 2. Psychosocial support; 3. Surveillance and contact tracing; 3. Case management and treatment; 4. Safe and dignified burials and disinfection. IFRC response strategy is relevant to the Red Cross Red Crescent Movement core capacities and comparative advantage: the focus on social mobilization, the deployment, training and safety of volunteers who formed the backbone of the response were appropriate and relevant to SLRCS& LNRCS mandate and capacities. Subsequent focus on CTS and SDB were particularly appropriate considering the socio-cultural dimensions of the epidemic. Communities interviewed highlighted the appropriateness of social mobilization activities to effectively contain and stop the epidemic. They particularly valued: the role of community volunteers, their respect of cultural norms and values (which created trust and ownership in contact tracing and surveillance, use of emergency lines for calling ambulances and SDB teams), the provision of hand washing messages and stations and the support to survivors with non-food items and psychosocial support. 4.2 COHERENCE, RELEVANCE AND APPROPRIATENESS OF THE RECOVERY PHASE The IFRC recovery approach in both countries is found coherent with key needs and priorities identified by the National recovery programmes. In Sierra Leone, the President's Recovery Priorities (July 2015 to June 2017) prioritized immediate needs in the education, health, social protection and private sectors and identified thirteen results in seven priority sectors to transition the economy back to the Agenda for Prosperity (Health, Social protection, education, private sector development, water, energy and governance). The health sector prioritized Sexual and Reproductive Health (SRH)including Community Health strengthening; Preventing, detecting, responding to epidemics (through integrated diseases surveillance and community sanitation) while the Water sector entailed providing access to water supply to 1,300,000 people. In Liberia, the Economic stabilisation and Recovery plan aimed to revitalize growth to pre-crisis levels and make it more inclusive; provide support for the poor and other at-risk groups; and rebuild and strengthen the capacity to deliver core social services with better coverage in the rural areas. The revised seven-year Health Investment Plan aimed to build a more resilient health system (HS) and prioritised epidemic preparedness and response, management capacity and enhanced service delivery. The WASH Ebola recovery plan aimed to increase access to gender friendly WASH services at the community, health centers and schools level. From February 2015 to March 2015, an IFRC Recovery Rapid Assessment (RRA) team was deployed to the three affected countries. The RRA applied a participatory approach consulting communities, government and non government stakeholder with full participation of both National Societies. The RRA recovery options were derived from the analysis of the pre-EVD vulnerabilities in the country, the EVD impact and an analysis of the Governments recovery priorities, and discussed during a validation workshop. The RRA should have been complemented by in-depth participatory vulnerability and capacity assessments analyzing root causes and manifestations of vulnerabilities (including from a gender perspective) and proposing approaches to strengthen social cohesion. In Sierra Leone for instance, the livelihood programme suffered from a lack of clear definition of beneficiaries, which created delays and challenges within communities: the focus on EVD survivors might seem relevant from a response continuity perspective; however stakeholders interviewed (including SLRCS, IFRC staff and communities) underlined the fact the communities as a whole had been affected by the outbreak, highlighting the need to analyse root causes of vulnerabilities including pre-EVD vulnerabilities. The UNDP project focus on a particular category of volunteers (SDB teams) has also been questioned as lacking an overall approach of stigma and discrimination. It focused on a particular category of volunteers who were perceived to have undergone more severe psychological trauma as a result of burying many dead bodies, but its fairness was questioned by other volunteers who felt they were all engaged in a high risk intervention that put all of them at risk of EVD infection and left many of them emotionally derailed. Besides, their engagement in EVD intervention exposed all of them to very devastating stigmatization by family and community members. Interviews and FGDs with different groups of volunteers and other stakeholders confirmed that volunteers suffered serious stigmatization irrespective of the pillar activities they engaged in. As at the time of the field visit, the evaluation team met some of the volunteers who had to change houses because of eviction by their land lords; and those whose spouses had ran away and were still separated from them and; they confirmed that they were involved in other pillars (social mobilization, contact tracing) and not SDB pillar activities. Based on the evaluation findings, most of the stakeholders including the volunteers were of the opinion that, it would have been better for the recovery intervention to focus on all the volunteers to enable them adjust to normal life after their participation in the EDV intervention; even if it would have meant conducting the intervention in different phases as more funding was being sourced to cater for the large numbers of volunteers. The IFRC recovery approach in Sierra Leone is captured in the appeals revision 4, 5, 6 and (March and June 2015, March 2016 and July 2017) and is structured around the following sectors and projects: The Community Based Health Programme (CBHP) planned to expand CBHFA to 133 communities in five districts through the re-activation of community-based clubs and youth peer educators, with a focus on maternal new-born and child health (MNCH), HIV and AIDS and (Sexual and) Gender Based violence (SGBV) and support to MoHS National Immunization Days. Psychosocial Support was meant to be integrated into long-term CBHFA and Disaster Risk Reduction (DRR).WASH activities prioritized hygiene promotion through Participatory Health and Sanitation Transformation (PHAST) and Children Health and Hygiene and Sanitation Transformation (CHAST). Food security and livelihoods (FSL) activities were prioritized in 8 districts, later reduced to 4 districts due to operational challenges, with a focus on the provision of seeds, tools, livestock and training. The FSL component was implemented with earmarked funding by the Japanese Government, followed by a second phase funded from the appeal. DRR was envisaged through Community Based Surveillance System (CBS) in 5 districts. The GoSL Community events based surveillance programme (CEBS) commenced in 2015 supported by the mainstream Integrated Disease Surveillance and Response (IDSR) at the facility level. In 2016 and 2017, CEBS transitioned to CBS as an early warning system (EWS) strategy, for natural disasters and 11 communicable diseases. SLRCS operated in two of the most affected districts (Koinadugu and Bon). It was also planned to establish Disaster response teams, develop district contingency plans and conduct DRR education at the community level (including schools). IFRC and SLRCS implemented a UNDP-funded project "Reintegration of SLRCS Volunteers Burial Teams"(hereafter referred to as the "UNDP project" - August 2015 to May 2017), which targeted 800 SLRCS SDB volunteers and 500 volunteers from the other response pillars. The goal was to re-skill and reintegrate SLRCS volunteers victims of stigma and to improve their access to livelihood opportunities. The IFRC recovery approach in Liberia is captured in the appeals revisions 3, 4 and 5 of November 2014, June 2015 and September 2016. It was planned in the short, medium and long term andtargeted 60,000 people across 5 districts (Margibi, Bomi, Montserrado, Grand Cape Mount and Gbarpolu). In Health, it aimed to contribute to Liberia's national HS strengthening through integrated community-based health interventions (CBHFA, CEBS, PSS and social mobilization for immunization, MNCH, common diseases). It was in the long term planned to have an overall community resilience programme entailing CBHFA, CEBS, PSS, WASH, livelihood and DRR interventions. The WASH pillar was to materialize in the rehabilitation and construction of community water points and sanitary facilities, training of community WASH committees, chlorination campaigns. The Disaster Management sector aimed to strengthen Early Warning Systems (EWS) for regular epidemics and other disasters through the reactivation of emergency response teams (ERT) and the formation of Community-Based Action Teams (CBATs) and cross-border activities. In FSL it was planned to distributeseeds and tools, provide conditional cash and vocational training. The plan also aimed to establish and maintain community engagement activities across all pillars of intervention. The IFRC FSL projects are relevant to the needs of communities. They were designed to minimize the impact of EVD, enable beneficiaries to rebuild their livelihoods and enhance FS which is relevant to the needs as valued by the communities interviewed who found it appropriate to combat poverty, and coherent with Government and other key stakeholder's policies. Similarly, the RCRC has a relevant role to play in CBS and health and hygiene promotion due to its well-trained and extended network of community-based volunteers. The importance of CBS has been valued by communities interviewed as a key tool to prevent future outbreaks. The same findings apply to the WASH sector. Although these approaches are found relevant to the needs, the scope of the CBHFA and WASH programmes are not found large enough to meet the health needs The impact of communicable and water borne disease and the barriers to access to health care, especially in remote communities of both countries, generates a high burden of health problems which were pre-existing to the EVD outbreak. The weakness of the health systems (HS) has also been acknowledged as one of the key factors worsening the scope and impact of the EVD epidemic in both countries. Communities interviewed highlighted recurrent health problems (communicable and water borne diseases, malaria, nutrition issues) and the barriers in accessing proper health care and information. In light of these factors, the evaluation finds that the recovery health strategy lacked a public health focus on health and hygiene promotion, strengthening the HS and addressing key social determinants of health (SDH) such as WASH, nutrition or gender. Due to a lack of clear prioritization and lack of capacities at SLRCS (as highlighted both by SLRCS and IFRC), the WASH intervention did not materialize in SL which is a missed opportunity. Lastly, a long-term humanitarian diplomacy (HD) strategy targeting the barriers to access to health care (affordability, lack of performance of the national HS) would have efficiently complemented the approach, including with a focus on health care provision for ebola survivors. The IFRC recovery strategy, although very relevant to the needs and coherent with IFRC Strategy 2020 that prioritises community resilience, does not always match the traditional NS core competences and priorities. FSL was not and is not a priority for SLRCS and LRCS who did not prioritise it in their strategic plans and did not have qualified staff and experience to implement such programmes. The same applies to the UNDP project in SL which materialized through a top-down modality and appears as a stand-alone project. The CBHP suffers from a lack of prioritization and focus and remains relatively modest in its ambitions, compared to other sectors. Considering the achievements of the RC Movement during the EVD response, it seems that an opportunity has been missed for the National Societies to sustain the EVD response legacy in behaviors change. This would have helped the NS to develop its resource mobilization (RM) strategy by showing good results to the donors. In both countries, capacity building was envisaged as a crosscutting activity across all programme interventions with the following priorities: leadership and governance, resource mobilization, volunteer management, administration, HR, logistics and planning and PMER. In Sierra Leone there was a clear focus on financial management and accountability through a comprehensive finance management capacity assessment. In Liberia, the capacity building strategy prioritized decentralization through the establishment of 5 regional hubs. The OD strategy did not seem to be tailored to support the National Societies to implement the recovery programme and transition to long -term programming. SLRCS had not been through an Organisational Capacity Assessment (OCA) prior to EVD, which made it challenging to evaluate the OD needs. The design of the recovery strategy should have assessed existing capacities and gaps both at the HQ and branches level and factored them in, as recommended by the RRA. A post EVD response volunteer demobilization and retention strategy building on the achievements of the response was also necessary to ensure the capacities built during the EVD response could be retained or tapped in when needed. The construction of a 2 million USD multi-purpose building does not seem to emerge as the outcome of a structured resources mobilization strategy. As a result, SLRCS struggled to implement, monitor and report against recovery programmes which were not owned (such as the UNDP programme which was imposed on SLRCS without prior consultation) or did not fit within its mandate and capacities (FSL).For instance, the FSL programme in SL initially targeted eight districts, which had to be reduced to 4 districts due to implementation challenges and delays. 4.3 EFFICIENCY 4.3.1 Availability and utilization of resources (financial, human, physical and informational) i. Financial Resources Response phase Source: OperationUpdates Source: Operation Updates The trend from the graphs above shows that: - In Sierra Leone the funding available was way below the amount of the appeals in the first months of the intervention, which was confirmed by interviews. In Liberia the funding available was mostly lower than the amount appealed for. - From January- March 2015 in Sierra Leone, the funding exceeded the appeal amount and in Liberia this happened only once in December 2014. The expenditure in both countries was mostly lower than the available funding throughout the EVD operation. There was a sharp increase in the appeals from July, 2015 onwards apart from OctoberDecember, 2015 where there was a significant decrease in appeal, funding and expenditure but went up again the subsequent months. The funding available was almost equal during the response and recovery period. The first emergency appeal for Liberia was launched in April, 2014 and for Sierra Leone was carried in July 2014. These appeals were necessary to enable the IFRC to support the National Society to respond to the EVD outbreak and scale-up the surveillance and contact tracing. In Sierra Leone the funds were used to open an ETC in Kenema districts in September 2014.In June, 2015 the post-EVD recovery increased the appeal to be able to respond to the recovery phase activities, the available funding most of the times lower than the appeals but higher than the expenditure. Recovery In Sierra Leone, resources were available to implement the UNDP project and the Food Security and Livelihoods project funded by the Japanese Government. It was reported that the 100% of the DRR funds were utilized in this project. In Liberia, most of the donors pulled out in the recovery phase but there were funds available to be utilized in both countries and it is observed that the spending remained low compared to the funding available in the recovery phase too. Although the EVD operations in both countries struggled to kick start due to lack of funding during the first months following the appeals, the situation changed positively when the epidemics became more publicized. The funding started to exceed the amount appealed for and the operational capacities. From that moment onwards the operations had the necessary financial resources to respond. However, the challenge during the time was low burn rate; the average spending was 58% of the available funding. The low burn rates can be attributed to the delays in the recruitment of staff and volunteers therefore leading to a slow start in implementation of activities. ii. Human Resources Volunteers In both countries the number of volunteers trained during the first months of the epidemic increased following the recruitment of new volunteers. In Sierra Leone, the number increased from 720 volunteers trained in September 2014 to 2,269 in December 2014. In Liberia, the number increased from 2000 in September 2014 to 6,170 in November, 2014. The Sierra Leone, Liberia and Guinea National Societies had an estimated base of 28,000 volunteers and approximately 7,600 volunteers specifically trained for the Ebola response (IFRC Ebola volunteering review February 2017).Both countries were able to mobilize enough volunteers on time to respond to the evolving nature of the EVD. The volunteers played an important role in support of the affected people and in response to their needs. The volunteers dedicated 2-3 hours a day to carry out EVD operation activities however, the SDB teams worked longer hours. At the beginning of the recovery period in June 2015, Sierra Leone reported an increase in the cumulative number of trained volunteers to 4,924 by December 2015. This can be attributed to the fact that activities in PSS and social mobilization had increased during this period and there was a need to increase the number of volunteers. In Liberia there was a decline in the number of trained volunteers in April 2015 to 974 trained volunteers, which can be attributed to the slowing down of activities in the response phase. However, the re-emergency of EVD in March led to an increase of volunteers to 1,124 in May, 2015 and 1369 in September, to support social mobilization and contact tracing activities. In both countries volunteers were retained in to the recovery phase to carry out psychosocial support services to the community. Different groups of volunteers were trained on social mobilization, psychosocial, community surveillance and safe and dignified burial. This training helped the volunteers provide the necessary services in the community. The number of volunteers implementing various activities changed as EVD progressed. The SDB teams were disbanded when no deaths were reported and the psychosocial support volunteers continued to provide services throughout the operation including the recovery phase. Delegates In both countries the deployment of delegates was efficient at the beginning with the deployment of a FACT team at the beginning of the operation. This supported the National Societies identify their needs and prepare for a full scale operation. Before the epidemic IFRC did not have representation in Sierra Leone and had been supporting SLRCS through its regional office for West Africa in Cote d'Ivoire. From April, 2014 IFRC began to support SLRCS on Ebola preparedness and response following confirmation of cases in Guinea. This triggered the start of an operation and sending of delegates to the country. Water and Sanitation (WATSAN) delegate was the first to be sent to the country. After the first case was reported, a FACT was deployed in early June 2014. Shortly after, a Health and Hygiene promotion ERU was deployed to support SLRCS and the MOHS with CBS and health promotion activities. An IT and logistics/Telecomm ERU was deployed to provide support services at the IFRC operational hub in Kailahun. Other delegates included operations manager, logistical, Health, Watsan, Beneficiary Communications, finance and administrative delegates to give support to the operation. In Liberia, IFRC had an office in Monrovia and an OD delegate before the EVD epidemic broke out. As the epidemic crisis extended the OD delegate became the operation manager for the EVD operation. A FACT team was sent to Liberia in April 2014 followed by an ERU team and RDRT team which included delegates with skills in PSS and health. Other delegates that were deployed were logisticians, finance, operations, health, administration, IT, BENCOM and Information management. However, as the operation intensified there were delays in recruitment and deployment of delegates because of various reasons It was difficult to recruit delegates willing to travel to EVD countries and this caused delays in sending delegates with the necessary skills at the right time. IFRC collaborated with Spanish RC and MSF Switzerland to provide an EVD pre-deployment course for staff expected to be deployed. There were also delays in replacing delegates whose terms had lapsed causing delays in the implementation of activities. The delay in deployment of delegates led to inefficient response due to lack of necessary skills within the national societies that relied on the delagates to carry out activities such as training of volunteers who were vital in the implementation of activities. The interview findings suggest that the redeployment and the exit of delegates at the end of the response phase was hurried, leaving little time for proper hand over to the National Societies. Most of the delegates left at the start of the recovery phase leaving a gap in the implementation of recovery activities. For example, in August 2015, SLRCS had to request IFRC to send a PSS delegate to support the rolling out of PSS activities after they had started implementing the recovery programme. Also, the FSL programme was implemented without a delegate, until it was realized that SLRCS did not have the capacity. In general, the delegates deployed brought in necessary skills in procurement and logistics, SBD, psychosocial, community mobilization, surveillance, Finance and administration, IT and information management, Communication all necessary to carry out the EVD operation efficiently. National Staff In both countries the number of national staff increased drastically, especially in the category of drivers, nurses, administrative and logistics officers. The recruitment of staff had a lot of delays because of the high numbers needed and lack of administrative capacity within the NS to carry out massive recruitment within a short period. In addition, qualified people were not willing to carry out the EVD work for fear of contracting the disease and the stigma associated with it. There was also a challenge of poaching of trained staff and volunteers by the other INGOs who were paying better allowances. In the recovery phase, the implementation of the UNDP programme in Sierra Leone faced challenges with some branch managers who did not understand their monitoring and data collection role. In addition, the IFRC staff in charge of the project was leaving the country, handing over the project to new staff who had little understanding of the project. In Liberia, there was a shortage of volunteers to implement activities in the recovery phase such as PSS. In addition, in Sierra Leone there was a lack of capacity of a WASH expert to implement WASH activities in the recovery phase leading to postponement of these activities. Adequate human resources were not always available when needed despite great efforts made at the IFRC Geneva and National Societies HQ levels to keep up with the needs. There were delays in recruiting and deploying and replacing delegates. At the beginning of the operation, the National Societies did not have adequate staff and volunteers and it took some time to recruit them. The deployment of FACT delegates was timely, however, there were challenges in getting qualified delegates deployed at the right time and lack of proper handover and an insufficient number of delegates in the recovery phase, which left the SLRCS struggling in managing recovery activities Despite all the challenges, IFRC and the National Societies in both countries utilized the available human resource to achieve the objective of the operation. iii. Physical Resources In Sierra Leone, IFRC set up two ETC, first in Kenema, then in Kono districts. This was implemented following a request from WHO. The ETC provided much needed bed space at a time when there was an increase in the number of new cases. This increased the efficiency of providing treatment and isolating sick persons in the community. The centres remained opened and were closed when fewer cases were reported and the staff were redeployed to other areas. During the EVD operation, both countries received a great number of vehicles, however, despite this increase, the evaluation found that there was still a need for more vehicles to reach the remote areas (or a better allocation of existing vehicles), especially in Liberia instance in Foya District where volunteers had to carry out their activities walking long distances in a very large area. A similar story was reported in Kenema district in Sierra Leone. The lack of enough vehicles led to a delay in the implementation of activities therefore reducing the response rate of the operation. In June 2014, IFRC set up its field base of operations in the SLRCS Kailahun Branch office. Other Branch offices (Kenema, Port Loko, Western Area, Bo and Bombali) were strengthened to help promote a wellcoordinated and effective response. Two warehouses were constructed in Kenema and Waterloo, the branches were provided with motor bikes, computers, solar panels, internet-modem, generator and printers. Other physical infrastructure activities carried out were fencing of the ETC cemetery and rehabilitation of the VHF ward in Kenema hospital. During the field visit the SLRCS was still constructing a warehouse in waterloo as part of the recovery phase. In Liberia, the operation initially used the three rooms at the LRCS head office as warehouse but later moved to the warehouse to the car centre. County branches such as Bomi and Bassa were used as operation field base and were equipped with computers, internet and generators to support efficient operation. The head office was also fenced during this time. There were plans to set up four regional logistical hubs to bring supplies closer to the community but this was not carried out due to a lack of a clear sustainability plan. In addition, plans to build an annex at the national head office did not take place due to lack of funds. The setting up of field bases and ensuring that they were equipped to run an operation effectively increase the efficiency of the response time. The services were brought closer to the community and therefore community were able to receive services such faster and in addition, they were able to collect information much faster and respond to community needs at a faster rate. The operation mobilized a high number of resources but lacked some resources to run the operation efficiently. The insufficient number of vehicles throughout the operation delayed activities especially in hard to reach areas. Also, IFRC vehicles were brought from the fleet base in Dubai, which required time and created some delays in the operation. The lack of sufficient number of warehouses to store the supplies was also observed in both countries. This affected the procurement and logistics of operation as there was limited space to put up the supplies which was needed at the time. However, there was good utilization of the limited physical resources available despite the delays in ensuring that the field base offices were ready for staff to occupy and effectively coordinate operations. iv. Information In Sierra Leone a mobile data collection system was set up to enable GPS plotting of bodies and collection of key data on timing of responses and circumstances of death. In addition, Trilogy Emergency Response Application (TERA) and Artificial Intelligence for Disaster Response (AIDR) were used to analyse SMS broadcasts and social media content. This led to enhanced digital social mobilization by filtering and classifying social media messages related to emergencies, disasters, and humanitarian crises increasing the number of people reached. The use of mobile data collection enhanced the operation by being more efficient in collecting data for analysis and therefore increasing the efficiency of the operation. IFRC did not set up an information system capable of producing reliable and targeted epidemiological data although this had been specifically recommended by the Real time Evaluation IFRC therefore had to rely on various external sources such as WHO or CDC, which made epidemiological analysis at times challenging and led IFRC to be behind the epidemic instead of making attempts to anticipate it. Digital Divide Initiative (DDI) project enhance the information technology and communication (ICT) capacity of the National Society. The evaluation team was not able to determine utilization of information technology in Liberia. Information Management and M&E were a challenge in such a fast spread epidemic. Accurate scenarios were discussed and planned on a monthly basis but due to the IMS and the M&E weaknesses, the response was constantly behind the outbreak in terms of resources as the information available did not allow anticipation. A better quality Information management system IMS would have allowed for instance to organize delegate surge capacity on predicted caseload rather than constantly being forced to adjust to the evolution of the epidemic. Epidemiological data was missing and it was highlighted during interviews that a staff dedicating to collect epidemiological data should have for instance been attached to SDB teams. 4.3.2 Timeliness of the delivery of outputs in relation to the beneficiary needs i. Safe and Dignified Burial In Liberia the SDB component was included in the fourth revised appeal and in Sierra Leone the first appeal to include SDB activities was in September and October 2014.In both countries the SBD teams were increased progressively with the increase of people dying of EVD. In Liberia, the SDB teams started with three teams and closed with fifteen teams with a total of 150 volunteers (including 15 females).The SDB teams in Liberia started their operations two months after the first case was reported in March 2014 and most deaths happened in September 2014.In Sierra Leone the team started with 36 volunteers divided into 6 teams and at the end of the response phase the team had grown to 54burial teams which represent approximately 45% of all the teams across the country. The National Societies were responsible for at least 2,200 burials of EVD positive persons across the three countries (Tiffany et al. 2017). The operation also increased the teams when requested by government to handle areas that they were not in charge of e.g in Liberia, where SDB activities were supposed to be in one county but the government requested at some point LRCS to take up SDB activities in Bomi, Magibi and Capemount. LRCS then refocused on Montserrado once the GoL had been in a position to train its own staff. In August 2014 the Sierra Leone SDB pillar scaled up its activities in six districts because the other agencies involved in SBD were beginning to pull out of the operation. After the declaration by WHO on 7 November 2015 that declared the country free of EVD, Sierra Leone, SDBs were reduced with a small number of teams on stand-by to deal with suspicious deaths. In April 2016, after ten months of facilitating the safe and dignified collection, cremation and burial of over 3,800 bodies, LNRCS handed back the responsibility to the Ministry of Health and Social Welfare (MoHSW) but retained three SDB teams on stand-by. After the IFRC was requested to lead the SDB pillar, both National Societies acted swiftly by recruiting and training volunteers to carry out SBD activities and they were able to adjust to the epidemic evolution and the needs on the ground. Approximately 100% of the burials had been conducted within the recommended 24 hours after receiving the alert. The SDB activities were timely and this curtailed the spread of the virus therefore reducing the number of deaths and eventually delaying the countries ebola free ii. Social Mobilization and Community Engagement Active community mobilization activities started after the FACT team were deployed in the countries. In Sierra Leone, Red Cross Social Mobilization teams, in partnership with the MoHS carried out intensive social mobilization during the 3 day lock down by the Government in September 2014. The National Societies supported mass communication activities through radio dramas and the weekly live one-hour radio call-in show for questions and answers about Ebola aired on a national radio station. In November, 2014, SLRCS continued to scale up social mobilization in high transmission areas such as Bombali, Tonkolili, Port Loko and Western Urban and Western Rural. The radio show were increased to twice weekly for one hour interactive Radio Broadcasts In addition, Television program on national TV were introduced in January, the 2015 Construction of 140Community RC information kiosks started to be located in 14 districts. In May 2015, a new social mobilization strategy was developed to disrupt the transmission chain between Sierra Leone and Guinea which included the setting up of a technical group to coordinate cross-border activities. In support of 'Operation Northern Push', IFRC trained and deployed an additional 697 volunteers to Port Loko through a MoU with UNICEF. Nine vehicles were deployed (including six sounds truck), 120 megaphones and batteries, 15 000 leaflets and posters, and 33 bicycles to community leaders in the hotspot areas. Exit by partners involved in SM activities led to an increasing number of requests to SLRCS to take over these activities in a number of districts. In Liberia, Ebola awareness raising was scaled up in eleven counties by October 2014. By March 2015, volunteers continued to conduct social mobilisation across Liberia and responded to changing patterns of transmission, scaling up in hard to reach areas such as "No Way Camp" inhabited by gold miners. The number of social mobilization volunteers was being scaled down from areas with no new cases such as Grand Cape Mount. The LNRCS responded again when the Ebola outbreaks happened in May and August, 2015 and mobilized volunteers in those areas such as Margibi County. In both countries the number of people reached by volunteers and through mass media increased steadily from September 2014 through July 2015, during which active engagement with the communities was needed to reduce the spread of EVD. In Sierra Leone, 756,987 cumulative people were reached by September, 2014 and 2,440,580 had been reached by July 2017. In Liberia, 103,470 had been reached by September, 2014 and 2,409,593 by July, 2014. In the recovery phase, Liberia social mobilization numbers did not increase but instead remained the same. However, In Sierra Leone, there was an increase in social mobilization and community engagement reaching a total of 3,561,128. Social Mobilization activities ended in November 2015 in Sierra Leone and In July 2015 in Liberia. Social mobilization and community engagement was initiated in a timely manner but the scope of intervention was initially slow due to the limited number of volunteers available and trained at the beginning. Then a massive recruitment of volunteers took place to scale up social mobilization. The messages were also developed and constantly adapted to the changes of the context. This adaptation continued after the end of the response when messages were focused on issues of reintegration of communities. The timely use of social mobilization volunteers and use of mass media to spread correct information in the community supported the operation positively and helped reduce infections and increase community engagement and cohesion. iii. Psychosocial Support Services In Sierra Leone, volunteers started providing PSS at Kenema ETC in September, 2014 targeting both patients and family members. They were also supporting the re-integration of treated Ebola patients back into the communities. In October 2014, 261 volunteers were trained on how to provide PSS. In January 2015, a strategy to carry out joint PSS for SDB team members was developed and a survey to determine the perception of community members towards SDB team members and their families was carried out. PSS support for staff was started in September 2015 and continued until December 2015. In April, 2015 a PSS training targeting PSS facilitators and coaches was carried; out the objective was to give skills so that they can work closely with respective Branch management to provide timely PSS to SDB volunteer and guide them in selecting course to undertake in the recovery period. In May 2016, individual and group counseling sessions were organised in 10 branches for SDB teams as well as 'de-traumatization activities in 8 district headquarters to move people to their normal lives. In June, 2016 PSS sessions were held in 22 communities from 13 districts. In Sierra Leone, the PSS Recovery Phase was intended to run from January to December 2016; but started September 2016. The late start made it difficult to complete planned project activities. A 3 months extension period was given up to march 2017; but still the activities could not be completed. In Liberia, the initial approach was to provide PSS support to government communication Centre. However, in August 2014, the LNRCS realized that the community needed their services and therefore recruited more volunteers to provide PSS services at the community level. They recruited 70 PSS volunteers in each county. During the recovery phase PSS continued in 5 counties and they linked up survivors with the survivors' network. PSS support was gradually seen as an important part of the program and an increasing number of volunteers were recruited to provide PSS services at the community level both in response and recovery phase. However, PSS for volunteers working in very stressful situations and being stigmatized was not integrated and systemized in the response from the onset. This gap was repeatedly highlighted during interviews and FGD. The FACT team that was deployed first did not have a PSS delegate and sometimes the operation did not have a PSS delegate (e.g Sierra Leone in August 2015 the programme did not have a PSS delegate to support the SLRCS counterpart in rolling out PSS activities).Although, PSS activities were introduced later in the operation, they have had contributed significantly in bringing community cohesion and integration. The acceptance of treated ebola patients and the support provided to help communities cope with the effect of EVD have helped the countries move beyond EVD period and focus on the normal day to day activities. PSS support provided to the SDB teams helped them select relevant courses that have helped them improve their livelihood post EVD. iv. Contact Tracing and Surveillance During the three-day lock down September 2014, Sierra Leone Red Cross Society staff and volunteers carried out contact tracing activities that identified new cases and Ebola suspected cases in the community and among health workers. In October 2014, additional volunteers were trained to support contact tracing in both countries. The numbers of contact traced increased from10,060 in Sierra Leone and 5,371 Liberia in September 2014, to17,781 in Liberia and 26,269 in Sierra Leone in November 2014. The re-emergence of new cases in Liberia September, 2015 led to an increase in contact tracing activities. After October 2015 there were no new contact reported in both countries until the end of the operation. In May 2015, the SLRCS shared information with the Ebola Response Committee (ERC) on lessons learned in the implementation of Community Event Based Surveillance (CEBS). In addition, Community Event Based Surveillance Reporting Guidelines (booklets) were developed for volunteers and supervisors to support SMS reporting. In May, 2015, there was a delay in the registration of Closed User Groups and SIM cards and providing additional motorbikes leading to delay the implementation of activities. However, this was resolved in the month of June where mobile phones with sim cards for data collection and 77 bikes were procured. By January, 2015 contact tracing volunteers were now reporting other diseases such as measles yellow fever, diarrhea, fever, body pain, headache, malaria, Sexually Transmitted Disease, abdominal pain, stomach pain, cough and skin rash other than EVD. They were also involved in vaccination campaign February, 2015 recorded the least number of notification received from the implementing districts as a result of volunteers refusing to report on cases from their communities due to lack of motivation and incentives, blocking of sim cards by the service provider and lack of fuel for supervisors to help them move around to assess on notifications received. In July, 2015 being part of 'Operation Northern Push' SLRCS developed an implementation plan for CEBS teams in Port Loko which is a border town affected by new Ebola cases in the community. In Liberia, the procurement of motorbikes to improve logistics in the counties was done in December 2014. In February, 2015 due to the declining number of cases throughout the country, most of counties scaled down the number of contact tracers and in May, 2015, the Red Cross stopped conducting any contact tracing but instead focused on active case finding. Contact tracing was slow to take off as it started in September, 2014after the EVD had spread across the countries. Contact tracing started at a slow pace and therefore may have resulted to the rapid increase in cases in Sierra Leone and reemergence of Ebola virus in Liberia which could have been prevented if contact tracing had been carried out in a moretimely manner. Contact tracers also helped in carrying out surveillance for other diseases before they became an epidemic. v. Case Management At the beginning of the operation IFRC/SLRCS had limited direct involvement in case management and treatment but collaborated with MoH. The Red Cross ETC in Kenema opened in mid- September 2014 and was fully operational In January 2015, while the Kono ETC opened in 10th January 2015. This increased Sierra Leone's treatment beds capacity to 1,200 and 437 community care centre beds. However, this was still not enough as WHO estimated that there was a need for 500 more treatment beds and over 750 additional community centre beds. In Kono new nurses were trained to address the shortage of nurses. In February 2015, as incidence went down, the District Health Management Teams (DHMTs) were released from Ebola facilities to accelerate recovery of the non-Ebola health system. On 30 April 2015, the Ebola Treatment Centre in Kenema was officially hibernated and the ETC in Kono was officially closed on 27 November 2015. Case Management was timely because IFRC was able to response to the request from WHO on time and effectively. This increased the number of bed capacity therefore reducing the number of deaths. The timely response helped address the bed capacity shortage experience in Sierra Leone , this addressed this challenge and therefore provided more bed space for people infected with ebola and therefore reducing the chance of them spreading the disease and of dying. Timeliness of the recovery In Sierra Leone, the UNDP project was launched in May 2015, but was postponed twice due to re-emergence of EVD in Sierra Leone and to management issues within SLRCS. In March 2016, the Project then resumed its activities, but out of its 12 months of implementation, it lost nearly ten months which necessitated extension of the project at least twice. The FSL project started in August 2016, 5 months later than planned. In Liberia, the recovery period was faced with challenges following financial restrictions which delayed implementation of activities. The WASH, PSS, Health and Livelihood activities were only implemented for 4 months but were initially planned to run for two and a half years. Therefore many activities were not completed. The recovery phase has faced challenges in terms of timeliness. The timing of the Recovery Response Assessment (RRA) was late as it took place in February, 2015 when most of the recovery plans nationwide were almost already in place. The start up of the recovery activities was then delayed in almost all the pillars in Sierra Leone. The UNDP project had to go through 2 non-cost extensions of about ten months, the FSL also had to be extended, and at the time of the evaluation most of the other recovery pillars were being extended to 2018 due to implementation delays. In Liberia, due to the integrity issue, the recovery programme was initiated in September 2016 and ended in December of the same year. The timeliness of the recovery phase was not adequate as it started late and was implemented for a short period, the recovery phase was not efficiently managed and this resulted to misunderstanding with the community who expected the activities to be seamlessly after the response and for a longer duration post EVD. 4.4 COVERAGE 4.4.1 Response phase The EVD intervention was initially implemented in the Districts bordering Guinea, (Kailahun and Kenema in Sierra Leone and Foya in Liberia) where the EVD originated from, and was gradually expanded to all the Districts. The response eventually covered all the fourteen districts in Sierra Leone and fifteen districts in Liberia. The strategy was to try to control the effects of the epidemic on the communities in those areas and counter the likelihood of its fast spread to all parts of the two countries because of the high level of mobility and interactions of the people, and the panic that had griped the entire population. At the initial stages, because of the panic, fear, denial and confusion among community members, it was difficult to reach some of the people who needed urgent support. However, as more community outreaches were conducted by volunteers, and as community members gained more understanding of EVD, the situation started to change. They became more open, accessible and receptive; and many more of them were reached by the key EVD information. As a result community members increasingly gained clearer understanding of the disease, cooperated and were able to make informed decisions about participating in the fight against controlling Ebola transmission. Evaluation findings showed that the IFRC EVD intervention coverage strategy aimed at reaching all those at risk of being infected by EVD in all parts of Sierra Leone and Liberia. The first appeals and IFRC technical support targeted Kailahun, Kenema and Foya Districts where EVD started but later Appeals covered intervention expenses in the rest of the districts in the two countries. The main strategy was to ensure that both the financial resources and human technical support including volunteer activities in the five pillars gave adequate coverage to all community members who were vulnerable and at risk of being infected by EVD. Findings through interviews and FGDs with key stakeholders including community members and volunteers also confirmed that from the onset, EVD intervention targeted supporting all those who were vulnerable and at risk of being infected by EVD according to their vulnerability. Through FGDs and interviews, evaluation confirmed that the IFRC made attempts to ensure that EVD intervention gave support that was proportionate to the needs of different community groups to ensure their safety against EVD transmission. For example, social mobilization outreaches were conducted to communities to enable them gain clear understanding of EVD so as to make informed choices and be safe; contact tracing was carried out among communities to locate and withdraw suspected EVD infected persons from communities and take them for treatment; PSS was provided to community members who were traumatized by EVD epidemics to enable them calm down and cope with the situation without exposing themselves to the risk of infection; SDB was carried out speedily to eliminate contact between community members with the bodies of their dead relatives to reduce chances of EVD secondary infection. SDB was followed by disinfecting environments to clear any viruses as well as putting the affected communities under quarantine for 21 days to monitor their safety against any possibilities of infection. EVD infected persons were admitted to the treatment centers for case management and treatment. Their admission for treatment reduced possibilities of EVD secondary transmission among the affected communities. It was also established that involvement of community leaders by volunteers in the outreaches to communities resulted in their active support for the intervention. Most of the community members and their leaders were able to provide feed-back and actively participate in decision making at different levels. For example community members' involvement in negotiations about SDB which resulted in accommodating some aspects of their cultural practices in SDB processes without compromising any SDB safety arrangements; communities also generated information which was later developed into by-laws by the government in Sierra Leone to guide effective implementation of EVD intervention. IFRC made attempts to be inclusive in all EVD prevention activities across all the five pillars by ensuring gender balance and other inclusion needs of community members such as literacy levels, disability, age and accessibility challenges due to remoteness of some locations. Through recruiting and training volunteers (both men and women) from the local communities IFRC ensured a gender balanced coverage of community outreaches for all community groups in all the Districts, with key information on EVD in their local languages facilitated by the local people of their gender whom they knew and trusted. Interviews and FGDs with key stakeholders including women in both Sierra Leone and Liberia confirmed that they accessed key EVD information through outreaches conducted by women volunteers and they in turn shared the information with other women in the communities who were either illiterate, too busy or too old to attend the outreach meetings. They also confirmed that they shared the information with the children and they ensured that children observed the by-laws on EVD prevention for their safety. Interviews with people living with disability (PLD) including women in both Sierra Leone and Liberia, confirmed that there were no women volunteers living with disability who could reach them. However, they confirmed that they were able to receive adequate key information from able-bodied women volunteers and through other channels of communication. The interviews also confirmed that most of the PLD were reached with key information by RC volunteers of their gender and in their local languages. It was confirmed that in Sierra Leone, one man living with physical disability was a RC volunteer and that he had reached out to many PLD with EVD messages. Interviews with the volunteer established that he did his best and reached out to many colleagues living with disability, whom he confirmed were very receptive. It was however established by the evaluation, that people living with visual disability had no information in Braille, so they accessed key EVD information through sources such as listening to Radio, TV broadcasts and drama. In Liberia, PLD confirmed that most of them were reached by able-bodied volunteers at their center in Monrovia since there were no RC volunteers with disability. The hard to reach community members like those living in Foya, Lofa District in Liberia and Kenema and Kailahun Districts in Sierra Leone were covered despite the difficulties caused by remoteness and other accessibility challenges. It was established that the coverage in Foya District was achieved mainly through the determination and dedication of RC volunteers who walked long distances for many hours to reach communities in remote areas as IFRC had not provided adequate vehicles to Foya District chapter. Volunteers also reached out to communities living in the crowded urban slum settlements especially in West Point and Chicken Soup Factory Community in Monrovia city, Montserrado District, which were ideal settlements for EVD transmission. Even in such places, IFRC was able to reach the community members through engaging the RC volunteers who were part of the local communities and understood them. The slum communities were usually suspicious about outsiders but trusted one of their own. In addition, the RC volunteers had worked in the slum areas before and had the skills to work among slum communities. The development and dissemination modes of key EVD messages were designed to ensure that accessibility of the information covered all community groups to enable them understand EVD and make informed choices to be safe. For example key EVD messages were in form of pictorial information, drama, talk show talks, radio and TV casts, written posters and other forms of IEC materials. Interviews and FGDs with key stakeholders including women and PLD confirmed that key EVD information was disseminated in lively and very interesting ways that made most people remember the messages. Based on available capacity, LNRCS took the lead in SDB only in Montserrado District where they buried 3,600 out of a total of 4,000 bodies. In the rest of the other Districts, they covered the other 4pillars (social mobilisation, contact tracing, psychosocial support and; case management and treatment)in collaboration with other Organizations. Interviews with the RC volunteers confirmed that their activities in the four pillars were a great support to other organizations in facilitating their successful implementation of case management and treatment of community members who were infected by EVD. In Sierra Leone, SLNRCS was the SDB lead in the whole country. Coverage through inclusion of community and religious leaders: As has already been mentioned earlier, during the initial stages of the EVD intervention, key decisions and information shared with communities were made without community participation; given the overwhelming emergency nature of EVD epidemic and the need by the government and other actors to respond to the situation with speed. This made communities suspicious of the government intentions about EVD intervention and they remained fearful, indifferent and non-responsive. Community members' attitude hindered the success of EVD outreaches to them by RC volunteers and increased their vulnerability to EVD transmission. As EVD transmissions increased, (by about August 2014), IFRC realized the need to encourage active community participation in the fight against EVD transmission. Through community based RC volunteers, IFRC initiated active community participation in the EVD intervention by involving community and religious leaders. For example, community leaders were trained in key EVD information and they supported RC volunteers in conducting outreaches to their communities. They also helped RC volunteers in contact tracing and withdrawing suspected Ebola infected people who were hiding within the communities. The leaders also worked with their communities to generate information that formed the basis for EVD by-laws, which were developed by the governments of both countries to help in the fight against EVD transmission. Community leaders were also trained on SDB by RC volunteers on request by communities and they were involved in conducting burials of community members under close supervision of the RC volunteers. During interviews and FGDs it was confirmed that inclusion of community and religious leaders in the EVD intervention activities encouraged them to give further talks to their communities to support EVD intervention and also enabled them to influence community members to overcome their fears about EVD, be positive and actively participate in the fight against EVD. IFRC/NS strategy to fight EVD through extensive and inclusive coverage of communities with key information on EVD was well planned and targeted in both Sierra Leone and Liberia, especially given the vast challenges of confronting overwhelming emergency presented by a fast spreading EVD. Although coverage for PLD was found to be inadequate, they accessed key information through other modes of communication. The strategic coverage of communities enabled most people to access key information on EVD, which assisted them make informed choices about their safety and contributed significantly to controlling EVD transmission and its end. 4.4.2 Recovery phase Based on the findings of the RRA, and with funding by both the Swedish (UNDP Programme) and Japanese governments, recovery intervention activities were rolled out essentially in Sierra Leone as the recovery plan in Liberia hardly materialized. The evaluation confirmed that most of the activities have not been implemented as planned. Implementation has been slow, leading in some cases to the reduction of scope or target numbers. For example the Food Security and Livelihood (FSL) programme in Sierra Leone which were prioritized in eight districts, were later reduced to four districts with a focus on the provision of seeds, tools, livestock and training, due to operational challenges(for more information refer to section 4.2 of this report). Some of the implementation challenges result from the fact that the targets identification was not adequate enough. According to staff and beneficiaries, the FSL program lacked for instance a clear definition of beneficiaries and led to reproducing existing power imbalances in communities to a certain extent. Similarly, the UNDP project focus on SDB volunteers also caused resentment among volunteers. The Community Based Health Programme (CBHP) and Disaster Risk Reduction (DRR) activities in Sierra Leone target the overall population with specific target groups. For instance the CBHP targets women for its Maternal Newborn and Child Health (MNCH) component and DRR has a specific focus on school children which is found adequate in terms of targeting particular groups in need and with a capacity to multiply the effects of the program: children are seen as agents of change within their communities and women have a key health role in the families. Overall, although efforts have been made in CBHP and DRR to target the neediest groups, the coverage of the recovery intervention in Sierra Leone has been limited by a weak implementation capacity such as lack of capacity within SLRCS to implement the WASH project. In addition, the lack of clear analysis of vulnerabilities which would have allowed a clearer focus on the most vulnerable (such as those without land within the FSL project). 4.5 EFFECTIVENESS 4.5.1 Coordination of the intervention The early part of the outbreak response in Sierra Leone was characterized by confusion, chaos and denial and the setting up of the response was slow to be in place. An Emergency Operations Centre (EOC) under the Ministry of Health and Sanitation (MoHS) was established in July 2014 and then transformed in the National Ebola Response Center (NERC). NERC was operated as a command and control centre, developing national strategy and overseeing the response, including the technical pillars: case management, safe burial, surveillance, social mobilization, psychosocial support and logistics. District Ebola Response Centres (DERC) were established towards the end of 2014, decentralising the response while leaving national information management and coordination under the oversight of the NERC (DuBois, 2015). In Liberia, many stakeholders believe that the EVD impact in Monrovia (a quarter of the population live in the greater urban area) galvanised the Liberian government into action. A pre-existing Task Force (TF) within the Ministry of Health and social welfare (MoHSW) was reactivated late March 2014 and on 10 August the Incidence Management System (IMS) was established. The IMS emphasized four pillars: (1) early detection and isolation of cases; (2) safe transport of suspect patients; (3) safe burial; and (4) infection control in health care settings. County IMS teams were also established. Throughout the response, IFRC and the National Societies have been active members of the coordination set-ups in all relevant pillars, both at the central and district/county level. They were very actively involved at the district/county level in the development of the District Ebola Plans, including submitting activities and geographical focus. SLRCS had a permanent representation at the Western Area Command Centre that coordinated all EVD activities in respect of alerts, ambulances and burials in Freetown. The National Societies also participated in the development of District Surveillance Plans in partnership with the District Health Management Team and WHO. LRCS nominated an Ebola response coordinator fully dedicated to coordination and was able to effectively relay feed-back from some of their volunteers active in communities, particularly within the social mobilization pillar and the framing of prevention messages. For instance, during the social mobilization daily coordination meetings in Monrovia, a "rumors box" was established where organizations could share rumors, misconceptions etc. communicated by the field volunteers, which were discussed to refine the prevention messages. LRCS played a key role thanks to its large presence of volunteers on the ground, who were able to provide valuable feed-back through LRCS branches and HQ. It therefore appears that RC has been instrumental in contributing to adequately reframe messages in a more acceptable way for communities. The implementation of the response was fully coordinated with district health management teams and community health workers (CHW) particularly in the CTS and SM pillars. The design and implementation of the recovery phase was also conducted with great involvement of the government partners (Ministry of health, agriculture, social welfare, gender, office of national security), community paramount chiefs, district health management teams and CHW which were involved in the selection of communities, training of beneficiaries. The FSL project in SL engaged with the private sector through traders and entrepreneurs associations which were involved to foster the injection of financial resources into the local economy In both countries, the technical pillars were led by MOH and usually co-chaired by a UN agency. In SL, the IFRC co-chaired the burials pillar, which was added when coordination moved to the EOC. The pillar leads were tasked with providing technical guidance for the response, including developing evidence-based standard operating procedures, setting policies, coordinating the work of the pillars in the districts, mobilizing the assets for their pillars and providing analysis to the central level (Ross, 2017). IFRC has been unanimously acknowledged as a very effective SDB pillar co-lead. IFRC provided leadership on standardization and information management, chaired weekly meetings, efficiently setting up and moving the agendas forward, providing quality inputs based on field experience, and ensuring the implementation of decisions. These meetings resulted in the development of a number of national SDB and household disinfection standard operating procedures (SoP). 4.5.2 Effectiveness of the response pillars Community engagement and social mobilization The effectiveness of the IFRC response was achieved through community engagement and social mobilization that involved reaching out to all communities (regardless of their status, gender and age) in their local areas with EVD messages, through RC volunteers recruited from among them. The main purpose was to enable communities to gain a clear understanding of EVD and be able to make informed choices to be safe and actively participate in controlling EVD transmission. Initially communities had received confusing, conflicting and unclear information about EVD. They had also perceived EVD information from the government as directed at undermining their cultural norms of taking care of their sick and participating in their burial rites. The decision to iinvolve religious and community leaders in EVD community mobilization was strategic. RC trained religious and community leaders on key EVD messages and engaged them in community outreaches. In Liberia for instance, they were brought to the ETC to understand the usefulness and safety of treatment and convince their community members of the same. In SLRCS, task forces were established at the various levels to strengthen leaders' commitment and participation. The leaders in turn encouraged their communities to be positive about EVD intervention, which had a significant impact on community positive change of attitude leading to their active participation in the intervention. . Community Engagement was used alongside community mobilization to enhance a practical way of reaching out to communities. The approach emphasized listening and taking the time to explain to community members/families why things needed to be done the way they were done. Initially there was no "bencomm." volunteer in the teams but this was changed when IFRC realized that there was a need for an increased engagement with families and communities. Training was organized for volunteers on community engagement and they were trained in the following key areas: - How to approach communities in a culturally sensitive manner - Categories of people to contact when engaging communities - How to deliver messages in a culturally sensitive manner. Bencomm teams were the first ones to engage with the communities/ families wherever there was a need. Later, a Community Led Engagement Approach (CLEA) was developed by the social mobilization action consortium (SMAC) made up of NGOs and National Society in Sierra Leone. The approach targeted improving community engagement further. It involved participatory definition of problems by the communities who came up with their solutions. Examples of tools under CLEA worked this way: a person would draw a map asking where do you think Ebola attacks? What are the symptoms? Then they would ask: how can you stop this? And they would together come up with the possible answers and discuss ideas. The CLEA tools were used in Port Loko with good results. However, since it came late in the EVD Response intervention, it was not used extensively. Volunteer outreaches enabled most communities to gain clearer understanding of EVD which was initially confusing and unclear to them. They had also perceived them as directed at undermining their cultural norms of taking care of their sick and participating in the burial rites of their loved ones. As a result, most community members developed positive attitude towards EVD intervention, supported and actively participated in its activities. For example, most communities through their local leaders participated in developing messages that were adopted by the government as by-laws to facilitate controlling the spread of EVD. The evaluation confirmed that after social mobilization awareness, most community members readily observed the by-laws on EVD transmission. Contact tracing and surveillance involved active daily surveillance of suspected EVD cases by contact tracers and PSS volunteers to check their health status (based on lists provided by County health teams). Volunteers would also call health teams when they came across cases of sick people who needed to be transferred to the treatment centers. Volunteers also gave feed back to the county health teams to facilitate disinfecting the environments and putting the community under quarantine. Effective integration of CT and provision of PSS enabled volunteers to provide counseling support as people were grounded in their houses under quarantine for 21 days with a lot of stress and anxiety. Contact tracers were also trained in PSS to have the skills of approaching people. Withdrawal of suspected EVD cases from communities and putting communities under quarantine contributed significantly to controlling transmission of EVD leading to its subsequent eradication. PSS volunteers conducted outreaches to various communities at the cross roads of EVD infection. Their counseling support enabled many community members to calm down and live their lives despite EVD; while at the same time participating in controlling EVD transmission. Reducing the panic mode among communities helped to calm them down and facilitated reaching them with awareness campaigns on controlling EVD transmission among them. SDB volunteers gained communities' acceptance of SDB after engaging them in dialogues which led to integrating some aspects of their cultural burial rites into SDB processes. For example allowing limited numbers of family representatives to view the body but not touch the body (wear PPE), accompany them to the burial sites and pray at the burial sites (both Muslims and Christians). This encouraged communities to open up and report death cases to SDB teams for speedy removal of bodies for burials. Efficiency in undertaking burial processes by volunteers was facilitated by the free telephone line for speedy communication between communities and SDB volunteers, availability of adequate human and material resources to conduct SDB; appropriate vehicles for transporting the bodies, volunteers and some family members to the cemeteries, availability of the cemeteries and chlorine to disinfect the environment. Efficient SDB processes contributed significantly to reducing transmission by reducing contacts with infected bodies as well as disinfecting the environment. Case management and treatment pillar activities involved removing sick people suspected of EVD infection from communities to treatment centers, confirming their status and admitting them for treatment at the centres. IFRC/NS had limited direct involvement in case management and treatment initially but they collaborated with the MoH and started 2 ETCs at Kenema and Kono in Sierra Leone. IFRC provided clinical health care services at the centers in collaboration with the MoH and other medical Organizations. They gave back-up support to other ETC in SL and Liberia that were run by mainstream medical international organizations such as Médecins Sans Frontières (MSF). For example, they supported in community mobilization, SDBs, contact tracing and PSS. Their support through their volunteer network was very significant as it enabled other actors to provide treatment to many EVD infected community members contributing significantly to controlling EVD transmission and eradication of the virus. Effective implementation of the above pillar activities significantly contributed to the achievement of set objectives by eliminating transmission of EVD and leading to the subsequent eradication of the virus through controlling contacts between EVD infected people and the rest of the community. This was achieved through: * Tracking and withdrawing suspected EVD cases from communities and putting the rest of the people under quarantine to avoid chances of secondary transmissions * Confining and providing treatment and care to EVD victims at designated centres away from communities * Reducing the panic mode, fear and anxiety of EVD among communities by helping them to calm down through counseling so as to be EVD victims in a state where they could be reached with awareness campaigns on key EVD messages to enable controlling the spread of the virus. * Controlling the spread of EVD transmission by reducing contacts with infected bodies through SDB and also by disinfecting the environment. Community Based Protection A pilot Community Based Protection project was initiated in hard to reach areas of Liberia to ensure remote communities would be able to handle suspected cases of EVD meanwhile ambulances would be on the ground. Community health workers were trained and the kits containing basic protection equipment were pre-positioned at the health unit or community or branch level to avoid misuse by non-trained community members. It was not possible during the evaluation to gather information on this component as staff, volunteers and community members were not in a position to elaborate on the effectiveness of the project. The evaluation team was informed that a final evaluation of this project has been conducted that concludes that the project reduced the rate of transmission within the households. Unfortunately the team did not have access to this report. 4.5.3 Effectiveness of the Recovery Phase IN SIERRA LEONE The IFRC/SLRCS recovery programming in Sierra Leone materialized in the Japanese Government funded FSL project, the UNDP project, the Swedish RC supported PSS project and some activities in CBHP, DRR and OD. Substantial challenges and delays were faced across sectors, reducing the effectiveness of the recovery programme. As widely acknowledged both by IFRC and SLRCS staff across levels of interventions, these challenges can be related to an over-ambitious recovery plan that did not factor in the NS priorities and capacities, SLRCS weak program management capacities (including in M&E and financial management system, combined with a lack of phased IFRC exit strategy. A high staff turn-over both within the NS and IFRC towards the end of the response further complicated such transition. Summary of recovery achievements is in Annex 5. i. WASH The WASH activities have been in-effective. Activities were not been carried out due to SLRCS lack of staff with adequate technical capacity and expertise. The WASH intervention is now planned for 2018 with British Red Cross support. ii. Food Security and Livelihood project (Japanese Government funding) - 1 st March 2016 to 30 June 2017 The project had 3 outcomes: 1. Food production increased by 20 percent among households by 2017. 2. Communities restore and enhance their quality of life with the assistance of livestock provided by 2016. 3. An effective epidemic and cross-border surveillance system is in place and contributes to maintaining zero new Ebola cases in Sierra Leone. At the time of the evaluation, the first yield had not taken place, the livestock had not produced offsprings and the cross-border surveillance system was not in place, making it challenging to evaluate the project effectiveness. This was further complicated by the lack of baseline data and M&E system. However, the following positive achievements and trends were noted: * The organizing farmers into groups enhanced collaboration among farmers and strengthened their social support systems. According to interviewed members of farmers' groups, such cooperation encouraged them to increase the size of land cultivated, which may contribute to increased agricultural production. * The evaluation of the farmers training by the project showed that knowledge and skills have been gained and applied in the farming activities. * The Ministry of Agriculture (MoA) experience suggests that the 1,600 goats distributed could produce 8,000 off-springs by 2019. The multiplier effect could enable households to build large goat assets. * 1,737students (947 males, 762 females and 28 children), and 1,352community members (680 Males, 561 females and 111 children) were sensitized in disaster preparedness and mitigation and risk reduction mechanisms. The second phase of the FSL project expands the intervention to four districts and is still underway. It is expected that most of these farmers' groups will start farming activities in the coming months. iii. CBHP: The CBHP is focusing on reproductive, maternal and child health, HIV and AIDS and hygiene promotion, and prevention and control of communicable diseases. CBHFA and Epidemic Control for Volunteers (ECV) have been integrated into core programmes. As recovery programming continues, it is planned that SLRCS will roll-out the CBHFA approach in new communities and additional districts across the country. Historically, SLRCS has supported mothers' clubs, father's clubs and youth peer educators, as a means to promote specific health issues, such as maternal and child health, HIV and AIDS, as well as to raise awareness on GBV, through facilitating regular meetings and educational sessions at the community level. These clubs have been re-activated and supported with relevant training and the provision of tools and material. A number of key outputs have been achieved however it is not possible for the team to conclude on the effectiveness of this programme for which the NS does not seem to have strong capacities as widely reported during interviews. The outcome of "immediate and medium term health needs of communities are met through enhanced capacity in CBHP and improved access to health" is found rather ambitious considering the actual scope of activities. However, the lack of detailed baseline data and key indicators measuring what "meeting health needs" and "improved access to health" entails makes it impossible to measure. Awareness on specific diseases such as malaria, water-borne diseases or MNCH has been improved in some communities which is a positive achievement and contributes to improve health in the mid to long term. However, access to health which entails a number of key elements such as affordability, accessibility, accessibility and availability of health care services, is not part of the CBHP strategy. Most of the communities interviewed still report facing barriers to access primary health care services, particularly in remote communities, such as: distance to the nearest health facility, lack of transportation, lack of financial resources to access health services, etc. The continuation and strengthening of the CBHP programme has the potential to further improve awareness and prevention of communicable diseases if complemented by a strategy to work towards eliminating the barriers of access to health care and improving the social determinants of health such as water and sanitation or nutrition. It would require, to be effective, to seek for strategic partnerships and strengthen collaboration and humanitarian diplomacy. iv. Disaster Risk Reduction The DRR programme has two major components: * Community Based Surveillance (CBS): The project's outcome was "to have CEBS functional enabling effective early warning for epidemics and natural disasters". The CBS programme has been effective in reaching its outcomes: all communities in the twenty three chiefdoms of the two districts are adequately covered by the Community Based volunteers and their activities monitored and supervised by Peripheral Health Units, volunteers supervisors and the local leadership. Between January 2016 and March 2017, a total of thirteen suspected cases of measles in the two Districts have been reported. Investigations were launched by the DHMT of the two Districts and laboratory confirmation made. This resulted in the organization of a national immunization day in response to the outbreak. As of May 2017, 831 volunteers were regularly (i.e. at least twice monthly) participating in CEBS village committees which represents 63 percent of the target. The volunteers offer technical inputs on surveillance to the Village development committees. The role of the volunteers in surveillance in collaboration with the communities has been recognized by the local authorities as integral in prevention and control of outbreaks. * The target communities are sensitized on risks and involved in their prevention: The effectiveness of this component has not been achieved yet as the rolling- out is only underway in 8 schools out of 28. SLRCS challenges with project implementation seem to account for such delays. It is worth noting that the initial target should have been revised during 2017. SLRCS hosted an early warning system workshop with key stakeholders, including the Office of National Security and other partners, both at the District level and national level in 2016. This formed part of the sensitization process, to ensure all parties were conversant with the plans SLRCS was undertaking and formed part of the District disaster risk reduction plans. Cross-border coordination meetings with bordering district have also been fostered during response and recovery periods. Advocacy on increased collaboration in surveillance was discussed during the meetings of Mano River union that comprises of the three countries. Cross-border collaborations have also been fostered among the bordering districts in surveillance information exchange. v. PSS In Sierra Leone, IFRC planned to integrate PSS into long-term CBHFA and DRR through volunteers capacity development in stress management, coping skills, children's resilience, SGBV and violence prevention, and the provision of PSS to survivors, staff, volunteers and orphans and vulnerable children.PSS volunteers training specifically prepared them to support communities hard hit by Ebola/affected communities, especially Ebola survivors and orphans to reintegrate into families and move on with life (through Basic Psychological First Aid; Community Based PSS; Crises Events and Stress management). The PSS Recovery Phase implementation faced some of the following challenges: the one year project was intended to run from January to December 2016; but did not start until September 2016. The late start made it difficult to complete planned project activities. A 3 months extension period was given up to march 2017; but still the activities could not be completed. The situation was compounded by the fact that the Delegate who had worked on the proposal had left and the replacement came in late, towards the end of August 2016.There were lots of funding challenges due to implementation challenges, only a little amount of funding was sent in September 2016 for limited activities. Despite the challenges that PSS Recovery faced during the Recovery Phase, the gains that were realized through the activities enabled communities to cope with the trauma faced by communities especially the situation of Ebola survivors and orphans. vi. UNDP Project (August 2015 – May 2017) According to the project final evaluation, the Project has been effective in reaching its outputs, however many of the outcomes were not reached at the time of the final evaluation as shown in Annex 6.The project is found effective in improving the volunteers' mental health and their vocation skills, particularly the financial literacy trainings. However, there were little results observed for the economic component, which needed further monitoring and support. An adequate livelihood and market assessment would have made it easier to support beneficiaries to choose relevant streams. Here again, the weakness of the M&E system makes it difficult to evaluate the effectiveness. Volunteers interviewed during the field work expressed mixed feed-back with regards to the UNDP project achievements. The initial confusing public communication by the GoSL on this project, before SLRCS was able to inform the volunteers about it, unfortunately created high expectations amongst volunteers. Many volunteers were expecting a substantial financial package which was not the purpose of the project. Their perspectives on the project effectiveness are focused on the financial aspects and still reflect this lack of proper initial understanding of the project purposes. A strong level of frustration was communicated during the focus group discussions. Despite this frustration the overall feed-back reflects a potential improvement of the livelihood of the volunteers who also highlighted the need for a continued support. 4.5.4 In Liberia The effectiveness of the recovery plan was greatly impacted by the integrity issues that destabilized the NS from early January 2016. It is therefore considered insignificant. Most of the donors pulled out, the board was dissolved and most of the senior management was dismissed. Financial and procurement restrictions were placed after the 2015 IFRC audit recommendations, which slowed down the rate of implementation. Although most of the restrictions were lifted in July 2016, restriction on transfer of working advances to the National Society was maintained. As a result, the recovery plan scope and ambitions were reduced to a minimum number of interventions which were implemented over a period of four months (September 2016 December 2016). A summary of the recovery plan outputs is provided in Annex 6. 4.5.5 Effectiveness in strengthening the NS capacities In Sierra Leone , training manuals were developed and trainings carried out on social mobilization skills, Pyschosocial support and couselling, integrated disease surveillance, contact tracing and management of SDB, all of which enabled the staff and volunteers carry out their work effectively and support the community. These has increased the capacity of staff and volunteers NS can tap into this skilled personnel.Branch disaster response teams (BDRT) were established and trained in the seven targeted districts of Kenema, Kailahun, Bo, Pujehun, Bombali, Koinadugu, and Western Area in 2016, improving the NS capacity to be prepared and respond to emergencies. However, a number of critical core activities under this pillar have been delayed to the first quarter of 2018, which include: training of CBDMCs in health DM and setting up of EWS for disease outbreaks (integrated with CBHP);recruitment, training and equipment of NDRT and CBDMCs; updating of contingency plans ; rolling out of simulation exercises for flood prone areas. In both countries, finance delegates trained branch managers and fied officers on financial managementto increase the capacity of branch and field staff in financial management especially in management of working advance and payment of volunteers. In Liberia the finance office was well functioning with qualified finance director,chief accountant and project accountants.At the time of the evalution, finance officers involved in the EVD operation in Liberia had left the organisation and the finance office had project accountants of active grants with ICRC and Canadian RC. In Liberia, the settlement of working advance reconciliation was relaxed during the response phase leading to delays in reporting. This eventually led to audit queries and project accountants were sent to the field to collect supporting documents and inquire about advance reconciliation. However, these issues have not been resolved to date. The deployment of finance delegates,training of branch managers and fieldofficers on financial management was inadequate in improving the skills of the national societies staff in financial management. Poor financial management continued throughout the EVD operation leading to audit quesries and foreinsic investigation in both countries. SLRCS underwent a MANGO assessment during the recovery phase that helped identify financial control gaps that exist in the organisation. Reorganisation and restructuring took place and recruitment of additional finance staff with skills in financial management such as an internal auditor and finance director. A draft finance and procurement policy is in place and its under review of the board for approval. The impact of the reorganisation is yet to be obersved as this was carried out recently, it is hoped that this will ensure that the national society is managed more effectively. A fleet management and warehouse management policy were developed inboth countries after a training on in fleet management, security and warehouse management. In Sierra Leone the policies are still in draft waiting approval by the board. These improved theNS capacity in fleet management and new policies are in used improving the management of fleet and drivers. However, both societies are struggling with the huge numbers of vehicles that have broken down and have not been disposed. All though there was adequate recruitment of volunteers in both countires during EVD, it was observed that both National Societies lackof a volunteer management policy and poor volunteers records management and lack of recrutiment strategies at the branch levelhas resulted to low retention of volunteers recruited during the EVD operation. For instance the low payment for volunteers and lack of PSS support demotivated some of them who chose to join other agencies implementing EVD activities and providing better financial packages. This can be attributed to lack of training in volunteer management during the operation leading to low capacity within national societies to have volunteer management skills and policies. SLRCS developed a HR policy after the recommendation of the MANGO assessment whereas in Liberia they had a HR policy in place. SLRCS restructured and laid off and recruited new skilled staff, a process which led to a salary increament. SLRCS HR policy is still in draft waiting approval of the board but new staff have been recruited using the guideline of the policy. The new policy has improved human resource management and recruitment. In Sierra Leone,there were plans to develop a resouce mobilization strategy but this was not carried out. In Liberia, a resource mobilization strategy was developed with strategies to increase revenue such as maximum utilisation of the Nimba Guesthouse, hiring of vehicles to other projects and provision of first aid training to other organisations. The resource mobilization remain a challenge in both NS with little resources have been mobilised by the national societies locally and internationally during and after the EVD operation.In both countries PMERteams were in place and worked with the IFRC delegates to generate data from the branches and volunteers. IFRC set up a data management system which was in use to process data. Data was collected by the volunteers and consolidated at the branches before it was shared with theHQ for consolidation. In Liberia, the society had a PMER unit prior to the emergency. Two additional staff were recruited to support with the M&E roles. The M&E system was focused on monitoring of activities when it should have included community surveillance, data from SDB, etc. used to analyse trends and be better prepared to anticipate. The setting up of PMER system and support provided by PMER delegates improved the capacity of the NS to collect data and report on time. The capacity of national society in management of data has improved in Sierra Leone with a whole department dedicated to data collection. However, in Liberia it's theopposite where the department which was previously in place has been retrenched due to lask of resources to pay them leaving the NS with inadeqaute PMER capacity. The capacity building carried out during the EVD operation contributed to build the capacity of National Societies to respond to emergency programme of a complex scale. The NS staff and volunteers were trained in social mobilization, Pyschosocial support and couselling, integrated disease surveillance, contact tracing and management of SDB. This enabled them to have the skills necessary to implement activities in the various pillars. However, both NS still have inadequate capacities in financial and administration, logistics and procurement, volunteeer management and resource mobilization. In the recovery phase, the NS staff were trained in disaster management and early warning systems. The National Socieities were supported to develop management policies and systems such as HR; finance; procurement and logistics; and PMER. However, in spite of these efforts, the national societies countinued to have challenges in financial management. 4.6 IMPACT IFRC response has been fully integrated within the overall Government and UN-led response. It is therefore difficult to directly attribute impact to the IFRC intervention, except perhaps in the SDB sector where the RC played a leading role. The overall goal of the integrated response was to curb and stop the epidemic, an objective to which the IFRC greatly contributed thanks to the community based volunteers' network and the massive deployment of financial, logistic and technical resources. 4.6.1 Strategies to control and stop the epidemic There are debates over which of the infection prevention and control methods had the greatest impact on controlling and stopping the epidemic. There seems to be some sort of consensus over the fact that isolation combined with treatment and SDB played a crucial role in controlling the epidemic. Rivers et al. (2014) thus argue that of the modeled interventions applied to the epidemic, the most effective by far is a combined strategy of intensifying contact tracing to remove infected individuals from the general population and placing them in a setting that can provide both isolation and dedicated care. Research study conducted by Fang et al. (2016) in Sierra Leone revealed that the transmissibility at the chiefdom level, estimated as the average number of secondary infections caused by a patient per week, was reduced by 65% after the end of December 2014, when 100% case isolation and safe burials were essentially achieved, both compared with before October 2014. The evaluation team did not have access on data related to the impact of the management of 2 ETC in Sierra Leone and therefore cannot conclude on this pillar. Research conducted in Liberia by Kirsch et al. (2016) highlights that individual and communities' behaviour changes were critical to changing the epidemic curve, which was likely facilitated by active community engagement and communications but also occurred organically by communities and households. Local leadership was critical in organizing efforts, responding to changing conditions, and providing positive direction, but this could not have occurred without international monetary, technical and logistical support. CT has been an important part of ending the EVD transmission and was more strictly organized by the use of SoP and a unified leadership from October 2014 onwards. 4.6.2 Safe and Dignified Burials The importance of SDB as an integral part of reducing EVD transmission and stopping the outbreak has been widely documented. A recent research project conducted by Tiffany et al. (2017) focused on quantifying the impact of SDB, using data collected during epidemiological investigations. This research estimates the potential impact of the SDB programme on the 2013 to 2016 EVD epidemic as a result of activities carried out by the RC NS supported by IFRC. The Red Cross conducted approximately 50percent of all official SDBs in Sierra Leone, 100percent in Guinea and Montserrado County, Liberia (where 40percent of the affected population in Liberia was located) during the epidemic. \| Country \| Reported SDB completed \| \|---\|---\| \| Sierra Leone \| 26,308 \| \| Liberia \| 3,684 \| \| Guinée \| 17,513 \| \| Total \| 47,505 \| Source: (Tiffany et al., 2017) Tiffany et al. estimate that between 1,411 (lower estimate) and 10,452 (upper estimate) secondary EVD cases may have been prevented by the SDB program across the three countries of intervention, which represents a reduction in the total size of the 2013–2016 EVD epidemic of between 4.9% (lower estimate) and 36.5percent (upper estimate). Key actors interviewed during this final evaluation field work indicated that RC made a great difference in Montserrado County in Liberia where 40percent of the infected population was located and where the epidemic could have gone much worse and social unrest more serious if the issue of dead body management (later named SDB) hadn't been taken over by the RC. 4.6.3 Community engagement and PSS Community engagement was a turning point in the epidemic control. RC played a major role in supporting governments to gain trust and active participation of communities, which has been widely acknowledged by key actors and communities interviewed. The action of RC community volunteers, their presence and their perception as "insiders" had positive effects on behavior change which in turn contributed to curve and stop the epidemic (practice of hand washing and use of sanitisers, the "don't touch" motto, the acceptance of SDB and systematic use of emergency hotlines). The RC community based approach also led to a greater community ccommitment to surveillance and behaviour change. The RC community engagement approach (coupled with PSS support) has been reported to have contributed to "restore people's dignity" and hope (people used to think "we are finished"). PSS made a difference for people victims of stigma, people whose family members were infected and those in quarantine, by providing encouragement and supporting some form of "reintegration" in the communities. The follow-up of infected people in the ETC and the feeding-back to their families greatly contributed to reduce anxiety and distress amongst family members. This was also confirmed by LRCS who actively supported the reintegration of survivors by calling them "future farmers" instead of "survivors" and by encouraging communities to interact with them when going to church, farming, etc. Some women in communities of Sierra Leone reported that they are still using these skills to support each others. 4.6.4 Health System Strengthening The presence of RC volunteers working hand in hand with CHW and district health management teams, particularly in the CTS and social mobilization activities, and later in the CEBS programme, have contributed to strengthen the HS by increasing communities knowledge and sense of responsibility for epidemic control and by better linking up communities, CHW, RC volunteers and health facilities. The roll-out of CBS has been instrumental in early detection of disease outbreaks and has thus contributed to a strengthened surveillance system, both at the community and facility levels in the three districts. A report published by US Center for Disease Control and Prevention 2 , showed Sierra Leone`s Integrated Disease Surveillance and response has been strengthened, based on a review conducted between November 2015 – September 2016. It indicated that Sierra Leone's disease reporting increased from 35percent to 96percent of health facilities reporting weekly data. This shows significant gains attributed to the role out of CBS, as an integral component of integrated diseases surveillance and response (IDSR). The result also depicts improved coordination with all stakeholders at the community, facility and district levels in surveillance and reporting.SLRCS collaborated with MoHS, Health Consortium, WHO, and Centres for Disease Control (CDC) in the development of CBS Standard Operating Procedures, technical guidelines and reporting forms which are now used across the districts. Also, the accountability to communities on project activities was strengthened through the establishment of committees both at the ward and chiefdom levels that address complaints and concerns in project implementation. 4.6.5 Impact of OD activities The objective of the OD intervention was to build the capacity of the National Societies to be able to respond to future emergenciees, which was achieved to a certain extent as detailed in the effectiveness section. The participation of volunteers in the EVD operation led to an increase of people willing to join the Red Cross volunteers. The National Socieities now have a large national network of skilled volunteers , some of whom can be deployed in case of an emergency despite retention challenges. Thanks to the capacities built during the response, SLRCS was able to respond to the mud slide that recently hit the country. 22Sierra Leone: Integrated Disease Surveillance and Response system–using health data for public health action, 23 Dec 2016, available at: https://www.cdc.gov/globalhealth/security/stories/sierra-leone-idsr-ghsa-in-action-story.html The EVD response led to a refurbishement of national societies branch offices and construction of two warehouses in Sierra Leone . However, in some instances the National Societies were left with assets that they are not able to maintain, e.g some vehicles donated have been abandoned due to lack of resources to repair and maintain them. Prior to the EVD operation the National Societies did not have the capacity to handle a large scale operation especially in terms of financial management and despite the training in financial management for branch officers, financial management continues to be a challenge for the national societies which have little financial manageent capacity. The EVD operation exposed the lack of fiduciary oversight by the governance and leadership structures of the national societies and the lack of proper management practices and policies.The LNRCS has been weakened after the EVD operation and its reputation among donors and communities was damaged.The National Society was virtually dismantled at the HQ level as a majority of senior management staff and the entire governance system were dismissed early 2016. The institutional capacity built during the EVD response was largely eroded, LRCS reputation was greatly damaged as indicated by the low level of funding of the recovery appeal. The integrity scandal also created mistrust amongst some communities where the National Society had done such a tremendous social mobilization job which had served the response as a whole. The National Society has been re-built almost from scratch at the HQ level and the new senior management is now engaged in re-structuring the NS including at the programme management level. The goal is to demonstrate good results and outcomes to gradually re-gain its reputation attract donors and grow. 4.6.6 Impact of the recovery programme Evaluating the impact of the recovery phase in Sierra Leone is challenging considering the implementation delays and the lack of baseline data. Most of the interventions are still underway and will only be completed in June 2018. The FSL project is still awaiting the first yields to take place in 2018. The UNDP final evaluation mentions that although baselines could not be used to establish a causal relationship, there seems to be a correlation between the Project activities and the volunteers' mental stability. Also, the financial literacy training has been a success with beneficiaries reporting having a bank account, and having some basic knowledge to manage their savings. Some expressed their wish to apply for loans in the future. In Liberia, it is not possible to discuss the impact of the recovery programme given its limited scope. 4.6.7 Unintended impact One of the key unintended impact of the EVD response was stigma and discrimination faced by the National Societies' staff and volunteers. Volunteers involved in SDB have been particularly hit by stigma. Many have been forced to leave their house during the response and SLRCS had to provide accommodation for volunteers. Some are still struggling 2 years down the line to be re-integrated in their families and communities. Also, the urgency of the life-saving operation required specific adjustments to the concept of volunteerism and the "payment" of volunteers was introduced to ensure availability and a certain form of compensation for the high level of risks that volunteers were exposed to. This situation created expectations amongst some volunteers who are now expecting more stipends. This situation underlines the urgency of developing a volunteer management policy that clearly outlines rights and obligations of volunteers and distinguishes between high risk emergency operations and routine long term community work. 4.7 SUSTAINABILITY One of the key functions of the recovery period, apart from supporting communities and systems to get back to "normal", is to ensure that the EVD response gains are consolidated and can be sustained. In that regard, a clear exit strategy outlining, for each of the pillars, the mid-term plans from a programmatic and resources point of view would have helped to facilitate a smoother transition from a high profile response to a midterm recovery programme building on achievements and paving the way for long-term programming. It is unfortunate that IFRC did not implement such an exit strategy which, combined with a strong strategic recovery planning would have helped to plan: the transition from emergency to recovery in terms of presence of delegates based on the programmatic priorities identified in the recovery plan and the assessment of the NS capacities; the future needs in terms of vehicles and infrastructure with an analysis of their financial sustainability within the NS; the handover of key activities to Ministry of Health / Communities / other organizations; the volunteers needs and retention strategies and plans; the timeframe for the rolling out of exit activities; and an overall resource mobilization strategy which is essential to support the transition from emergency to recovery and then to routine long term programming. At the community level, although knowledge and awareness on key prevention and protection measures is still there, people in both countries are found to be gradually going back to their past practices as fear has now disappeared. Hand-washing is being lost as hand washing stations have been damaged and other priorities (such as Food Security) took over. People are still aware and cautious about foreigner movements in and out of their communities but it is not clear how long it will last without the continued support of an integrated CBHP. The success of the RC community engagement approach through engagement with traditional and religious leaders made a difference in leading communities to buy in the response and to develop and respect by-laws which were crucial to curbing and stopping the epidemic. Such engagement, including the use of by-laws to sustain the gains of ebola achievements, could be supported as part of the CBHP in order to further strengthen the sustainability of behavior changes at the community level. The ebola response achievements in strengthening the HS are being consolidated in the CBS programmes which are implemented nationally and to which SLRCS contributes actively. However, it is not clear at this point whether CBS will be continued by SLRCS at the end of the EVD appeal. It is doubtful that SLRCS will be in a position to sustain it without external funding as the program relies on financial incentives provided to volunteers and on substantial logistic resources. The programme is therefore quite expensive and, although its usefulness is largely acknowledged, staff and volunteers have serious concerns over its continuation in the mid to long term. The FSL programme in Sierra Leone has some effective elements of sustainability as the Ministry of Agriculture now follows up farmers' groups and is supposed to register them as Farmers Based Organisations, granting them access extension services. The farmers' field school groups will contribute to long-term agricultural development, by promoting learning among farmers groups. In the DRR component, participants of the community sensitization sessions agreed to share messages with larger community groups on fire, storm, flood and epidemic mitigation activities. The prioritization of DRR in schools is a positive step as children are agents of change and can sensitise peer groups and communities. It will however need to be strengthened and monitored to be effective. The UNDP project final evaluation report indicates concerns over the project sustainability: SLRCS District branches have inconsistent capacities to follow up on beneficiaries. The vocational trainings beneficiaries need monitoring which did not happen so far. In Liberia, some of the current programmes implemented by LRCS with partners give room for a certain level of optimism. For instance, the Canadian RC recovery programme baseline findings indicate that ebola related knowledge is still of a good level amongst communities. CRC and LRCS are using the ECV tool which entails prevention, management and referral of diseases such as ebola, measles, cholera or diarrhea. CRC built an integrated CBHP including WASH, DRR and DM envisaged through an epidemic outbreaks angle. The programme led to the formulation of county-based contingency plans in Bomi County and drilling exercises were carried out with UNICEF and WHO. A national LRCS preparedness program building on this experience could support to sustain the ebola response achievements. It will be crucial for future outbreaks and will necessitate additional/refresher trainings, drilling exercises, etc. From a Health System Strengthening point of view, some of the Red Cross interventions are now clearly sustained within the National Health Systems of both countries. In both countries, the successful leadership taken by IFRC in the Safe and Dignified Burials pillar led to the development of guidelines and SoP which are owned nationally and will be used when relevant. This integration undoubtedly is a very positive element of sustainability of IFRC achievements through their embedment at the national policy levels. Similarly, the Integrated Disease Surveillance and Response Systems have been implemented and are being strengthened with support of CDC and WHO and are a direct legacy of the ebola lessons learnt. They are effective in both countries and allow a thorough disease surveillance and reporting which in turn permit swift public health interventions to control and contain potential outbreaks. Frontline Field Epidemiology Training Programs (FETPs) have been established in all 3 of the countries most affected by the Ebola epidemic. The FETP-Frontline program provides 3 months of on-the-job training and supervision for surveillance officers working within the MOH). In Liberia, the FETP-Frontline was launched in August 2015; by early 2017, more than 120 surveillance officers in Liberia had completed training, and there is now trained staff in all 15 counties and each of Liberia's 90 districts. Sierra Leone established a FETP-Frontline program in June 2016 that has now graduated >35 trainees from the national response structure, including all districts. By early 2017, FETP participants had conducted >50 case investigations for acute flaccid paralysis, rabies, maternal deaths, cholera, measles, yellow fever, meningitis, neonatal tetanus, and unexplained deaths, as well as investigations of outbreaks of Lassa fever and rubella (Marston et al., 2017). In Liberia, as part of the implementation of the National Investment Plan to build a resilient health system, the National Public Health Institute of Liberia (NPHIL) has been established in January 2017 with a mandate to ensure prevention and control of public health threats by promoting healthy outcomes. Some of the MoH functions were transferred to NPHIL (disease prevention and control, environmental health, national referral laboratory and division of public health workforce). Based on the EVD response experience, the NPHIL has succeeded in the adaptation of the second edition of the National Technical Guidelines for Integrated Disease Surveillance and Response and the subsequent training of surveillance officers at national, county, and district levels in 2016. More specifically, there is within the NIPH a unit dedicated to DBM that is the legacy of the Red Cross intervention. Building on the lessons learnt by the RC, this unit is training actors at the country level to build capacity across the country. Sustainability of the Capacity Building of National Societies The training of staff and volunteers in various thematic related skills have strengthened the capacity of the National Societies in these areas. The National Societies have a pool of skilled staff and volunteers able to carry out social mobilization and community engagement activities, provide psychosocial support services, carry out disease surveillance and contact tracing, disaster management and early warning systems, in addition to carrying out safe and dignified burials. SLRCS has been very effective in reacting to the mudslide that hit the country in 2017 with teams of well trained volunteers that were the first ones of the ground providing well targeted assistance. This is a legacy of the ebola response achievements. However, despite this positive example of sustainability, all stakeholders interviewed reflect on the challenge to retain a sufficient number of volunteers and ensure their skills are maintained, refreshed and upgraded. The lack of strong capacity building programme focused on the leadership and governance of the national societies during and after the operation has left the national societies vulnerable with little skills on how to manage change and crisis within their institutions. There was a lack of clear governance and management structure to support the operation at the country level that included both IFRC and the National Societies to make decisions on the operation. This resulted to little ownership of the programme intervention by the National Societies. A governance structure made up of both IFRC and the National Socieities would have ensured that there was joint decision making and ensure the capacity building activities are implemented during and after the operation. The development of systems and policies within the NS in the areas of HR, procurement and logistics, PMER, finance and fleet management will improve the management of the Ntional Societies and entrench good practice in the future. If these systems are fully implemented they will make the National Societies less vulnerable to unethical and corrupted practices and increase the level of integrity of management. It will also ensure that decision making is transparent and open, therefore attracting donors confidence and increasing community ownership. Although the infrastructure and vehicle provision was efficient during the operation, the improvement of branch offices and construction of warehouses wil increase the capacity of the National Societies to provide services to the communities in future emergencies. However, the increase in assets owned by the National Societies might become a challenge on how to effectively maintain and sustain these assets and ensure that they are properly utilized. The lack of a proper assets and disposal policy might lead to these assets becoming a liablity to the National Societies. A pre-audit of the National Societies should have been done at the onset of the response to evaluate financial risks and adjust the level of accountability (and the whole set up) accordingly. The operation also lacked a clearly defined exit strategy developed at the start of the response – including from an capacity buildingperspective. Also, a clear and strong focus should have been put on the branches capacity building where most of the activities were taking place and financial integrity issues seem to have arose from. Given the weak volunteer management policies and practice, the recruitmentand retentionof volunteers recruited during the EVD operation will be difficult to sustaintain by the National Societies. This may be compounded by the fact that the volunteers will expect higher allowances than what is offered by the IFRC. 5. CONCLUSIONS The IFRC EVD response has shown a great level of coordination within a global response that took time to kick start but was eventually quite well integrated. The IFRC response was very coherent with the existing policies and frameworks; and relevant and appropriate to the needs of the communities who particularly valued the RCRC social mobilization activities and approaches. The IFRC clearly identified and integrated the issue of staff and volunteers safety which was timely and efficiently factored in the appeals and activities. Although the physical safety of staff and volunteers was properly addressed resulting in a very small number of them infected, their psychosocial needs were not clearly taken into consideration and systematically addressed. The recovery rapid assessments were participatory but they were not found sufficient to analyse needs, vulnerabilities and capacities within specific environments. Combined with a lack of baseline information across programmes, this resulted in the design of over-ambitious recovery plans that experienced challenges targeting the most vulnerable. Although the recovery plans are relevant to key needs such as food security and livelihoods, they lacked a strong public health focus and are not found relevant enough to the National Societies core mandates and capacities The Food Security and Livelihood programme, although relevant to the community needs and IFRC policies, is not found coherent to the National Societies mandate and capacities. CBHP and WASH, which should have formed the basis of an integrated recovery programme, suffered from a lack of prioritization and capacities within SLRCS. In Liberia, the recovery programme is considered insignificant as the NS was shattered by the integrity issue. Overall, the IFRC is found reactive in terms of FACT and ERU deployment and preparation and revision of appeals. .However, in the initial stage, most of the activities were slow to kick start compared to the needs. Such challenges are attributed to the difficulty in recruiting local and international staff combined with slow funding mobilization in the initial phase, and the need to recruit and train a high number of volunteers for such a large-scale operation. The lack of sufficient vehicle delayed the operation especially in hard to reach areas. Weak IMS and M&E meant that the operation was not able to predict the evolution of the epidemic. Regardless of the inefficiency in availability and utilization of resources, and despite the integrity issues that affected both operations, a number of key activities in the response were timely and efficient: the SDB activities began immediately after the NS were requested to lead the pillar, social mobilization and community engagement activities were implemented immediately (although with a limited scope initially); the setting up of ETC centre was timely after the request from WHO. However, activities in contact tracing and PSS were slow to take off because they were introduced after the other activities in the operation. Conversely,the recovery phase was affected by delays in kicking off the projects and the implementation period was reduced therefore leading to inefficient delivery of activities planned in recovery phase. The IFRC response coverage was strategically targeted to control EVD transmission and to address the likelihood of the quick spread of EVD to all parts of the country. The recruitment of volunteers (both men and women) covered the local communities in all the Districts in the two countries with some representation of those living with physical disability in Sierra Leone. The information was packaged in different modes which facilitated dissemination to all community members regardless of status, gender and age. However, those living with disability, especially the visually handicapped were not adequately covered since there was no information in braille. The multi-faceted and integrated five pillars approach adopted in EVD Response intervention was very effective in controlling the spread of EVD and significantly contributed to eliminating the virus. IFRC community engagement approach's strength was its access to local communities at the grassroots through community based volunteers (more than 4,000 in both countries) who eventually developed adequate and relevant capacities and effectively participated in the activities of all the five pillars of intervention. Recruiting and training male and female volunteers from the local communities enabled reaching both men and women with key Ebola Information. The volunteers also established strong links with the community and religious leaders, an approach which was paramount in marshaling the support and active participation of communities and ensuring an effective follow up of activities. It was however established that volunteers were overall dissatisfied with low payment and lack of clear terms of service on compensation for the risky EVD activities that they engaged in. Others complained of lack of PSS support to enable them cope with the risky and demanding EVD activities and the overwhelming stigmatization by families and communities. As a result, some volunteers dropped out during EVD Response and joined other organizations which offered better terms. Interviews and FGD conducted during this evaluation and academic research all point to a great impact of the IFRC response in curbing and stopping the epidemic. The role of SDB combined with CTS has been crucial and the importance of the RC social mobilization approach widely acknowledged as a major contributor to stopping the epidemic. Regarding sustainability, at the community level, although knowledge and awareness on key prevention and protection measures is still there, people in both countries are found to be gradually going back to their past practices as fear has now disappeared and it is not clear whether CBS Programme will be able to be continued to sustain these achievements. In Liberia, some of the current programmes implemented by LRCS with partners give room for a certain level of optimism. For instance, the baseline findings of the LRCS recovery programme supported by the Canadian Red Cross,indicate that ebola related knowledge is still of a good level amongst communities. This integrated programme led to the formulation of county-based contingency plans in Bomi County and drilling exercises were carried out with UNICEF and WHO. A national LRCS preparedness program building on this experience could support to sustain the ebola response achievements. From a Health System Strengthening point of view, some of the Red Cross interventions are now clearly sustained within the National Health Systems of both countries. In both countries, the successful leadership taken by IFRC in the Safe and Dignified Burials pillar led to the development of guidelines and SoP which are owned nationally. The Integrated Disease Surveillance and Response Systems have been implemented and are being strengthened with support of CDC and WHO and are a direct legacy of the ebola lessons learnt. The training of staff and volunteers in various thematic related skills have strengthened the capacity of the National Societies in these areas. The NS have a pool of skilled staff and volunteers able to carry out social mobilization and community engagement activities, provide psychosocial support services, carry out disease surveillance and contact tracing, disaster management and early warning systems, in addition to carrying out safe and dignified burials. Despite these positive trends, the overall sustainability of the response lacked a focused exit strategy planning for the transition from one phase to the other from a strategic, programmatic and resources point of view. The FSL intervention in Sierra Leone has however effective elements of sustainability that will require a continued monitoring and support. The CBS programme is an interesting way to sustain the EVD response gains from a HS strengthening perspective but its sustainability is questionable. The capacity building of National Societies improved the capacity of national societies to respond to future emergencies. The National Societies' staff and volunteers are skilled in different response strategies and provide a good network for community outreaches at the grassroots. However, the National Societies still struggle with lack of volunteer database and recordkeeping contributing to poor volunteer recruitment and retention. The development and implementation of policies and systems to guide the management in terms of human resources; procurement and logistics; financial management and; PMER will help the National Societies to address the challenges that they continue to face It is therefore important that a strong capacity building programme is established to support the leadership and governance of the National Societies by ensuring that effective financial management curtails fraud and corruption. This will strengthen the NS head office which will lead NS providing better support to the branches to improve their capacity, especially in financial management. 6. LESSONS LEARNT AND RECOMMENDATIONS 6.1 LESSONS LEARNT * The IFRC/NS coverage strategy of targeting reaching the maximum number of people across all categories of population groups is key in ensuring acceptance and effective participation of community members in emergency responses to eliminate aggressive and elusive epidemic attacks. * The multi-faceted five pillars approach adopted by IFRC in EVD Responseoffered IFRC the advantage to adjust the scope of each pillar based on the needs and the epidemic evolution. The approach also ensured a combined effort against EVD through five effectively managed fronts, which contributed greatly to controlled transmission and elimination of the virus. * Systematic incorporation of strict safety strategies for staff and volunteers in the operations by factoring in safety activities, guidelines and protocols guaranteed protection of RC staff and volunteers in a very risky environment; leading to a very limited number of casualties among them. * Conducting a pre-audit of the NS at the onset of the response is critical to evaluate financial risks and adjust the level of accountability and identify capacity building priority areas to focus on before the start of the operations. It is difficult to build the capacity of NS during an emergency when there is little or no time to focus on Capacity building. It is also important for capacity building needs to always be mainstreamed and factored in all the phases and pillars of the intervention and integrated in all activities implemented by the national society. In addition, Capacity building activities should be monitored and reported in the operation updates. * Having volunteer management policies/systems in place that the NS can tap into is critical to enable timely and effective management of urgent volunteer related issues that may arise and disrupt activities during emergencies responses. 6.2 RECOMMENDATIONS FOR FUTURE RESPONSES * R1:Community Led Engagement Approach The experience of the Community Led Engagement Approach seemed to have yielded positive results although it came late in the response. It is therefore recommended to look into this approach more in-depth and capture lessons learnt and key best practices to mainstream those in a community engagement and accountability strategy designed for emergency responses that would entail: - The recruitment of a great number of community volunteers at the local community levels is an effective strategy to reach the local communities. Attempts should be made to ensure that recruitment of volunteers is inclusive of all groups of community members including those living with disability. The proactive systematic recruitment of female volunteers as part of the volunteers teams should be maintained and replicated. - It is recommended that IFRC should systematically involve community leaders in all the stages of interventions, including planning, rather than wait and involve them before communities show signs of resentment to an intervention. - Build on community leaders and their role in developing and implementing by-laws during the response to explore further opportunities to strengthen the sustainability of behavior changes. - When developing materials for awareness raising on an epidemic, the needs of vulnerable groups including people living with disability should be taken into consideration to ensure the most vulnerable and isolated are not left out in the emergency response. * R2:Volunteers Management It is recommended that the retention of the capacitated and motivated community based volunteers, which have been a key asset to the success of the response, is a top priority of the IFRC agenda and is taken into account from the onset of future operations. It is recommended that IFRC develops strategies to enhance retention of volunteers during interventions while at the same time ensuring efficient management of their phasing out at the end of the response. Identifying relevant activities in the program areas of NS or internship programs could be a way forward. In any case, it is recommended to conduct training on volunteer development and management when the need is identified. Psychosocial support to volunteers needs to be better incorporated and mainstreamed in emergency response at an early stage. It is recommended to have PSS for staff and volunteers developed during predisasters times as a key component of Disaster Management and OD programming. * R3: Monitoring and Evaluation It is recommended to IFRC to review its M&E system in emergency to be able to collect and analyse data needed to run the operation with anticipation. In epidemic outbreak responses, a focus on epidemiological data should be emphasized in order to establish a sound data analysis function indispensable to provide strategic directions to the operation. The current system focused on reporting is not found appropriate for such purposes. It is also recommended to improve Information management and monitoring and evaluation to ensure that there is integrity of data coming from the branches. Similarly, the M&E system in recovery shall be improved to allow a more efficient programme management and accountability to donors, including baseline assessments and the monitoring of realistic and workable indicators at all levels of the program hierarchy. M&E trainings for project officers and branch managers should be conducted on a regular basis. R4: Transition from response to recovery It is recommended that the transition from emergency to recovery is planned with a clearer analysis of the NS mandates and capacities. IFRC should engage in assessments of capacities and OD gaps during the response in order to plan a well-targeted transition from response to recovery. Such transition could be planned by deploying OD staff with relief experience during the response, who would be tasked to analyse OD needs and support in planning the transition in terms of availability of resources and design of programmes and OD plans. Workable and realistic exit strategies should be designed and systematically implemented to enhance the sustainability of the emergency response gains. Recovery Strategic planning * R5:Vulnerability Analysis It is recommended that the design and implementation of recovery programming is based on systematic indepth vulnerabilities and capacities assessments that could be conducted during a brief and focused "inception period". Such a phase would also allow good quality baseline assessments to be conducted. These assessments would support in refining ambitions and in designing appropriate approaches in line with existing vulnerabilities and would also form the basis of a strong participatory community development approach aiming at strengthening social cohesion and inclusion of the most vulnerable. * R6 : Food Security and Livelihoods Strategic planning for recovery needs to take into account IFRC and the operating National Societies mandate and core competences. Food Security and Livelihood is relevant to IFRC focus on resilience but does not always translate into strategic priorities and competences at the NS level who traditionally do not have strong capacities in this sector. Such a discrepancy shall be addressed when planning for recovery and strategic partnerships shall be sought at the global and/or country level with key actors to overcome this challenge when it arises. * R7: Health In the health sector which remains a core strategic priority and competence both for IFRC and the NS globally, it is recommended to conduct strong baseline data, KAP surveys and barriers analysis when planning for recovery, to ensure the design of in-depth public health programming that addresses root causes of poor health. Similarly to FSL, strategic partnerships with key health actors should be sought to address health issues and address social determinants of health which are not within the range of the Red Cross Movement priorities and competences. Humanitarian Diplomacy for health should become a systematic approach to which, combined with strategic partnerships, has the potential to substantially increase the impact of IFRC Health programming. * R8: Capacity Development Of National Societies It is recommended that the National Societies are supported to develop resource mobilization strategies aimed at building the NS capacities to implement programmes within their core strategic priorities and build sustainability of the programmes. Financial support services should be placed at the branch offices to support the branch managers.The NS HQ should have the capacity to support the branch/county branches to have the adequatefinancial management skills. Continous capacity development programmes focusing on financial management, policy development, procurement and logisitics, human resource and administrationshould be sustained in all the NS. Refresher trainings in the areas of social mobilization skills, Pyschosocial support and couselling, integrated disease surveillance, contact tracing should be conducted regularly. In addition, regular monitoring ofcapacity building activities should be carried out. Coaching and mentoring of NS leadership on good governance and management should carried out on a regular basis. The national executive board should carry out annual self- assessment to evaluate their work in streeing the NS in strategic policies and implementation of financial audits, HR , procurement, resource mobilization and sustainability.Change agents within the leadership should be identified to spearhead change and create ownership of the capacity building programme Draft policies and procedures should be approved by the board and close monitoring of implementation carried out. During an emergency period, the board might suspend full implementation of policies and procedures in writing. Clear timelines must be set for when this should apply and regular review of the situation should be carried out to determine if it is safe to revert back to full implementation of the policies and procedures. FOR MID TO LONG TERM PLANNING WITHIN CURRENT PROGRAMMES * R9: It is recommended that both NS develop a realistic and well-targeted strategic plan which will form the basis of its partnerships and resource mobilization strategies and includes a resource mobilization strategy that is based on effective programming as much as on other income generating activities. * R10: CBS should remain, in this form or as ECV, part of the NS core programming integrated in CBHP and DRR. There is however a need to improve its sustainability by relying more on unpaid community volunteers, including possibly the Community Health Workers, and by establishing a clearer and stronger relationship between volunteers and health facilities. * R11:The FSL intervention in Sierra Leone has effectiveelements of sustainability that require a continued monitoring and support from the NS. It is recommended that such support should be planned for and implemented during the remaining months of recovery appeal implementation.
CERT Emergency Network Students: G.A. van Malenstein, B ICT R.P. Vloothuis, B ICT Supervisor: Jan Meijer, SURFnet Research Project 1 System and Network Engineering University of Amsterdam SURFnet February 4, 2007 Abstract This report describes alternative ways for Computer Emergency Response Teams (CERTs) to communicate with each other in case all regular communication methods (Internet, GSM) fail. First, the function of CERTs is described. An overview of techniques for this problem is presented: a TETRA network, KPN Emergency Network, (packet)radio, WiMAX and satellite communications. Also organizational problems are described. A possible solution direction is described along with recommendations and future work. Contents 7 Future Work 26 Chapter 1 Introduction On the 18th of January 2007 a big storm hit the Netherlands. Many services like the railroad became unavailable and many people were stranded on railroad stations like Utrecht Centraal. In the SURFnet oﬃce at Utrecht there was a power outage in the server room. The servers should have a backup UPS, but these failed to provide the necessary power. An independent power supply was not present. This resulted in a network failure which disconnected the oﬃce from the internet. In addition to this, the phones stopped working because they relied on a voice-over-ip network which is based on the same aﬀected network. Communication by phone and the internet became impossible. As backup, CERT members (and also other SURFnet employees) use a cellular phone. Since there were so many people stranded on Utrecht Centraal as a result of the storm, the GSM network overloaded and communicating through this network became impossible. Because of these problems, no one was able to communicate outside of the oﬃce making solving this problem very diﬃcult. No one could contact the power company to try to restore the power. This month, January 2007, a security problem in the Cisco IOS software emerged. Cisco is a big supplier of network equipment and is the major brand for internet routers. A lot of internet nodal points consist of Cisco routers. If there happens to be a ﬂaw in Ciscos TCP/IP implementation it is possible all routers are vulnerable. Quotation from the Cisco bug report: The Cisco IOS Transmission Control Protocol (TCP) listener in certain versions of Cisco IOS software is vulnerable to a remotely-exploitable memory leak that may lead to a denial of service condition.[1] This aﬀects most Cisco products which uses IOS software. Luckily, Cisco distributed a patch quickly and it didnt have big consequences, but it could have been disastrous if this vulnerability was exploited on a large scale. It could have made all IP traﬃc impossible including voice over IP networks. The internet in the SURFnet oﬃce was unavailable, which made all land line communication impossible, and the GSM service was overloaded which was supposed to be the backup line for the CERTs. If they had access to an emergency communication network like satellite phone, this wouldnt be a problem. Of course the absence of an independent power supply and the failure of several UPS devices was also part of the problem, but this does not give 100% guarantee it will not occur. With these incidents it became clear research about this problem is very important. Because we rely so much on the internet we should have some level of certainty it will keep functioning or keep downtime as short as possible. This requires a reliable backup voice communication channel which is always available. The Internet is a worldwide network of networks. Everywhere in the world, people rely on the Internet. At the same time, people depend on this network. Most Universities, companies, Internet Service Providers and governments have a Computer Emergency Response Team (CERT). A CERT supports these organizations when serious IT-related incidents occur, such as security incidents, 24 hours a day, 7 days a week. We also encounter the term CSIRT (Computer Security Incident Response Team) which in practice means the same. In this report we describe a solution direction for the situation in which the regular communication channels – Internet, GSM, and PSTN (Public Switched Telephone Network) – are not available. We describe organizational problems and technical solutions. We did not research in which ways the communication between CERTs can be secured; this research focuses on possible solutions. Implementing directives have to be worked out in future work, see chapter Future Work. 1.1 Key problem For a couple of years, CERT members are concerned how the teams may communicate when the regular communication methods are unavailable because of a (partial) network failure. When a security incident this serious occurs, the CERT-community investigates the cause of the problem and works towards a solution or a direction of a solution for the arisen problem. During a serious emergency, communication has to be possible via an Emergency Network. The de facto Emergency Network nowadays is the regular Public Switched Telephone Network. However, after British Telecom, KPN Telecom also plans to deploy an All-IP network. This involves a great threat for Internet technology, as the traditional Emergency Network for Computer Security Incident Response Teams may become unavailable in case of a security incident or a network failure. Because the technical structure of the PSTN network will be changed to IP-technology, Internet IP security incidents can have eﬀect on this telephone network; so communication by telephone can become impossible in case of an emergency. 1.2 Main research question Which ways of communication can be used for the CERTs for mutual communication when the regular communications network (Internet) fails? In order to answer this question, we ﬁrst have to establish what CERTs are, and how they communicate with each other. This is described in section CERTs. We also have to know if there are any organizational obstructions for implementing the possible solution. This solution must ﬁt the need of the CERTs, so technical requirements must be identiﬁed. Because the problem is too wide to address given the time, we have to specify certain parameters for this project. 1.3 Scope * The problem focuses on the communication between CERTs at diﬀerent geographical locations, which may have inﬂuence on the functioning of the Internet or are responsible for it. However other persons or departments which have inﬂuence on the functioning of the Internet may be described in this report. * In this research, only the communication between European CERTs – and Dutch CERTs speciﬁcally – will be examined. The intention is to create a solution or a direction to a solution, which has to be scalable to European or even to a worldwide level. However, we focus our view on SURFnet-CERT and its surrounding contacts. * Possible technical solutions will only be examined when they are realistic. One communication node may cost approximately a couple of hundreds of Euros. When an appropriate solution is found, we will try to produce a Proof of Concept (PoC) if possible. Because there is no realistic budget available for this project, this will be very diﬃcult. * Solutions are being examined on the basis of feasibility and the time available for this Research Project. * In this Research Project, the emphasis is set onto the use of techniques available at the moment of publishing. * In the review of the technical solutions, we analyze the feasibility of possible solutions, however we will not cover the security aspect. We cannot establish the requirements of the security aspect, because we do not have a communication plan. 1.4 Research methods At the start of this project, we did not know which CERTs exist and what their exact functions were. This was the ﬁrst information we needed. We obtained the necessary information by interviewing Jan Meijer and Xander Jansen of SURFnet-CERT[2]. Jan and Xander are employees of SURFnet and members of SURFnet-CERT. Because they are active for many years within SURFnet-CERT, their knowledge of CERTs is valuable to us. The results of these interviews are described in the section CERTs. Next, we analyzed what information in which way has to be communicated in case of an emergency. We decided to do basic research on the organizational problems (see section Organizational problems). This information is also obtained by interviewing Xander Jansen. To create a solution, or a direction towards a solution, a technical communication infrastructure is needed. To focus on usable technologies, we stated a list of requirements, see section Requirements. Only technical solutions which initially came near our requirements are further examined. The possible technical solutions are described. We organized a brainstorm session and concluded there were ﬁve possible suitable technical solutions. Per solution, we checked it against the requirements and did research, by interviewing involved persons and by browsing the Internet for information. 4 For the ﬁrst possible solution, a TETRA network, we did research on the Internet and had contact with Teus van Houwelingen of the C2000 Emergency Network. We also had contact by email with the Ministry of Interior and Kingdom Relations (MinBZK[3]). The information for the second technical solution, is obtained by an interview with Marcel van Apeldoorn, employee of the KPN Emergency Network[4] department. For information on the third possible technical solution, we did research on the website of the VRZA (the Dutch Association of Radio Amateurs[5]) and the website of DARES (Dutch Amateur Radio Emergency Service[6]). Information on WiMAX is obtained by browsing the Internetsite of the WiMAX forum[7]. For obtaining information on satellite communication, we arranged an interview with two employees of K.S.C.[8]. This company is a supplier of satellite phones in The Netherlands, Germany and Belgium. After researching organizational problems and possible technical solutions, a solution direction had to be described. We combined information from interviews with the technical solution which ﬁtted our requirements best. This resulted in the recommendation of creating agreements between CERTs and the recommendation to set up a communication plan. Due to the short time available for this research, we had no possibility to develop a communication plan. All problems which we did not research are described in the section Future Work. 1.5 Literature Literature study is done by searching for existing articles and research on diﬀerent libraries: * Citeseer * CiteULike * Gigablast * Google scholar * Science Direct Chapter 2 CERTs With the expansion of the Internet to a worldwide network, security of this network became a real problem. Security incidents on one node may aﬀect other nodes, which may be on a diﬀerent geographically location. The Internet is not geographical bound, but the availability of this global network depends on diﬀerent organizations of diﬀerent nations working together. This situation is diﬃcult as everyone has to use the same technology and has to agree on some rules how to operate the network. This structure works surprisingly well and there is not even an oﬃcial hierarchy present to govern this. Organizations which are responsible for diﬀerent nodes in the network are in frequent contact with each other about e.g. security incidents. From these organizations, groups of employees formed a team which responds to security threats and incidents. They also have contact with other similar groups from other organizations to exchange information about these security threats. These organizations were not asked or dictated to from those groups, but they were created by self organization. These organizations are called CERTs (Computer Emergency Response Team) or CSIRTs (Computer Security Incident Response Team). From now on we only use the term CERT. CERTs originate from around 1988 when the DoD (U.S. Department of Defense) network was attacked by a worm. In response to this incident, the DoD collaborated with other communities connected to this network to solve the problem. After this incident, The DARPA established a CERT in order to address these problems. Since then, other CERTs have risen. CERTs consist of a group of people from one or more organization(s), which work together to manage the security incidents occurring on the network they control. The employees are often not dedicated to this task, but work in a rotating shift apart from their daily work. A well trained CERT member is an expert on his task, understands incoming reports and has connections to other organizations which can solve the problems on the node the CERT is responsible for. For this research project we only identify some organizations which are known to SURFnetCERT. We interviewed Xander Jansen, member of SURFnet-CERT to identify the tasks of this particular CERT and a possible existence of a hierarchy. According to Xander Jansen there is no oﬃcial hierarchy between other CERTs but maybe future research proves otherwise. The structure can be identiﬁed as informal, which makes it hard for outsiders to understand its structure. For example, the Dutch GOV-CERT monitors security incidents in The Netherlands. They are not responsible for the Dutch IP-range, but monitor security risks. We assume they are not directly involved with other CERTs, but information is exchanged on a voluntary basis. In some situations, a formal structure is present. SURFnet-CERT is a organization which only monitors its own IP-range. The University of Amsterdam (UvA) is connected to the internet by SURFnet. Below this we ﬁnd organizations as OS3 (our educational unit) which are responsible for their own IP-range. For example, if there is a problem with a node which belongs to OS3 and it is reported to SURFnet-CERT, this report is forwarded to UVA-Cert which forwards it to OS3. Because OS3 and UvA-CERT have a contract with SURFnet, they are responsible for their own IP-range and must act accordingly. In this situation we identify a structure between SURFnet, UvA and OS3 which is not informal but dictated. Not all CERTs are capable of solving an incident directly. A CERT can also be a coordinating point like SURFnet-CERT. It does not take direct action on incidents but contacts the person(s) or organization(s) which can solve the problem. Such a CERT does not correct problems, it manages them. For instance, SURFnet-CERT has connections with Network Operation Control (NOC) which controls the physical network of SURFnet. Network Operation Control is also part of the SURFnet organization; however they work separated from the SURFnet-CERT group. CERTs are also a source of information for each other. Knowledge about possible threats or other relevant information is distributed across the CERTs through mailing lists or by personal informal contacts. By distributing this knowledge, security incidents and other problems may be prevented. An example of an organization which distributed knowledge is FIRST (Forum for Incident Response and Security Teams). FIRST was launched only a year after the establishment of the ﬁrst CERT. FIRST is a platform on which diﬀerent CERTs - which are members of FIRST - exchange information about security-related vulnerabilities; FIRST itself is not a CERT. SURFnet-CERT and GOVCERT for example are members of FIRST. Members are added by a procedure called Trusted Introducer; this means CERTs which are already a member of CERT introduce other CERTs to this FIRST network. The new CERT is trusted by the already trusted CERT and can contribute to exchange information about security related problems. The members of FIRST are sharing this information via mailing lists and organized events. With this information, CERTs can react to incidents. An everyday problem for example might be a computer sending spam attached to the node which a CERT monitors. If the CERT receives a report about this speciﬁc computer, the CERT or person responsible for this node can be contacted to solve the problem. Each problem reported to SURFnet is stored in a ticket system called AIRT[9]. Tickets can be forwarded to NOC, other CERT members or CERTs like UVA-CERT. These problems are mostly not critical for the functioning of the network so they can be managed by email or the AIRT ticket system. In case of a severe security incident, CERT members may have to communicate with each other to address the problem. If this incident aﬀects the availability of the network (Internet), an emergency communications channel has to be used to be able to communicate. At SURFnetCERT this is currently done by using mobile telephone and pagers. Other CERTs also communicate with each other by telephone (point-to-point communication). Every SURFnet-CERT member has his own mobile phone and pager and is twenty-four hours a day reachable during duty. Chapter 3 Organizational problems An incident like the total failure of the Internet has never occurred, because the infrastructure is robust. But the possibility still exists, as stated in the section Key problem. If this scenario occurs in the current situation, no communication will be possible between the CERTs. This problem must be tackled by implementing an independent Emergency Network. Implementing such a network, can cause organizational problems. As most CERTs communicate informally, there is no oﬃcial hierarchy present between most CERT organizations. Also, there is no overall chart about which CERT is important or responsible for which part of the internet. As a result, who has to communicate with whom, what information should be exchanged and how this should be done is not clear; a communication plan is absent. Total chaos might occur when the worst scenario happens. In the section Technical solution we describe a point-to-point communication network is needed. By absence of a clear communication structure, it is not possible to set up a point-to-point Emergency Network – it is not clear who should communicate with whom in case of emergency. Chapter 4 Technical solutions In this chapter, possible technical solutions or directions to a possible solution to our research question will be covered. The possible technical solutions mentioned in this section are described apart from the organizational problems. In order to distinguish a solution from a non-solution, we stated a list of requirements. In the worst case scenario, the Internet, the telephone network and the power network are all down. In many emergencies, cascading failures are seen. This is the eﬀect of one incident causing another. When a serious emergency occurs, people will try to use regular telephone communication networks, which causes these networks to fail due to their limited maximum capacity. When telephone networks reached their maximum capacity and the Internet is not available, it is possible regular power is also not available. Even in this case, the Emergency Network has to work which can be done by implementing a backup power supply. Also the network has to be completely independent of the Internet and its underlying technology. The requirements are stated to ensure a possible solution does not fail in case the worst case scenario strikes. When a technical solution matches all items from this list, its possible this solution can be used for an Emergency Network. Requirements To make sure a solution is a possible answer to our research question, all solutions found will be checked against the following requirements. The technical solution has to be: Scalable The solution may intentionally be realized to serve a small geographical area, however, when this area is expanded, the solution must be scalable; it has to be possible to create new connections to the Emergency Network. Flexible Because CERT members tend to be mobile, the solution should also be portable and easy to deploy. A battery unit should be provided because it must be independent from regular AC power. Aﬀordable Describing the term aﬀordable for multiple CERTs is not possible; each CERT has an amount of money and time, which they may invest in the Emergency Network. We assume the Emergency Network will be used very rarely. Expensive systems are for this reason not possible to install for the CERTs. The costs of the Emergency Network have to be reasonable and justiﬁable towards the organization of which the CERT forms a department. Physically separated from the Internet When large problems cause the Internet infrastructure to fail, the Emergency Network has to be independent of it. In case of a serious bug in the IP protocol for example, all IP devices are aﬀected. In this situation, all parts of the Internet may experience problems. To ensure the Emergency Network is not aﬀected by this kind of bugs, the network has to be independent of Internet. We also recommend not to use the regular Internet protocols for the Emergency Network. Available When all regular communications lines – PSTN, GSM and the Internet – are unavailable, the solution must be available to its users. Even in case of total power loss. Communication can take place in various ways. Point-to-point, point-to-all, all-to-all and by speech or data (text). In emergencies it is suﬃcient to only have a point-to-point voice connection, because this is currently done in the same way – using (mobile) telephone networks – and because of the self organizing structure of the CERTs. If one CERT member communicates with another CERT member, this CERT member can forward the information to another CERT member. The ﬂow of information will stream naturally trough all CERTs. Point-to-all or all-to-all communication like a conference call is convenient but is in an emergency situation not necessary. Thus we only need a point-to-point communication solution 4.1 Solution 1 – TETRA Network Introduction to TETRA Terrestrial Trunked Radio (TETRA) is a digital trunked mobile radio standard developed by the European Telecommunications Standards Institute (ETSI[10]). The air interfaces, network interfaces as well as the services and facilities are speciﬁed in suﬃcient detail to enable independent manufacturers develop infrastructure and radio terminal products that would fully interoperate with each other. For example, radio terminals from diﬀerent manufacturers can operate on infrastructures from other manufacturers[11]. C2000 The C2000 Emergency Network is a Dutch network, which is being used in case of an emergency by police departments, ﬁre departments and medical departments. On 26 October 2005, the Dutch C2000 and the Belgian ASTRID networks have been connected for an international operation between the Dutch and Belgian police departments[?]. We contacted the police department in Driebergen, where the C2000-management is located. The spokesman told us it would be nearly impossible to connect (Dutch) CERTs to this network. We have been redirected to the Ministry of Interior and Kingdom Relations (MinBZK[3]), however within the remaining time for this research we could not make an appointment. See section Future Work. MCCN The Dutch TETRA-operator Mission Critical Communications Network (MCCN) uses the same technique as the C2000 network. However, the MCCN-infrastructure is accessible for public and uses the frequencies meant for commercial trunking (410 – 430 MHz)[14]. TETRA and our requirements Scalable The TETRA network is easily scalable – apart from the necessary investment – by placing new radio masts. For intercontinental communication, a satellite connection has to be established between two TETRA ground stations. Placing new devices in a TETRA network is as easy as connect a new cell phone into an existing network. On a commercial perspective it is much more diﬃcult to scale this international. Serving a bigger area costs a lot more and placing masts in other nations requires permission from the governments. This might be diﬃcult to accomplish. Building your own network only for this purpose is not feasible as it is to expensive to set up. Flexible TETRA is a network which is intended for mobile use. As long the user is in the service area, communication can take place. Aﬀordable Currently there is no pricing known. The only operator of such an open TETRA network is currently not providing this information. Building an own TETRA infrastructure is not aﬀordable according to Marcel van Apeldoorn of KPN. Physically separated from the Internet The TETRA infrastructure is set up as an independent network. Within this network, all devices can communicate with each other, as long as the network covers each device. The network does not need an Internet connection – however it is possible to connect the TETRA network to the Internet. Available A commercial tetra network is not widely available. In time this may change and research on this option should be done. 4.2 Solution 2 – KPN National Emergency Network In The Netherlands, commercial telecom operator KPN has deployed a private Emergency Network. This network connects 6000 locations throughout The Netherlands, for example police stations, hospitals and departments of the Dutch government. Each connection to this network has been approved by the Ministry of Interior and Kingdom Relations (MinBZK). The network is tested each 6 weeks by KPN. Many customers are using the network daily. Figure 4.2 describes the infrastructure of the KPN Emergency Network, but in a simpliﬁed version. Scalable The KPN Emergency Network may be connected to other Emergency Networks, however some countries around The Netherlands such as Germany do not have completely separated infrastructures for communication in case of emergency. The network is not easily scalable, as all decisions have to be approved at the Ministry of Interior and Kingdom Relations. It is not easily possible to connect more than one or two countries within years with this kind of network. A request for a new number and phone on KPNs Emergency Network will take around four weeks. Once installed, the equipment is ready for use 24/7. Flexible In the past, mobile units have been placed in the network; when the millennium-bug should cause all systems to go down. This option was disabled after the year 2000. All locations in the network are ﬁxed points. This network is not suitable for mobile users; a strong disadvantage for using it as an Emergency Network. Aﬀordable A connection to the KPN Emergency Network costs EUR 643,89 once, plus around EUR 80 per month. However, making or receiving a call is free within the whole network. Physically separated from the Internet The KPN Emergency Network is completely separated from the rest of the Dutch infrastructure. The network can be used by dialing 5 numbers on any phone in the network. Each location may call all other locations. There is even a phonebook available for only the numbers on this separated network. At this moment, the KPN Emergency Network consists of 2 main exchange locations and 600 switchboards throughout the country. The network is built on the analogue PSTN-technique. At the end of 2007, contracts between KPN and the Ministry of Interior and Kingdom Relations are ending. Around this time, KPN will probably introduce the all-IP infrastructure. The KPN Emergency Network will also be converted to an all-IP network, however, completely separated from the main network. Available When connected, the network can handle all possible connections; it is designed especially to do so. The network will always be available when people need it. To ensure the availability, all switchboard connections in the network have alternative power sources nearby, which will switch on when the electricity network fails. These alternative power sources run on diesel. 4.3 Solution 3 – Radio Radio frequencies can be used for various applications. The advantage of radio transmission is its transmission medium: the air. Its not dependent on a wired network or other equipment and doesnt need maintenance. This meets the most important requirement; its completely independent of the current internet network and is not based on any internet protocol. The most common application is FM radio for simplex communication. But other frequencies are also used for voice transmission. Most noticeable users are the radio amateurs. They use free frequencies for communicating with each other and can reach other countries several thousand kilometers away on lower bands. FM radio on the other hand does not reach very far. And the equipment to reach distances as e.g. Radio 538 is expensive and not usable without permission from the government. In fact, it may not be possible at all to get access to such a big radio mast. Solutions have to be found at a smaller scale or at the long wave band. The low wave band reaches much farther than FM and AM but the sound quality is also lower. It might not be possible to send data through the air on this band or to slow to be usable. In our situation, radio can only be used for voice communication because data transmission on a large scale would not be possible. Out of a radio amateurs society, the project DARES (Dutch Amateur Radio Emergency Service) was established to provide support in case of an emergency or major disaster. In such a case the regular phone lines and other communications channels may be unavailable. Licensed radio amateurs on voluntary basis work together to support emergency services on a national and international level. They have over 400 amateurs spread over the entire nation available. It might be possible to use this network of volunteers to support the internet community in case of an emergency. However, if this option is reliable, remains to be seen. Volunteers dont get paid, so theres no guarantee the network is available when it is needed. 4.3.1 Packet radio It is also possible to use radio for transmitting data. Digital signals can be modulated to analog signals and be transmitted through the air. TCP/IP is a packet based protocol thus the term Packet radio is created. A half-duplex connection can be established by using a computer connected to a transceiver. One downfall is the limited amount of free frequencies available. Only a few FM frequencies are free to use and it is not allowed to use strong transmitters on these frequencies. A higher sound quality translates to a higher bit rate which is necessary for transmitting large amounts of data. This bit rate is mostly limited to 9200bps which is not very fast. For text messages and maybe some text log ﬁles it should be suﬃcient. CERT members could communicate through e.g. a chat program and transmit data along with it. Radio and the stated requirements: Scalable Radio can carry very far, but only on lower bands or with very strong transmitters. It is scalable if other countries and radio amateurs cooperate in this network. DARES might be able to set this up. Radio is not location limited. Flexible Portable transmitting equipment is available and easy to use. It can be used by anyone. Aﬀordable Big transmitting masts are too expensive and clearance to use this kind of equipment is not easy to get. However, equipment which uses the lower band is aﬀordable. Also radio amateurs are already equipped with these devices. Available The Emergency Network must always be available in case of an emergency. If the functioning of the network depends on volunteers, it might not be reliable. Also, volunteers might not be alerted fast enough to respond to a problem. This should be consulted with the radio amateurs. Physically separated from the internet Radio has absolutely nothing to do with the internet or internet technology if it is not used. Radio can support protocols like IP, but this can also be avoided by using other protocols. 4.4 Solution 4 – WiMAX WiMAX (Worldwide Interoperability for Microwave Access) is not a technology, but a certiﬁcation mark to equipment that meets the 802.16 standard speciﬁed by the WiMAX Forum. Its purpose is to establish a wireless link over a long distance. It is similar to Wi-Fi, but has a wider range. Like Wi-Fi, it uses free frequencies of the RF spectrum e.g. around 2.5 GHz, but this depends on the permission the nation has given. The RF spectrum is protected by the government and they have to give permission to use certain frequencies. This interferes with the adaptation of this technology. An international and even a national covering network are not yet available. This upcoming technology looks very promising because of its range and connection speed. 10-70Mbps is possible, but 70Mbps is only achieved at very short ranges. Still, it is far more superior to GSM services, for example. Commercial companies are currently conducting tests on how this technology can be used and how it is applicable to a large geographical area. For instance, the Dutch company isence is already building a WiMAX network, but its a long way from becoming nation covered. If WiMAX comes widely available to the public, it should be a very interesting solution for our problem. Of course we cant say how dependent this network will be on the Internet because that is the responsibility of the network operators. WiMAX and the stated requirements: Scalable WiMAX masts can be placed everywhere so it should be technically possible to limitlessly extend this network. It is possible to use WiMAX geographically independent if there are enough masts. Flexible For mobile CERT members, it should be possible to access the network like the GSM network today. Aﬀordable Building your own WiMAX network is too expensive for our problem. If a commercial network comes available, it is more likely aﬀordable. Available WiMAX masts should always have a backup power generator. This way, the network will never go down. If a WiMAX network is tied to the internet, it might also become unavailable in case of an incident. It is extremely important the network still functions if the internet becomes unavailable. Physically separated from the internet WiMAX can be separated from the internet, but likely it will be connected in such a way it will also fail in case of an incident. A WiMAX network without an IP protocol might not be cost-eﬀective to setup[7]. 4.5 Solution 5 – Satellite communications Communication via satellites is possible since around the 1960s. Nowadays, two types of networks can be distinguished: LEO and GEO satellites. Low Earth Orbit (LEO) satellites are up to 1,500 kilometers from the earth surface. These satellites are moving constantly around the earth. Geosynchronous satellites (GEO) are stationed at around 35,000 kilometers from the earth surface. Due to this altitude, the satellites are moving synchronously with the earth; the satellites never change location relatively to the earth. GEO systems require antennas to be pointed directly towards a satellite, and are less eﬀective in mobile use than LEO systems. Omni antennas are used at LEO systems. This type of antenna requires an 80% clear view of the sky. Globalstar and Iridium are LEO satellite networks. At this moment, the Globalstar network counts 68 satellites. In March 2007, 8 satellites will be added. Thuraya is a GEO satellite operator, which uses only one geosynchronous satellite[15]. Because of the coverage of the described networks, we will focus on the Globalstar network as a solution for an Emergency Network. The network is connected to the PSTN infrastructure, however it is independent of it. Scalable The Globalstar network is the only satellite network with worldwide coverage. Thuraya only oﬀers satellite telephony in Europe and the Middle East. It is not possible to use Globalstar phones on the Thuraya network, or vice versa. Because of the small coverage of the Thuraya network, the Globalstar network is the best choice. Flexible With a satellite phone, it is possible to call from nearly all places on earth, as long as the phone has a clear view to the sky. For mobile CERT members, mobile satellite phones may be purchased. Aﬀordable On the Globalstar network, the costs for a mobile satellite phone are EUR 1500 once. Per month a subscription fee of EUR 20 per connection will be charged by the operator. If the phone is not used, there are no additional costs. When calling, a fee of EUR 1 per minute will be charged. Physically separated from the Internet The satellite communications network is not depending on the Internet, however via some satellite devices – such as the Nera WorldPro 1000 – it is possible to access the internet. When the Internet (partially) fails, the satellite network stays available. Available The satellite communications network is always available. However, in times of war, an enemy may interfere with the satellites, making communications impossible. Satellite communications also can be shut down by the operator. When using satellite telephones as devices for a CERT Emergency Network, alternative power sources must always be available in case of total power loss. Chapter 5 Solution direction By listing all requirements per solution, the best solution can be chosen from all described technical solutions. 5.1 TETRA The TETRA network infrastructure is very ﬂexible. The network is completely suitable for mobile units. However, the ﬂexibility is based on the network coverage. This coverage needs a large number of masts. Building an own TETRA network is too expensive. The current pricing of units and subscription fees are unknown. The scalability of this network type is very poor, as agreements have to be made with other countries to place the necessary extra ground masts. 5.2 KPN National Emergency Network The KPN National Emergency network is cost-eﬀective, easy to install - as it is like a normal PSTN phone line - but not very scalable. Other countries do not have a separated network like this one. The KPN Emergency Network is also not ﬂexible; there is no possibility to connect mobile units to this network. Furthermore, the Emergency Network moves to IP technology, which is as vulnerable to a security incident as the All-IP PSTN network. This option might be a good solution at the present time, but as KPN has stated it moves to an all IP network by end 2007. 5.3 Radio Radio can in theory be very scalable, but this is limited to the number of volunteers that can manage a node in the network. This is not easily done, especially international. Therefore the scalability is not very good. However, it is always available and is a completely separated network. The drawback of being not very scalable is too big to choose this method. Radio networks are depending on the eﬀort amateurs put in it. However, for an Emergency Network, it is not the intention to rely completely on professional amateurs; the availability is not guaranteed by this people. Packet radio might be too slow to be usable because of its low data rate (9600bps max with a good FM signal) and it is not usable for point-to-point voice transmission. However, if all the requirements were met, it might have been a good alternative even if you only can use text messages. 5.4 WiMAX WiMAX is an upcoming technology and not widely implemented. Therefore it is not useable at the present time. You can set up your own network, but this is too expensive; the distance of the signal is limited, so you need a lot of masts to cover large areas. It is expected the commercial networks which will come available are based on IP technology as it will likely be used for internet access on mobile devices. WiMAX is for this reason not a separated network and thus not a viable option. 5.5 Satellite communications Communication by satellites is very scalable; the satellites of the Globalstar network cover almost the complete earth. Also, this way of communication is very ﬂexible. Mobile units can access the satellites, and new connections to the network can be made quickly. The price of satellite (mobile) phones and their subscription fees for accessing the network are reasonable, see chapter Satellite communications. The satellite operator is completely independent of the internet. There is a link between the satellite network and the Internet, however the satellites are not relying on the IP protocol themselves. The satellites network is always available; only during war, satellites might be disabled. The following table represents the ﬁnal score per solution of all stated requirements. Figure 5.1: Final scores per solution per requirement. Scale from – to ++, where 0 is neutral. Because communication by satellites matches all of our requirements, this is the best technical solution available at this time. In order to use this solution, every one who has to communicate in case of an emergency has to have a satellite phone unit either mobile or a ground unit. In a future communication plan, all phone numbers are listed and this is updated frequently. This plan also contains procedures, which have to be executed during an emergency. This way a CERT member can always contact a member of another CERT who also has a connection to the Emergency Network. 5.6 Example of satellite communications as an Emergency Network An Emergency Network can be established using satellite communications. Via satellites, pointto-point communication is possible. Additionally, the network meets all of our requirements. In the section Organizational problems, we described the absence of a communication structure between CERTs in case of an emergency. For this example, the communication between SURFnet-CERT and SURFnet NOC in case of an emergency will be described. In case of a serious network failure, a SURFnet-CERT member can use his mobile satellite phone unit to call a NOC employee who also has a unit. If necessary, both parties can contact other CERTs connected to the Emergency Network to solve the problem, see ﬁgure 5.2; the ﬁgure is simpliﬁed, not all CERTs are represented. The procedure of contacting and the phone numbers are stored in a communication plan. Figure 5.2: Communication in an Emergency Network, simpliﬁed. Black arrows represent real communication, grey arrows represent possibilities to communicate For every arrow in ﬁgure 5.2, an entry in the communication plan is needed. This clariﬁes who to call (procedure) and which number is linked to which CERT. Next, we describe the costs of an implementation of satellite communication for 6 mobile units. EUR 1.500 per CERT makes a total EUR 9.000 total non-recurring costs. Per month, EUR 20 per CERT is charged. This makes a total of EUR 1.440 per year. In case the Emergency Network is used, the costs of calling by satellites phone are EUR 1 per minute. 5.7 Proof of Concept Setting up satellite a Proof of Concept (PoC) of satellite communication is too expensive for this limited project. However, we made some test calls with mobile satellite phones supplied by K.S.C. The quality of the conversations turned out to be good and the delay of calling by satellite was negligible in comparison to GSM telephony. 5.8 Implementing a satellite Emergency Network To deploy an Emergency Network, the following steps have to be taken: 1. Organize a meeting with at least 2 CERTs 2. Create agreements on how the network is set up 3. Describe these agreements in a communication plan 4. Connect all participating CERTs to the satellite network 5. Add all CERT names and numbers to the communication plan 6. Update and distribute the communication plan on a frequent basis 7. Get more CERTs interested to participate in the arisen Emergency Network; start again at step 1 Chapter 6 Conclusion Which ways of communication can be used for the CERTs for mutual communication when the regular communications network (Internet) fails? After examining all possible solutions for an Emergency Network, our conclusions are the following. Communication can be done best with satellite communication, which is a completely separated network and the network is always worldwide available. Because there is no communication structure agreed between CERTs in case of (partial) failure of the Internet, a communication plan is needed. This plan must contain all procedures and (mobile) satellites phone numbers of the participating CERTs. 6.1 Recommendations In order to successfully deploy the solution, ﬁrst a few CERTs have to implement this technology. Hence, if one sheep leaps over the ditch, all the rest will follow. Other CERTs will notice the existence of the Emergency Network and may join it Chapter 7 Future Work During this project we researched diﬀerent technical solutions which may or may not be usable for an Emergency Network. Implementing an Emergency Network requires a communication plan which is agreed on by all CERTs who participate in this network. This requires more research which was not part of this project. CERTs should also address this problem as it is not a priority at this moment; this requires arrangements with other CERTs. Other technical solutions like WiMAX should also be further researched on their potential. It is possible this proves to be a better and cheaper solution in the future when it becomes widely available. In the case of building an Emergency Network on WiMAX technology, CERTs should realize this is an IP network, with the danger the network is probably not completely separated from the internet. Another possibility is opening a dialog with amateur radio societies on how they can help establish communications if the regular methods are unavailable. However, amateurs may not be a good alternative for an always-available satellite network. Notice that crossing the oceans may need satellite communications in the end, when using packet radio technology. The security of the solution has to be researched. This is part of the implementation of the solution, which is not part of this research. CERTs should evaluate if the Emergency Network must be secured and which requirements are needed. Bibliography [1] CISCO, Cisco Security Advisory: Crafted TCP Packet Can Cause Denial of Service, http: //www.cisco.com/warp/public/707/cisco-sa-20070124-crafted-tcp.shtml [2] SURFnet, Website, http://cert.surfnet.nl/home-eng.html [3] Ministry of Interior and Kingdom Relations (MinBZK), Website, http://www.minbzk.nl/ bzk2006uk/ [4] KPN, KPN Emergency Network, http://www.minez.nl/content.jsp?objectid= 150156&rid=149798 [5] Dutch Association of Radio Amateurs, Website, http://www.vrza.org/ [6] DARES (Dutch Amateur Radio Emergency Service), Website, http://www.dares.nl [7] WiMAX Forum, website, http://www.wimaxforum.org [8] K.S.C., website, http://www.kscehv.nl/ [9] Application for Incident Response Teams (AIRT), Website, http://www.surfnet.nl/ info/diensten/beveiliging/airt.jsp [10] European Telecommunications Standard Institute, Website, http://www.etsi.org/ [11] TETRA Memorandum of Understanding, Website, http://www.tetramou.com/ [12] TETRA Architecture and Interfaces, Presentation, http://www.tetramou.com/ uploadedFiles/Files/Presentations/TWC04 02 Mehdi Nouri.ppt [13] TETRA Release 2.0 Overview, Presentation, http://www.tetramou.com/ uploadedFiles/Files/Archive/9 TWC03 TETRA2 Overview.ppt [14] C2000, Description, http://nl.wikipedia.org/wiki/C2000 [15] LEO vs. GEO Satellites when used with Mobile Satellite Services, Website, http://www. globalcomsatphone.com/globalcom/leo geo.html
through Hand Washing and Drying Capacity Building IMPROVING FOOD SAFETY Page 2 IMPROVING FOOD SAFETY through Hand Washing and Drying Capacity Building Improving Food Safety through Hand Washing and Drying Capacity Building Developing an Effective Hand Hygiene Protocol page 1 Hand Hygiene Checklist page 6 Gap Analysis of International Food Hygiene Law, Regulations, and Standards as they relate to Hand Hygiene Protocols page 7 Page 4 IMPROVING FOOD SAFETY through Hand Washing and Drying Capacity Building DEVELOPING AN EFFECTIVE HAND HYGIENE PROTOCOL Overview The Asia-Pacific Economic Cooperation (APEC) Food Safety Cooperation Forum Partnership Training Institute Network (FSCF PTIN) was established in 2008 to improve food safety in the Asia-Pacific region by building the capacity of APEC Economies to prevent, detect, and control foodborne pathogens. To achieve this goal, the FSCF PTIN convenes key stakeholders along every step of the global food supply chain – the food industry, academic food safety experts, and government regulators – to address critical food safety gaps. One of the most critical contamination points in food safety practices is hand hygiene. APEC has recognized that hand hygiene is a fundamental first response to ensuring food safety. According to the U.S. Centers for Disease Control and Prevention (CDC), approximately 25-50% of food workers do not wash their hands for the recommended time. Meta-analysis of 66 outbreaks that occurred in the US between 1975 and 1998 found that 82% of the outbreaks implicated food workers as the source of contamination and, in 50% of the cases, hands were the source of pathogen transmission. 1 Kimberly-Clark Professional (KCP), a global hygiene leader, conducted a FSCF PTIN project to test hand hygiene compliance in a food processing facility in an APEC Economy. The goal of the project was to determine the overall effectiveness of a hand washing and drying protocol and undertake a comparative analysis with other hand drying methods in a controlled environment to determine the type of hand hygiene system that is best suited to ensure the removal of the maximum number of bacteria. The study was developed to help guide food preparation facilities and workers on the most effective hand hygiene protocol with minimal cost and maximum uptake on site. The project consisted of two experiments: Experiment A: effect of proper hand washing and drying on residual hand bacteria in an actual food processing environment; and Experiment B: Testing compliance and efficiency of hand drying. Experiment A Experiment A tested hand hygiene behavior change in the food processing facility. The experiment helped food processing workers understand the importance of bacterial removal before food preparation. The project coordinators made the following pre-test observations. Food processing workers were not spending enough time washing their hands. They estimated each worker spent approximately 5-8 seconds washing as the infrastructure was not conducive to effective hand-washing and drying. Some workers by-passed long lines. KCP hypothesized that if workers were shown the bacterial load on the skin before and after hand washing and drying their hands, workers in food processing facilities and facilities managers would better understand the importance of hand hygiene. They would then be more likely to follow effective hand hygiene protocols in the hygiene station or bathroom setting within their food processing facility. Using the swabs collected from each worker's hands, the microbiological lab measured hand cleanliness 1. Jensen et al. "Quantifying the Effect of Hand Wash Duration, Soap Use, Ground Beef Debris and Drying Methods on the Removal of Enterobacter aerogenes on Hands." J of Food Protection, 2015. Page 1 by the number of colony-forming units (CFUs) present after the workers washed and dried their hands. According to the CDC, below 10 CFUs is considered "very clean"; 10-1000 CFUs is considered "clean"; and over 1000 CFUs is considered "dirty". 2 Sample 1, June 16 th . Sample 1 was a baseline study of the food workers' hand hygiene behavior. KCP advised the facility that the number of sink stations was insufficient to handle their worker load, which the facility rectified by installing five new sinks for the experiment. Workers were asked to wash and dry their hands normally. The workers' hands were then swabbed by microbiological lab personnel. * Sample 1 found that 55% of the workers had dirty hands, 33% were acceptably clean, and only 12% were very clean. Sample 2, June 24 th . Sample 2 included a behavioral science intervention. Workers and facilities managers were educated on the importance of hand hygiene and introduced to the appropriate protocol in the hygiene station. Every food worker was asked to place a stamp on another worker's hand. Then workers were asked to wash and dry their hands. The workers' hands were then swabbed by microbiological lab personnel. * Sample 2 found that only 10% of workers had dirty hands after washing and drying, 80% were acceptably clean, and 10% were very clean. Sample 3, July 1st. The week following the behavioral science intervention, workers did not receive a hand hygiene tutorial or a stamp on their hands. Workers were only asked to wash and dry their hands normally. The workers' hands were then swabbed by microbiological lab personnel. * Sample 3 found that the food workers' hand hygiene behavior improved slightly from Sample 2 when the behavioral science intervention was introduced. Sample 3 found that only 3% workers still had dirty hands after washing and drying, 14% were acceptably clean, and 83% were very clean. Graph 1: Results of Experiment A in Peru food processing facility - Samples 1-3 00 80 60 40 20 0 Page 2 Experiment B Experiment B tested compliance and efficiency of hand drying as the transmission of bacteria is more likely from wet skin than dry hands. 3 Wet hands transmit bacteria, but as workers often wrongly believe that drying is secondary and not necessary to a hand hygiene protocol, facility managers need to understand ways of monitoring compliance and the most efficient and effective method of hand drying for their facility. The food processing facility hand hygiene station was outfitted with a jet air dryer for hand drying. A shift was selected to proceed with testing of a given number, "n", of workers, determined by appropriate statistical analysis. Upon hand washing in the bathroom, the microbiological lab personnel randomly selected workers to dry their hands with one of two methods. The first group was asked to dry their hands with a jet air dryer (according to manufacturer's instructions) for 10 seconds. After the drying time was complete, their hands were subjected to plating or swabbing by microbiological lab personnel. And, the second group of workers was asked to dry their hands with one or two single use paper towels for 10 seconds. After the drying time was complete, their hands were subjected to plating or swabbing by microbiological lab personnel. The experiment found that after drying for 10 seconds, there was a 2.5x greater odds of hands being considered "dirty" if the hands were dried using new jet air dryers than single use paper towels. The experiment also found that there were 3.3x greater odds of hands being considered "very clean" after drying with single use paper towels. Conclusions This project examined the use of behavioral science to drive change in hand hygiene habits. The positioning of both hard (sufficient hand hygiene stations) and soft (behavioral change) infrastructure are needed to assure good hygiene. The popular neoclassical economic theory approach to hand hygiene improvement can be characterized by the phrase 'shift attitudes to change behavior'. A behavioral science approach indicates the opposite may be true; 'change behavior and attitudes will shift accordingly'. Proper hand hygiene is critical in preventing food safety incidents and should be an integral component of food safety system strengthening efforts. As part of global efforts to see that food safety measures are developed in a science-based manner, APEC Economies should take into account lessons from behavioral science as essential to driving an improvement in hand hygiene compliance. People can wash and dry their hands, but they must understand why they are washing and drying their hands. The results of this project should also encourage APEC Economies to think about the concept of food safety infrastructure more broadly (not just hand hygiene, although that is the first line of defense), and in terms of the adequacy of food processing line equipment and operation. APEC Economies focus their efforts on improving systems, legislation and regulation. This project demonstrated the need for APEC Economies to also consider the biggest risk to food safety – people. As leaders in building capacity to implement international food safety standards, APEC also has to bring about cultural change within economies, or otherwise the rules and regulations are redundant. Page 3 RECOMMENDATIONS TO THE APEC SCSC FSCF PTIN: Building an effective food safety infrastructure in the Asia-Pacific region requires a commitment from APEC Economies and food processing facilities to promote good hand hygiene and implement improvements in the hand hygiene infrastructure and in hand hygiene interventions. The hand hygiene infrastructure includes the facilities, equipment, training, and products required to achieve optimal hand hygiene practices within the facility as detailed in the WHO Guidelines on Hand Hygiene in Health Care. The hand hygiene infrastructure is not complex. According to the WHO, it requires the following: a continuous supply of clean, running water; soap; and single-use paper towels at each sink. 4 Hand hygiene interventions include both single and multi-level interventions that include staff and/or quality assurance manager education and involvement, feedback initiatives, cultural change, organizational change, social marketing, additional sinks and alcohol dispensers, or a combination of the above. Advocates of hand hygiene improvement interventions recommend that multimodal interventions are needed to induce sustained hand hygiene practice improvements and should be based on theories of behavior change. 5 APEC Economies, food processing companies, and key stakeholders should work together to achieve good hand hygiene compliance through the following actions: For APEC Economies: * APEC Economies should encourage use of appropriate toolkits and industry guidance to help improve hand hygiene compliance in food processing facilities. * APEC Economies should promote hand hygiene at the community level to strengthen both selfprotection and the protection of the consumer/customer. * APEC Economies should encourage food processing facilities to use hand hygiene as a quality indicator. * APEC Economies should examine international hand hygiene guidances with a view to identifying gaps. * APEC Economies should also promote the use of the internationally-recognized self-assessment tools to obtain a situation analysis of hand hygiene promotion and practices within an individual food processing facility. For food processing facilities * Ensure that conditions are conducive to the promotion of a multifaceted, multimodal hand hygiene strategy and promote a hygienic environment, including the use of single-use paper towels at each sink. * Make improved hand hygiene adherence (compliance) an institutional priority and provide appropriate leadership, administrative support, and resources. 4. WHO Hand Hygiene Self-Assessment Framework 2010 http://www.who.int/gpsc/country_work/hhsa_framework_Octo- ber_2010.pdf 5. Making Health Care Safer II: An Updated Critical Analysis of the Evidence for patient Safety Practices. 2013 Agency for Healthcare Research and Quality. No. 211 Page 4 * Quality assurance managers should recognize the return on investment in hand hygiene programs. Hand hygiene programs are cost-effective and result in sizeable net cost savings as compared to the costs required to recall contaminated food. 6 * Ensure facilities are equipped with the appropriate infrastructure and provide workers with access to effective hand-drying infrastructure which results in significant reductions in bacterial count. Next steps: * APEC to examine international hand hygiene guidance and identify gaps and develop industry partnerships, industry guidance, and toolkits to train food processing workers on the basics of hand hygiene to help assure the safety of the food market value chain. Page 5 HYGIENE OBSERVATION CHECKLIST 1. Hand Washing/Drying Steps Note: Choose five workers to observe. For each, check the boxes to indicate which of the following hygiene actions are taken. \| \| Worker 1 \| Worker 2 \| Worker 3 \| Worker 4 \| \|---\|---\|---\|---\|---\| \| Rinse Hands (Before Applying Soap) \| \| \| \| \| \| Apply Soap \| \| \| \| \| \| Rub Palms \| \| \| \| \| \| Interlace Fingers (Palm to Palm) \| \| \| \| \| \| Interlace Fingers (Palm To Back Of Hand) \| \| \| \| \| \| Fingers Interlock \| \| \| \| \| \| Rub Thumbs \| \| \| \| \| \| Nails/Fingertips On Palms \| \| \| \| \| \| Rinse Hands (Remove Soap) \| \| \| \| \| \| Shake Hands Before Drying \| \| \| \| \| \| Dry Hands with single use towels \| \| \| \| \| \| Dry Hands with other methods for appropriate duration \| \| \| \| \| \| Sanitize Hands \| \| \| \| \| 2. Other Risky Practices Note: Choose a 15 minute period at the start of 5 different shifts over the period of one week. For each session, observe workers as they are entering the production area. Take notes on which of the following behaviors/situations you observe. 3. Sanitary Equipment Observations Note: Over the period of one week, conduct 5 audits of the facility during different shifts. For each session, take notes on which of the following behaviors/situations you observe. \| \| Comments \| \|---\|---\| \| Waste On Floor (i.e. Towels, PPE, Food, etc.) \| \| \| Overflowing Waste Bins \| \| \| Water On Surfaces and/or Floors \| \| GAP ANALYSIS OF INTERNATIONAL FOOD HYGIENE LAW, REGULATIONS, AND STANDARDS AS THEY RELATE TO HAND HYGIENE PROTOCOLS Executive Summary * A significant gap exists in food safety standards and guidance internationally concerning hand hygiene * Variance in accepted hand hygiene practices exist between international codes, economy-level codes, and private food safety schemes * There is currently no internationally accepted protocol or accepted best-practice model for handhygiene practices in the food sector * Variances between codes include structural differences (regarding facilities), procedural differences, and availability of guidance documents (food codes) paired with regulations between economies * Facility differences and hand hygiene protocols are linked to altered behavioral practices and ultimately altered hygienic outcomes Introduction There is an increasing awareness of the fundamental role of good hygiene practices in ensuring food safety. However, both compliance with best practice and the efficacy of current hygiene standards are open to question. Quality assurance surveys of hand hygiene practices in food processing facilities have shown low compliance with best practices leading to increased food safety risk. In September 2016, the APEC Ministers Responsible for Food Security called for a gap analysis of hand hygiene standards and guidance for the food sector currently in force internationally. In November 2016, the APEC Sub-Committee on Standards and Conformance (SCSC) noted in its 2016 report to the Committee on Trade and Investment at the Concluding Senior Officials Meeting that the SCSC would be looking at identifying best practices in hand hygiene and examining next steps following the gap analysis. The following gap analysis was conducted under the Food Safety Cooperation Forum (FSCF) Partnership Training Institute Network (PTIN). The objective of the analysis was to establish a baseline understanding of global guidance (Codex Alimentarius), those promulgated by other bodies such as the World Health Organization (WHO) and the International Organization for Standardization (ISO), and determine which APEC Economies and other economies have hand hygiene standards or guidance in regulation. A general survey was completed of publicly available food safety codes to describe and assess regulations and guidance related to hand hygiene. The research is not exhaustive; however, the sample of economy policies and standards set out in the gap analysis accurately reflects readily accessible hand hygiene protocols and identifies the similarities and differences between them. The gap analysis consists of two Page 7 major international codes, 12 APEC Economies, 6 non-APEC contexts including the European Union, and three representative private schemes. The Annex includes an extensive elaboration of hand hygiene related language contained within many Codex Alimentarius principles and guidelines documents. Analysis Through analysis of existing global hand hygiene regulations and guidances for the food sector, we have identified a significant lack of guidance for acceptable hand hygiene practice. In many cases hand washing facilities (e.g. soap and water) are addressed, however other critical elements are missing, such as duration and technique of wash, hand drying (in a way that avoids pathogen dispersal) among others. There is a clear lack of an internationally recognized best practice given the variances between international, domestic, and private schemes. International codes, particularly the Codex Alimentarius General Principles of Food Hygiene 1 , provide a very broad overview of acceptable hand hygiene, but do not identify means necessary to achieve the goal or provide baseline acceptable practices. While breadth in language is essential for creating inclusivity in many other parts of the General Principles, the risk attached to leaving governments and food business operations without specific guidance outweighs the benefit of flexibility in describing beneficial hand hygiene practices. Within domestic laws and regulations, gaps are visible regarding hand hygiene requirements for food processing facilities in addition to a general lack of availability of guidance documents to accomplish stated standards. Many APEC economies have a similar approach to mandating general hand hygiene requirements by law, but have varying or no language regarding hand hygiene protocols (i.e. hand washing time, temperature control of water, use of paper towels versus air technologies, and layout). Beyond statutory language, some APEC Economies lack a guidance document (food code). The purpose of a food code is to provide practical means for complying with the regulations codified within the law. This gap within certain APEC and other economies is a strong case for the addition of practical language to the Codex General Principles of Food Hygiene due to its clear visibility and understood best practice. Notably, for settings that use Codex as the sole source of food law and food safety this is critical. The reach of Codex into areas of the world with little domestic guidance may, arguably, be the best reason for expanding upon food safety details within the document. The European Union (EU) and private schemes show variances in protocol and facility requirements and bring to light the need for food safety protocol that is easily accessible. Economies within the EU have developed individual guides for food safety in line with European Commission (EC) law but also exhibit hand hygiene differences (one example is the unique mandate in Ireland against the use of air drying within processing facilities due to potential pathogen spreading). Additionally, country standards, even those developed for public use, and industry guidelines often require payment. In the case of not using a country standard for reasons that may include the need for payment, a sole reliance on EC law will again, provide a very broad explanation to actually achieving the goal of hygienic hands. Private standards are often detailed and typically meet the requirements of law with additional guidance. However, variances in hand hygiene protocol also exist and access to private standards and particularly 1. Page 8 interpretation guidelines, often require payment which limits the range of their audience. Notably, in conducting this research, the gap in guidance was confirmed by certain private scheme makers who acknowledged the lack of an international best practice for hand hygiene to reference within their schemes. This gap likely explains the variations in acceptable baseline protocol and facilities for hand hygiene between private schemes despite being benchmarked by the same organization. In conclusion, there is a significant gap in internationally recognized best practice and guidance on hand hygiene for the food sector given the variances between international, domestic, and private schemes. Recommendations APEC, and specifically the Food Safety Cooperation Forum (FSCF), can help address the significant gap in internationally recognized best practice and guidance on hand hygiene for the food sector. APEC, either as a group or individual economies, should consider recommending that the existing Codex Alimentarius General Principles of Food Hygiene either codify or reference an existing best practice model for hand hygiene. The General Principles is a highly visible and accessible document that serves as the single largest foundation for global food safety. Such an augmentation to the General Principles will help governments, firms, and operators to develop more effective guidance targeted at improving food safety; raise awareness for existing unhygienic establishments without placing an undue burden on existing operations with effective food safety controls; and, promote an overall safer global food chain from farm to fork. Should APEC Economies decide to pursue either of these options, the WHO Guidelines on Hand Hygiene in Health Care 2 , would be an appropriate model to use as a framework or best-practice reference document. Healthcare, much like the food industry, is highly dependent on hygienic hands and is similarly diverse in settings. The WHO states that the Guidelines on Hand Hygiene in Healthcare are "intended to be implemented in any situation in which health care is delivered either to a patient or to a specific group in a population." Though the guidelines may need to be adapted to specific settings (i.e. primary care clinic versus operating theater) they establish a fundamental acceptable protocol that is transferrable. An identical approach of adaptability but with a uniform understanding of baseline hygienic hand protocol can be applied to the food sector. The healthcare sector has invested heavily in the area of hand hygiene with well noted impacts including greatly reduced incidence of nosocomial infections. 3 Importantly, the behavioral aspects of hand hygiene, which depend on many factors including an understanding of protocol, are accepted as one of the fundamental barriers and solutions to improved outcomes. 4 Regarding the food sector, a similar justification can be made for providing more guidance in this area. Variations in hand hygiene behavior, exclusive of more stringent measures, are objectively not beneficial as they lead to variations in outcome. A best practice model will move the food industry in the direction of a more uniform practice and therefore more controllable behavioral component. Just as the health sector has seen drastic improvements in this area, it is not unforeseeable to further reduce or eliminate foodborne illness resulting from unhygienic hands. 2. http://apps.who.int/iris/bitstream/10665/44102/1/9789241597906_eng.pdf 3. Pittet, D., Hugonnet, S., Harbarth, S., Mourouga, P., Sauvan, V., Touveneau, S., & Perneger, T. V. (2000). Effectiveness of a hospital-wide programme to improve compliance with hand hygiene.The Lancet,356(9238), 1307-1312. 4. Pittet, D. (2001). Improving adherence to hand hygiene practice: a multidisciplinary approach.Emerging Infectious Diseases,7(2), 234–240. Page 9 The WHO model WHO Guidelines on Hand Hygiene in Health Care is scientific in nature, extensive in justification for practice, and extremely clear in application. Additionally, given the connection between Codex and the WHO as well as the numerous references to the WHO within Codex (including certain circumstance related to hand hygiene- see annex) there is a natural pairing of the two documents. For these reasons, and for those mentioned previously, APEC Economies may see this guideline as an appropriate recommendation for inclusion to Codex, or as model for the development of new guidelines unique to Codex. In conclusion, given the well-established risks of pathogen transmission from hands to food, the need for food safety from farm to fork, and the lack of international guidance in this area as displayed through the gap analysis, APEC should consider pursuing the integration of the WHO Guidelines on Hand Hygiene in Health Care, whether by reference or as a model, into the Codex Alimentarius General Principles of Food Hygiene. APEC ACTION: We welcome work on best practice models for hand hygiene in food processing facilities and the APEC Gap Analysis of International Food Hygiene Law, Regulations, and Standards as they Relate to Hand Hygiene Protocols (APEC Gap Analysis), which examined the variance in hand hygiene guidance between international codes, economy-level codes, and private food safety schemes, as an output of the FSCF. The FSCF also noted that there is currently no internationally accepted protocol or best-practice model for hand hygiene in the food sector and referred the APEC Gap Analysis to Codex Alimentarius as an information document. APEC Food Safety Cooperation Forum Statement 13 May 2017, Hanoi, Viet Nam GAP ANALYSIS International Codes Codex Alimentarius The General Principles of Food Hygiene is the foundational document for food hygiene within Codex. Currently, a hand hygiene protocol is not detailed within the document but rather falls into the category of a prerequisite program (PRP). Prerequisite programs are established as one criteria of a Hazard Analysis of Critical Control Points (HACCP) plan but vary by operation. (Please see the annex for hand hygiene protocol language within a range of other Codex guidelines). Prerequisite programs, and by extension a hand hygiene protocol, can be unique to individual establishments. PRPs are intended to allow for variations in process. However the risk management benefits of variations in hand hygiene protocol is controversial given the significant potential adverse effect on food safety of an insufficient program. Particularly in economies that depend solely on Codex Alimentarius for food safety guidance, the lack of a detailed hand hygiene practice within the standard, or reference to an external best practice model, creates an unnecessary and potentially dangerous gap which, if not addressed, could inhibit action to improve food safety. One example of a specific protocol which establishes best practice model for effective hand hygiene in varying contexts is the WHO Guidelines on Hand Hygiene in Health Care. The WHO Guidelines is an excellent example of establishing a best practice that can adjust for specific needs depending on different circumstances taking into account both risk and economic circumstance (e.g, rural healthcare worker versus surgeon). Codex General Principles of Food Hygiene 5 4.4.4 Personnel hygiene facilities and toilets Personnel hygiene facilities should be available to ensure that an appropriate degree of personal hygiene can be maintained and to avoid contaminating food. Where appropriate, facilities should include: * adequate means of hygienically washing and drying hands, including wash basins and a supply of hot and cold (or suitably temperature controlled) water; * lavatories of appropriate hygienic design; and * adequate changing facilities for personnel. Such facilities should be suitably located and designated. International Organization for Standardization (ISO) The ISO 22000 family of international standards addresses food safety management and references hand hygiene as a prerequisite program for facilities. ISO-22000 6 13.2 Personnel hygiene facilities and toilets Personnel hygiene facilities shall be available to ensure that the degree of personal hygiene required by the organization can be maintained. The facilities shall be located close to the points where hygiene requirements apply and shall be clearly designated. Establishments shall: a) provide adequate numbers, locations and means of hygienically washing, drying and, where required, sanitizing hands (including wash-basins, supply of hot and cold or temperature controlled water, and soap and/or sanitizer); b) have sinks designated for hand washing, whose taps should not be hand operated, separate from sinks for food use and equipment-cleaning stations; Codes in APEC Economies Australia Standard 3.2.2 Food Safety Practices and General Requirements 7 (2) A food handler must wash his or her hands in accordance with subclause (b) immediately before working with ready-to-eat food after handling raw food; and (a) whenever his or her hands are likely to be a source of contamination of food; (c) immediately after using the toilet. (4) A food handler must, whenever washing his or her hands – (b) thoroughly clean his or her hands using soap or other effective means, and warm running water; and (a) use the hand washing facilities provided; (c) thoroughly dry his or her hands on a single use towel or in another way that is not likely to transfer pathogenic microorganisms to the hands. Safe Food Australia - A Guide to the Food Safety Standards 8 (see link for full detail) 'Thoroughly clean' 'Thoroughly clean' means that the food handler vigorously washes the entire surface of his or her hands using soap or other effective means. Scientific studies have shown that to effectively remove pathogenic microorganisms, hands should be wet, well covered with soap and scrubbed for 15 to 30 seconds, including palms, between fingers, under nails, the back of hands, thumbs and wrists (Todd et al 2010a). Clean nail brushes may assist in scrubbing off dough and other hard-to-remove food residues. Hands should be thoroughly rinsed with clean water. Care must be taken to avoid re-contaminating washed hands, for example by using a clean paper towel or elbow to turn off taps that are manually operated. 6. https://www.iso.org/iso-22000-food-safety-management.html 7. https://www.legislation.gov.au/Details/F2014C01204/Download 8. http://www.foodstandards.gov.au/publications/Documents/Safe%20Food%20Australia/FSANZ%20Safe%20Food%20Austra. lia_WEB.pdf Canada Safe Food for Canadians Act 9 Governor in Council 51 (1) The Governor in Council may make regulations for carrying the purposes and provisions of this Act into effect, including regulations (g) respecting quality management programs, quality control programs, safety programs or preventive control plans or any other similar programs or plans to be implemented by persons who conduct any activity regulated under this Act; (i) respecting the design, construction, hygiene, sanitation and maintenance of (ii) the equipment and facilities in those establishments, or (i) establishments where any activity regulated under this Act is conducted, (iii) conveyances and equipment used in connection with any activity regulated under this Act; Federal/Provincial/Territorial Food Safety Committee (FPTFSC) - Food Retail and Food Services Code 10 The Code consists of model requirements for safeguarding public health and assuring food safety. The Code provides practical, user-friendly interpretations and guidance for compliance with legislation. 5.1 Hand washing b) A thorough hand washing includes vigorously rubbing together the surfaces of the hands and exposed arms with soap for at least 20 seconds followed by a thorough rinsing with warm potable running water. As well, particular attention should be given to the tips of the fingers and between all fingers. 2.15 Hand Wash Stations b) Hand wash facilities must: a) At least one hand wash station must be provided in each food preparation and processing area. It must comply with the provisions of the National Building Code to the extent deemed necessary by the regulatory authority. i) be located to allow convenient use by employees in food preparation, food dispensing and utensil washing areas, and constructed in such a way that avoids splashing of water into food or food contact surfaces; iii) not be used for purposes other than hand washing; ii) be accessible for the use by employees at all times; iv) be provided with soap dispensers (e.g., liquid soap) and sufficient single-service towels in a dispenser, or other drying apparatus that is approved by the regulatory authority; vi) provide an adequate flow of water. If a self-closing faucet is installed, it must flow for at least 20 seconds without the need to reactivate the faucet; v) be equipped to provide hot and cold, or pre-mixed warm, running water set at a temperature of at least 38°C through a mixing valve or combination faucet; vii) be equipped with a sign which explains proper hand washing procedures; and viii)be easily cleanable and maintained in a clean and sanitary condition. c) If approved by the regulatory authority, when food handling or food exposure is limited, alternative hand washing facilities may be provided. Code of Practice for Minimally Processed Ready-to-Eat Fruit and Vegetables 11 1.3 Sanitation Facilities Employee hygiene facilities and toilets should be made available and be adequately maintained to prevent contamination. 1.3.1 Employee Facilities * Adequate and conveniently located changing facilities and toilets should be provided in proximity to the processing operation areas. * Toilet facilities should be designed to allow hygienic removal of waste and be located to avoid contamination of produce or premises. * Facilities should provide adequate means to hygienically wash and dry hands, including wash basins, soap, disposable towels and a supply of hot and cold (or suitably temperature controlled) water. * Toilet facilities should be maintained under sanitary conditions and good repair at all times. * Hand washing notices should be posted in appropriate areas and in the language of employees Chile Reglamento Sanitario de los Alimentos Dto. N° 977/96 (D.OF. 13.05.97) 12 (Translation) Sanitary Food Regulation ARTICLE 32.- All establishments for the production, processing and processing of food must have suitably located changing rooms and sanitary services in accordance with the provisions of the Basic Sanitary and Environmental Conditions in Workplaces. 5 4 Letter added, as it appears in the text, by Art. 1, No. 1, of Dto. No. 68/05 of the Ministry of Health, published in the Official Gazette of 23.01.06 5 Regulation: Supreme Decree No. 594/99, of the Ministry of Health, published in the Official Gazette of 29.04.00 12 The hygiene services shall be well lit and ventilated and will not have direct communication with the area where food is handled. The sinks will have hot and cold water taps provided with soap to wash your hands and hygienic means to dry them, such as paper towels, hot air or others. Signs should be placed on staff to be required to wash their hands after using the services. Windows and other openings shall be provided with protective meshes against vectors. Local de Elaboracion de Alimentos Tipo Envasadora 13 (Translation) Plant Food Processing Plant Hygienic services for personnel: Independent for each sex. With shower (if the activity causes bodily dirt) and sinks, with hot and cold water, in good State of operation and quantity according to the number 5.10. 11. http://www.inspection.gc.ca/food/fresh-fruits-and-vegetables/food-safety/minimally-processed-ready-to-eat-fruit-and-vege- tab/eng/1413673339210/1413673388676?chap=3#s3c3 12. http://www.ispch.cl/sites/default/files/documento/2013/02/RSA%20DECRETO_977_96_actualizado%202013.pdf 13. http://seremi13.redsalud.gob.cl/wrdprss_minsal/wp-content/uploads/2014/08/LOCAL-DE-ELABORACION-DE-ALIMEN. TOS-TIPO-ENVASADORA.pdf 14. 15. 16. of workers, or Illuminated and ventilated, without direct communication to the area where they are handled Food no longer than 75 meters. You should also have signs that indicate compulsory to wash their hands after using the toilet. With their (Soap, hand-held drying system, etc.) 5.15. Handwash: In sections where food is handled, with supplies of cold water and supplied with soap and hygienic system of drying hands. People's Republic of China Food Safety Law of the People's Republic of China 14 (USDA Translation) Chapter 4: Food Production and Distribution (VIII) food production or distribution employees shall maintain personal hygiene, wash their hands, and dress in clean clothing and cap, and use sterilized and clean containers, vending tools, and equipment for food for direct consumption that does not have packaging; (IX) food producers or distributors shall use water that complies with the national hygienic standard for drinking water; (X) food producers or distributors shall use detergents and disinfectants that are safe and harmless to the human body; (XI) other requirements as stipulated by laws and regulations Hong Kong, China Public Health and Municipal Services Ordinance (Cap. 132) 15 56(2) Without prejudice to the generality of the provisions of subsection (1), regulations made under this section may make provision- (c) for imposing requirements as to the provision, maintenance and cleanliness of sanitary and washing facilities in connection with such premises, the disposal of waste and the maintenance and cleanliness of apparatus, equipment, furnishings and utensils used in such premises, and in particular for imposing requirements that every sanitary convenience situated in such premises shall be supplied with water through a suitable flushing appliance; Food Hygiene Code 16 "In developing this Code, reference has been made to similar Codes issued by the Food Standards Australia New Zealand, the Canadian Food Inspection System Implementation Group, and the United States Food and Drug Administration." https://gain.fas.usda.gov/Recent%20GAIN%20Publications/Amended%20Food%20Safety%20Law%20of%20China_Beijing_ China%20-%20Peoples%20Republic%20of_5-18-2015.pdf http://www.cfs.gov.hk/english/food_leg/food_leg_part5.html#section56 http://www.fehd.gov.hk/english/publications/code/code_all.pdf 2.8 Handwashing Facilities (a) Every food room, kitchen and scullery area should be equipped with at least one wash hand basin for use by the staff. The standard of provision is one basin for every 20 staff. (b) Wash hand basins should: (ii) be of glazed earthenware or other materials that are smooth, durable, non-absorbent and easily cleaned, with a size of not less than 350 mm in length ( measured between the top inner rims ); and (i) be of permanent fixture, located where they can be easily accessible for use. For those provided for toilets, they should be located either inside the toilet or immediately adjacent to the toilet; (iii) be connected to public mains water supply or a source approved by the Food and Environmental Hygiene Department, preferably with both hot and cold water supplies. They should be fitted with a waste pipe with trap before being connected to a proper drainage system. (c) If the water tap is to supply water intermittently, water should be allowed to run continuously for at least 20 seconds for every supply. 3.1.4 Handwashing Facilities Note: Failure to observe this is a breach of licensing condition. (a) Wash hand basins should be clean, equipped with adequate supply of cold water, preferably with hot water, and provided with liquid soap and suitable drying facilities. (b) Liquid soap, which helps remove bacteria and dirt on hands, should be discharged from dispensers. (c) Hand-drying facilities should be of single-use, such as clean paper towels, continuous cloth towel in dispensers or electric hand dryers. For continuous cloth towel in dispensers, the dispensers should be constructed in such a way that users can only retrieve the clean and unused portion of the cloth towel, which should also be dry, sanitized, unworn, of good quality and free of stains. (d) Wash hand basins should be easily accessible for use by workers and customers. They should not be obstructed by articles to enable them to be conveniently used and cleaned. (e) Wash hand basins should be used for the sole purpose of washing hands, arms and faces. They should be easily identified in some ways that they are used for such purpose only, say, by putting up a notice such as "For handwashing only" or "Not to be used for washing food or utensils", etc. (f) If one compartment of a twin-sink is designated for handwashing, this compartment should be clearly indicated by a sign to such effect, and must not be used for any other purpose. Separate water taps should be provided to such twin-sinks. (g) There should not be any draw-off taps other than wash hand basins in any yard or open space. Indonesia Government Regulation on Food Safety, Quality and Nutrition 17 General Provisions 10. Sanitation requirements shall mean the standard hygiene and health that should be met as an effort to kill or prevent pathogenic microorganisms from living and to reduce the number of other microorganisms, so that the food produced and consumed does not risk human health and lives. (2) The sanitation requirements as contemplated in paragraph (1) shall be regulated further by the Minister who is responsible for the field of health, which includes among others: a. facilities and/or infrastructure; b. activity implementation; and c. personnel HK.03.1.23.04.12.2206 Good Food Production Industry for Household 2012 18 (Translation of good manufacturing practices) 5. Facilities and Activities of Hygiene and Sanitation (2) Means of Hygiene Employees Personnel hygiene facilities such as facilities for hand washing and toilet / latrine should be available in sufficient quantities and in a clean state to ensure the cleanliness of employees in order to prevent contamination of foodstuffs. a) Hygiene and Sanitary Facilities (3) Means of Handwashing should: (b) Equipped with tools such as hand dryers towel, washcloth or a clean absorbent paper. (a) Placed near the production room, equipped with clean water and hand soap (c) Equipped with a closed trash can. Malaysia Food Hygiene Regulations 2009 PU(A) 095/2009 19 27. Wash-basin (2) The wash-basin shall, at all times, be:- (1) There shall be provided an adequate number of wash-basin suitably located and designated for washing hand. (a) supplied with adequate running water; (c) supplied with paper towel or automatic hand dryer; (b) supplied with soap or suitable liquid detergent in a dispenser; (d) kept clean and maintained in a good condition; and (3) There shall be different wash-basin for washing hand and washing food in food premises. (e) equipped with non-hand operated taps for the use of food handler. 17. http://codexindonesia.bsn.go.id/uploads/download/PP_28-04%20English.pdf 18. https://translate.google.com/translate?hl=en&sl=id&u=http://jdih.pom.go.id/showpdf.php%3Fu%3DHzfTWcVRSEozXrbdVtEwFVOWM5%252BIRyY9TI%252BpEmsAHJI%253D&prev=search 19. http://webcache.googleusercontent.com/search?q=cache:O-dT9EfUegYJ:faolex.fao.org/docs/texts/mal91581.doc+&cd=2&hl=en&ct=clnk&gl=us 20. 21. IMPROVING FOOD SAFETY through Hand Washing and Drying Capacity Building New Zealand Food Hygiene Regulations 1974 (Reprint as at 4 January 2017) 20 12 Maintenance of wash-hand basins in food premises Every occupier of food premises shall ensure that all wash-hand basins in the premises are maintained in accordance with the following requirements: (a) there shall be provided at or conveniently by every wash-hand basin a nail brush, and an adequate supply of detergent, clean towels, paper towels, or roller towels presenting a clean surface to each user from a continuous roller towel dispenser, or other hand drying facilities approved for the purpose by an inspector; and (b) all wash-hand basins and hand washing facilities shall at all times be maintained in good repair and in a clean condition; and (c) all wash-hand basins shall have piped to them, at all times while the premises are being used, hot and cold running water, or tempered running water at a minimum temperature of 38°C. Russia SanPiN 18.104.22.1688-01 Hygienic Requirements for Safety and Nutrition Value of Foodstuff Sanitary and Epidemiologic Rules and Regulations 21 1.1. Sanitary and epidemiologic rules and regulations "Hygienic requirements for safety and nutrition value of foodstuff (hereinafter – the Sanitary Rules) set forth hygienic requirements for safety and nutrition value of foodstuff for an individual as well as compliance requirements for the said regulations under manufacturing, importing and turnover of foodstuff. Sanitary Rules and Norms SanPiN 2.3.4.050-96 "Production and sale of fish products" 22 22.214.171.124. The sections of preparation, processing and freezing of (blast freezing) of fishery products must be provided with: 5.2.1. * devices for the washing and disinfection of hands, single-use towels (manual operation of faucets is prohibited). * after the processing of infested fish the section must be cleaned and disinfected, including the equipment and tools; hands must be washed with soap and disinfected with 0,2% solution of chlorinated lime or another suitable disinfectant; 3.3.27. The production rooms must be provided with: * wash-of faucets: 1 faucet per 150 m2 of area (at least one faucet per room), supports for flexible hoses; http://www.legislation.govt.nz/regulation/public/1974/0169/latest/whole.html#DLM42658 http://www.svssr.sk/dokumenty/zvierata/DCRF_4.pdf 22. * for hand washing the rooms must be provided with sinks connected to cold nad hot water, equipped with mixers and provided with soap, disinfecting fluid, single-use towels or electrical hand dryers. Sinks must be located in each production room at the entrance, at a distance of at most 15 m from each workplace, based on the norm of 1 mixer per 20 persons; * the temperature of drinking water should not exceed 15 °С. 3.3.28. The faucets in working rooms and toilets must not be manual. * for drinking purposes fountains or saturator devices must be located at a distance of at most 70 m from workplace; Singapore Sale of Food Act 23 (2) Every person who is engaged in the preparation of food shall — (d) upon every occasion — (ii) after visiting any urinal, water closet or other similar convenience and before resuming such preparation, wash his hands thoroughly with soap and clean water. (i) before commencing such preparation; or Wholesome Meat And Fish Act (Chapter 349a, Section 42) Wholesome Meat And Fish (Processing Establishments And Cold Stores) Rules 24 (2) No person who is employed in a licensed processing establishment or cold store shall — (a) while handling any meat product, fish product or processing ingredient — (iv) wipe his hands on his clothing or with any other material other than a clean, single-use towel United States The United States Code of Federal Regulations (CFR) lists the current good manufacturing practices (GMPs) related to hand hygiene within food processing facilities. These regulations state broad requirements to engage in hand hygiene, however, limited guidance is provided for practically accomplishing this provision. Facility requirements and certain situational guidance are noted, however there is no procedural guidance. While cGMPs are also covered in individual States' policy, often times, States will refer directly to the CFR for these practices. 25 While the Food and Drug Administration's target audience for the Food Code - "retail and food service segment of the industry (restaurants and grocery stores and institutions such as nursing homes)" this document is also often used to fill the guidance gap for the food processing and agricultural side of the food sector. Code of Federal Regulations - Title 21 Current Good Manufacturing Practice, Hazard Analysis, and Risk-based Preventive Controls for Human Food 26 Section 117.37 Sanitary facilities and controls. 23. http://www.ava.gov.sg/docs/default-source/legislation/sale-of-food-act/56web_sof_foodestablishmentsregulations.pdf 24. http://www.ava.gov.sg/docs/default-source/legislation/wholesome-meat-and-fish-act/60web_wmf_processingestablish- mentsandcoldstoresrul.pdf 25. https://www.tn.gov/agriculture/topic/ag-businesses-good-manufacturing-practices 26. https://www.ecfr.gov/cgi-bin/text-idx?SID=e9ca025764f8adff02bc93a2655d8450&mc=true&node=pt21.2.117&rgn=div5# se21.2.117_137 27. IMPROVING FOOD SAFETY through Hand Washing and Drying Capacity Building (e) Hand-washing facilities. Each plant must provide hand-washing facilities designed to ensure that an employee's hands are not a source of contamination of food, food-contact surfaces, or food-packaging materials, by providing facilities that are adequate, convenient, and furnish running water at a suitable temperature. Code of Federal Regulations - Title 21 Current Good Manufacturing Practice in Manufacturing, Packing, or Holding Human Food 27 Section 110.10 Personnel (b) Cleanliness.All persons working in direct contact with food, food-contact surfaces, and foodpackaging materials shall conform to hygienic practices while on duty to the extent necessary to protect against contamination of food. The methods for maintaining cleanliness include, but are not limited to: (3) Washing hands thoroughly (and sanitizing if necessary to protect against contamination with undesirable microorganisms) in an adequate hand-washing facility before starting work, after each absence from the work station, and at any other time when the hands may have become soiled or contaminated. Section 110.37 Sanitary facilities and controls. (e)Hand-washing facilities.Hand-washing facilities shall be adequate and convenient and be furnished with running water at a suitable temperature. Compliance with this requirement may be accomplished by providing: (2) Effective hand-cleaning and sanitizing preparations. (1) Hand-washing and, where appropriate, hand-sanitizing facilities at each location in the plant where good sanitary practices require employees to wash and/or sanitize their hands. (3) Sanitary towel service or suitable drying devices. (5) Readily understandable signs directing employees handling unprotected food, unprotected foodpackaging materials, of food-contact surfaces to wash and, where appropriate, sanitize their hands before they start work, after each absence from post of duty, and when their hands may have become soiled or contaminated. These signs may be posted in the processing room(s) and in all other areas where employees may handle such food, materials, or surfaces. (4) Devices or fixtures, such as water control valves, so designed and constructed to protect against recontamination of clean, sanitized hands. (6) Refuse receptacles that are constructed and maintained in a manner that protects against contamination of food. FDA Food Code - 2013 28 (See link for full detail) (A) Except as specified in ¶ (D) of this section, FOOD EMPLOYEES shall clean their hands and exposed portions of their arms, including surrogate prosthetic devices for hands or arms for at least 20 seconds, https://www.ecfr.gov/cgi-bin/text-idx?SID=bd97c5c987c0482b852015d0f73039a2&mc=true&node=se21.2.110_137&rgn=d iv8 https://www.fda.gov/downloads/Food/GuidanceRegulation/RetailFoodProtection/FoodCode/UCM374510.pdf using a cleaning compound in a HAND WASHING SINK that is equipped as specified under § 5-202.12 and Subpart 6-301. (B) FOOD EMPLOYEES shall use the following cleaning procedure in the order stated to clean their hands and exposed portions of their arms, including surrogate prosthetic devices for hands and arms: (1) Rinse under clean, running warm water; (3) Rub together vigorously for at least 10 to 15 seconds while: (2) Apply an amount of cleaning compound recommended by the cleaning compound manufacturer; (a) Paying particular attention to removing soil from underneath the fingernails during the cleaning procedure, (4) Thoroughly rinse under clean, running warm water; (b) Creating friction on the surfaces of the hands and arms or surrogate prosthetic devices for hands and arms, finger tips, and areas between the fingers; (5) Immediately follow the cleaning procedure with thorough drying using a method as specified under § 6-301.12. 6-301.12 Hand Drying Provision. (A) Individual, disposable towels; Each HANDWASHING SINK or group of adjacent HANDWASHING SINKS shall be provided with: (B) A continuous towel system that supplies the user with a clean towel; or (D) A hand drying device that employs an air-knife system that delivers high velocity, pressurized air at ambient temperatures. (C) A heated-air hand drying device; or Viet Nam Law on Food Safety /2010/-QH12 29 (Translated by USDA) Article 19 1. Establishment producing or trading food shall have to meet the following conditions: Conditions for ensuring safety of food in respect to establishments producing and trading food a) Having a location with appropriate area and safe distance from toxic and contamination sources and other harmful factors. c) Having sufficient and appropriate equipment and facilities to treat, process, pack, preserve and transport various categories of food; having sufficient equipment, tools and means for washing and disinfection, antiseptic water, equipment for preventing and fighting harmful insects and animals. b) Having enough water meeting the technical regulations for producing and trading food. d) Having waste treatment system which is regularly operated in accordance with the laws on protection of the environment. e) Comply with the regulations on health, knowledge and practices of people directly involved in producing and trading food. dd) Maintaining the conditions for ensuring the safety of food and archiving documents on origin of food materials and other documents relating to the entire process of production and trading of food. 2. The Minister of Health, the Minister of Agriculture and Rural Development and the Minister of Industry and Trade shall promulgate the national technical regulations and specific regulations on the conditions for ensuring safety of food with respect to establishments producing and trading food in the sector which is assigned to them to manage Số: 38/2012/NĐ-CP Decree – Detailed Implementation Rules of the Food Safety Law 30 , 31 (Translated) Article 5 A dossier of regulation conformity announcement for a product with technical regulation 1. Interpretation of technical-regulation conformity results based on the certification of technicalregulation conformity certification organization (the third party), including: A / The regulation conformity announcement is prescribed in Form No. 02 promulgated together with this Decree; B / The detailed product information, prescribed in Form No. 03a or Form No. 03c, promulgated together with this Decree (affixed with the seal of third parties); C / The third party's certificate of conformity certification (notarized copy or copy with originals for comparison); D) Certificates conforming to HACCP or ISO 22000 or equivalent standards in cases where organizations or individuals producing products with quality management systems are HACCP-compliant or ISO 22000 certified or equivalent. Notarized copy or copied original for comparison). Non-APEC Contexts European Union The European Union's general food safety laws are the Regulation (EC) No 852/2004 which applies to all foodstuffs and the Regulation (EC) No 853/2004 32 which apples to specified foods. These laws apply throughout the EU however, individual economies submit guides to the EC Library on how to achieve compliance within each country. Registered country guides are produced through in-country standards organizations, (private or public) resulting de facto mandatory guidelines for each country. One barrier relevant to hand hygiene protocol, and food safety in general, is the issue of a paywall when attempting to access private standards. Without an international guide for reference such as Codex, there is limited accessible guidance regarding the application of the broad EU standards. The potential for using inferior options increases given the need to pay for the alternative information. 30. http://vanban.chinhphu.vn/portal/page/portal/chinhphu/hethongvanban?class_id=1&_page=1&mode=detail&document_ id=158155 31. https://translate.google.com/translate?hl=en&sl=vi&u=http://datafile.chinhphu.vn/file-remote-v2/DownloadServlet%3FfilePath%3Dvbpq/2012/05/38ND_PL.doc&prev=search Regulation (EC) No 852/2004 of the European Parliament and of the Council of 29 April 2004 on the Hygiene of Foodstuffs 33 "An adequate number of washbasins is to be available, suitably located and designated for cleaning hands. Washbasins for cleaning hands are to be provided with hot and cold running water, materials for cleaning hands and for hygienic drying. Where necessary, the facilities for washing food are to be separate from the hand-washing facility." Commission Notice On the implementation of food safety management systems covering prerequisite programs (PRPs) and procedures based on the HACCP principles, including the facilitation/flexibility of the implementation in certain food businesses (2016/C 278/01) 34 "while each establishment must comply with the legal requirements in Section 1 of this Annex. The PRPs below are therefore possible examples how to comply with the legal requirements in practice." "i) Hand washing facilities should be positioned conveniently between toilets/changing rooms and the food handling area; disinfectants/soap and towels for single use should be available; installations blowing warm air should only be present in rooms without food and non-hand-operable taps are desirable." Ireland The Food Safety Authority of Ireland (FSAI) uses the private standards organization National Standards Authority of Ireland (NSAI) to set country-wide operating procedures related to food safety. Two NSAI standards have been officially logged in the EU registry. By law, all food business operators must comply with Irish and EU legislation governing food hygiene. The legal requirements for catering and food retail businesses are set out in two Irish Standards certified by NSAI 35 : * I.S. 340:2007 Hygiene in Catering (2006 Draft version 36 ) * I.S. 341:2007 Hygiene in Food Retailing and Wholesaling. These two voluntary Standards provide guidance on how to achieve compliance with the relevant legislation. I.S. 340:2007 Hygiene in Catering 126.96.36.199 The hand washing facilities shall have b) liquid soap in appropriate dispensers a) constant and adequate supply of hot and cold water c) a suitable method of hand drying available at each hand wash unit e.g. paper towels from a dispenser with an easy to clean waste receptacle or cabinet roller towels. Air hand dryers shall not be used in food operation areas. 33. http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2004:139:0001:0054:en:PDF 34. http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:52016XC0730(01)#ntr2-C_2016278EN.01000501-E0002 35. https://www.fsai.ie/food_businesses/starting_business/food_hygiene_legislation.html 36. http://www.cmai.ie/Downloads/NSAI%20Hygiene%20document%20revised.pdf 37. 38. IMPROVING FOOD SAFETY through Hand Washing and Drying Capacity Building India Food Safety and Standards (Licensing and Registration of Food Businesses), Regulations 2011 37 3.4 Changing Facilities and Toilets.- Suitable and conveniently located changing facilities and toilets should be provided in all establishments. Toilets should be so designed as to ensure hygienic removal of waste matter. These areas should be well lit and ventilated and should not open directly on to food handling areas. Hand washing facilities with warm or hot and cold water with suitable hygienic means of drying hands should be provided adjacent to toilets and in such a position that the employee must pass them when returning to the processing area. Where hot and cold water are available, mixing taps should be provided. Where paper towels are used, a sufficient number of dispensers and receptacles should be provided near to each washing facility. Taps of non-hand operable type are preferable. Notices should be posted directing personnel to wash their hands after using the toilets. 3.5 Hand Washing Facilities in Processing Areas: 3.5.1 Adequate and conveniently located facilities for hand washing and drying should be provided wherever the process demands. Where appropriate, facilities for hand disinfection should be provided. The facilities should be furnished with properly trapped waste pipes leading to drains. South Africa Regulations Governing General Hygiene Requirements for Food Premises and the Transport of Food 38 The following shall be available in respect of food premises: (ii) hand-washing facilities which shall be provided with cold and/or hot water for the washing of hands by workers on the food premises and by persons to whom food is served for consumption on the food premises, together with a supply of soap (or other cleaning agents) and clean disposable hand-drying equipment for the cleansing and drying of hands by such workers and person; United Kingdom Food Hygiene – A Guide for Businesses 39 (separated into the EC requirements and UK recommendations) Handwashing facilities and toilets (Law) You must have an adequate number of flush lavatories, connected to an effective drainage system. Toilets must not open directly into rooms where you handle food. You must have an adequate number of washbasins, suitably located and used only for cleaning hands. Washbasins for cleaning hands must have hot and cold running water, soap and materials for hygienic drying. Where necessary, you should have a separate sink for washing food. Handwashing (best practice) http://old.fssai.gov.in/Portals/0/Pdf/Food%20safety%20and%20Standards%20(Licensing%20and%20Registration%20of%20 Food%20businesses)%20regulation,%202011.pdf http://www.ehrn.co.za/download/reg_food.pdf 39. Effective handwashing is extremely important to help prevent harmful bacteria from spreading from people's hands to food, work surfaces, equipment etc. Make sure that all staff that work with food wash their hands properly: before preparing food when entering the food handling area, e.g. after a break or going to the toilet after touching raw food, such as meat/poultry, fish, eggs and unwashed fruit and vegetables after cleaning after handling food waste or emptying a bin after blowing their nose Don't forget that staff should dry hands thoroughly on a disposable towel – harmful bacteria can spread more easily if your hands are wet or damp. Use the disposable towel to turn off the tap. after touching phones, light switches, door handles and cash registers, or other surfaces that could come into contact with staff handling raw food United Arab Emirates (Dubai) Food Code 40 2.18 Handwash Stations b. Handwash facilities shall: a. At least one handwash station shall be provided in each food preparation area. Additional handwash stations may be required depending on the type and extent of activity. i be located to allow convenient access and use by food handlers and other workers; iii provide an adequate flow of water at a suitable temperature (not too cold nor too hot); iv be easily cleanable, and maintained in a clean and sanitary condition; ii be equipped with single-use liquid soap dispensers and paper hand towel dispensers; v indicated with clear signboards and not be used for purposes other than hand washing. Rationale: Improper hand washing is a major contributing factor to outbreaks of foodborne illnesses. Provision of proper and adequate hand washing facilities is essential to minimising food contamination and maintaining personal hygiene. The temperature of the water should be suitable to encourage handwashing. If the water is too hot or too cold, employees might have a tendency to avoid handwashing. Private Food Industry Schemes The Global Food Safety Initiative 41 (GFSI) is a privately organized benchmarking association established by the Consumer Goods Forum. The GFSI was created to provide harmonized standards for food safety globally to the benefit of both food business operators and consumers. Each food safety scheme accredited by the GFSI is understood to meet, at a minimum, the international criteria for food safety as well as the GFSI developed standards, giving rise to their motto "once certified, accepted everywhere". Within certain GFSI standards, hand hygiene protocol varies. https://www.dm.gov.ae/wps/wcm/connect/3f7706a6-9271-40dd-a3df-0eb99c14fe4b/Food+Code.pdf?MOD=AJPERES http://www.mygfsi.com/ 42. IMPROVING FOOD SAFETY through Hand Washing and Drying Capacity Building British Retail Consortium (BRC) - Global Standard for Food Safety Issue 7 42 4.86 Suitable and sufficient hand-washing facilities shall be provided at access to, and at other appropriate points within, production areas. Such hand-washing facilities shall provide as a minimum: * a sufficient quantity of water at a suitable temperature * advisory signs to prompt hand-washing * water taps with hands-free operation * single-use towels or suitably designed and located air driers * liquid/foam soap Safe Quality Food Institute 43 188.8.131.52 Hand wash basins shall be provided adjacent to all personnel access points and in accessible locations throughout food handling and processing areas as required. i. A potable water supply at an appropriate temperature; 184.108.40.206 Hand wash basins shall be constructed of stainless steel or similar non-corrosive material and as a minimum supplied with: ii. Liquid soap contained within a fixed dispenser; iv. A means of containing used paper towels. iii. Paper towels in a hands free cleanable dispenser; and 220.127.116.11 The following additional facilities shall be provided in high risk areas: ii. Hand sanitizers. i. Hands free operated taps; and 18.104.22.168 A sign instructing people to wash their hands, and in appropriate languages, shall be provided in a prominent position. i. On entering food handling or processing areas; 22.214.171.124 Personnel shall have clean hands and hands shall be washed by all personnel, including staff, contractors and visitors: ii. After each visit to a toilet; iv. After smoking, eating or drinking; and v. After handling wash down hoses, dropped product or contaminated material. iii. After using a handkerchief; IFS – Food 44 3.4.6 Adequate hand hygiene facilities shall be provided at access points to and within production areas, as well as at staff facilities. Based on hazard analysis and assessment of associated risks, further areas (e.g. packaging area) shall be similarly equipped. 3.4.7 Hand washing facilities shall provide as a minimum: * liquid soap * running potable water at an appropriate temperature * appropriate equipment for hand drying. http://www.brcbookshop.com/p/1656/brc-global-standard-for-food-safety-issue-7-us-free-pdf 43. https://goo.gl/FLv1KU 44. https://www.ifs-certification.com/index.php/en/standards/251-ifs-food-en Annex \| Document \| Relevant Language \| \|---\|---\| \| CAC/GL 22R - 1997 REGIONAL GUIDELINES FOR THE DESIGN OF CONTROL MEASURES FOR STREET-VENDED FOODS (AFRICA) \| 3.4.4 Personnel Hygiene Facilities and Toilets Personnel hygiene facilities should be available to ensure that an appropriate degree of personal hygiene can be maintained and to avoid contaminating food. Where appropriate, facilities should include: • adequate means of hygienically washing and drying hands, including wash basins and a supply of hot and cold (or suitably temperature controlled) water; \| \| (CAC/GL 53-2003) GUIDELINES ON THE JUDGEMENT OF EQUIVALENCE OF SANITARY MEASURES ASSOCIATED WITH FOOD INSPECTION AND CERTIFICATION SYSTEMS \| Equivalence of sanitary measures: Equivalence is the state wherein sanitary measures applied in an exporting country, though different from the measures applied in an importing country, achieve, as demonstrated by the exporting country, the importing country’s appropriate level of sanitary protection. SECTION 4 – GENERAL PRINCIPLES FOR THE DETERMINATION OF EQUIVALENCE 7. Determination of the equivalence of sanitary measures associated with food inspection and certification systems should be based on application of the following principles: a) An importing country has the right to set a level of sanitary protection it deems appropriate in relation to the protection of human life and health.6 The ALOP may be expressed in qualitative or quantitative terms. b) The sanitary measure7 applied in an importing country should in practice achieve the ALOP of the importing country and be applied consistent with article 2.3 of the SPS agreement.8 c) An importing country should describe how its own sanitary measure achieves its ALOP. d) An importing country should recognize that sanitary measures different from its own may be capable of achieving its ALOP, and can therefore be found to be equivalent. e) The sanitary measure that the exporting country proposes as equivalent must be capable of achieving the importing country’s ALOP. f) An importing country should, upon request by an exporting country, promptly enter into consultations with the aim of determining the equivalence of specified sanitary measures within a reasonable period of time.9 g) It is the responsibility of the exporting country to objectively demonstrate that its sanitary measure can achieve the importing country’s ALOP. h) The comparison of economies’ sanitary measures should be carried out in an objective manner. i) Where risk assessment is used in the demonstration of equivalence, economies should strive to achieve consistency in the techniques applied, using internationally accepted \| (CAC/GL 61-2007) GUIDELINES ON THE APPLICATION OF GENERAL PRINCIPLES OF FOOD HYGIENE TO THE CONTROL OF LISTERIA MONOCYTOGENES IN FOODS Good Hygienic Practices (GHPs) as specified in the Recommended International Code of Practice - General Principles of Food Hygiene (CAC/ RCP 1-1969) and other applicable codes of hygienic practice should be suitable to control L. monocytogenes in non ready-to-eat foods. However, the additional measures described in the following guidelines should be consulted and implemented, as necessary to control L. monocytogenes in ready-to-eat foods. 4.4.4 Personnel hygiene facilities and toilets Refer to the Recommended International Code of Practice - General Principles of Food Hygiene (CAC/RCP 1-1969). A food safety issue arises where one or more foodborne microbial hazard(s) are known or thought to be associated with one or many food(s) and thus requires consideration of a risk manager. The risk manager follows the MRM process to evaluate and where necessary manage the associated risk. At the start of this process, the food safety issue should be clearly identified and communicated from the risk managers to risk assessors, as well as affected consumers and industry. Food safety issue identification may be performed by the risk manager or be the result of collaboration between different interested parties. Within Codex, a food safety issue may be raised by a member government, or by an intergovernmental or observer organization. Food safety issues may be identified on the basis of information arising from a variety of sources, such as surveys of the prevalence and concentration of hazards in the food chain or the environment, human disease surveillance data, epidemiological or clinical studies, laboratory studies, scientific, technological or medical advances, lack of compliance with standards, recommendations of experts, public input, etc. When there is evidence that a risk to human health exists but scientific data are insufficient or incomplete, it may be appropriate for economies to select a provisional decision, while obtaining additional information that may inform and, if necessary, modify the provisional decision. In those instances, the provisional nature of the decision should be communicated to all interested parties and the timeframe or circumstances under which the provisional decision will be reconsidered (e.g. reconsideration after the completion of a MRA) should be articulated when the decision is communicated initially). No mention of alternative to the General Principles of Food Hygiene 10.6.1 GHP-based control measures 109. Consumer education should focus on handling, hand washing, cooking, storage, thawing, prevention of cross contamination, and prevention of temperature abuse. The WHO Five keys to safer food assists in this process. (CAC/GL 63-2007)PRINCIPLES AND GUIDELINES FOR THE CONDUCT OF MICROBIOLOGICAL RISK MANAGEMENT (MRM) (CAC/GL 73-2010) GUIDELINES ON THE APPLICATION OF GENERAL PRINCIPLES OF FOOD HYGIENE TO THE CONTROL OF PATHOGENIC VIBRIO SPECIES IN SEAFOOD (CAC/GL 78-2011) GUIDELINES FOR THE CONTROL OF CAMPYLOBACTER AND SALMONELLA IN CHICKEN MEAT (CAC/GL 79-2012)GUIDELINES ON THE APPLICATION OF GENERAL PRINCIPLES OF FOOD HYGIENE TO THE CONTROL OF VIRUSES IN FOOD (CAC/GL 87-2016) GUIDELINES FOR THE CONTROL OF NONTYPHOIDAL SALMONELLA SPP. IN BEEF AND PORK MEAT (CAC/GL 88-2016 )GUIDELINES ON THE APPLICATION OF GENERAL PRINCIPLES OF FOOD HYGIENE TO THE CONTROL OF FOODBORNE PARASITES SECTION 4 - ESTABLISHMENT: DESIGN AND FACILITIES OBJECTIVES: Equipment and facilities should be designed, constructed and laid out to ensure that surfaces can be cleaned and disinfected if needed. RATIONALE: Inability to properly clean and disinfect may result in persistence of the virus leading to potential contamination of food. 126.96.36.199 Hand washing facilities 24. Hand washing facilities should be supplied with hand cleanser (soap). Where possible, hand washing facilities should have nonhand operable taps and single-use towels to help prevent the re-contamination of clean hands. Hand washing and drying instructions should be visibly present for all users of these facilities . 25. Hand washing and drying facilities should be suitably located in food preparation or production areas to ensure food handlers have ready access to them. There should be hand washing facilities within close proximity to the toilets and positioned so that the personnel must pass by them before returning to the food handling area. SECTION 7 – ESTABLISHMENT: PERSONAL HYGIENE OBJECTIVES: To prevent food handlers from contaminating food with viruses, in particular NoV and/or HAV due to poor personal hygiene. RATIONALE: Food handlers may shed virus and the infectious dose is very low. There is a need for strict personal hygiene of food handlers, particularly in relation to the prevention of NoV and/or HAV, contamination. 7.3 Personal cleanliness 52. Personal hygiene of food handlers is critical. Food handlers should be aware of the infectious nature and transmission routes of enteric viruses, such as NoV and HAV. As asymptomatic shedding can occur, food handlers should adhere to hand washing instructions at all times. Training should be provided for food handlers, managers and other company personnel (see Section 10). 53. Hands should be washed and dried before handling of food. The most effective way of preventing spread of viruses is thorough hand washing. Hands should be lathered with soap and then washed with clean running water3 . The use of disposable hand towels and non-hand operable taps should be encouraged wherever possible. Hands should be washed in sinks dedicated to such a purpose and not washed in dishwashing sinks or food preparation sinks, to the extent possible. 9. CONTROL MEASURES FOR DISTRIBUTION CHANNELS (STEPS 21 TO 27) 9.7.1 GHP-based control measures Consumers should be informed about the potential risk associated with finished beef product in order to follow instructions and make informed choices on how to avoid the spread and growth of Salmonella (e.g. storage, thawing and cooking temperatures, hygiene including hand washing). The WHO Five Keys to Safer Food assists in this process. 3.3 Cleaning, maintenance and personnel hygiene at primary production Refer to the relevant Chapters of the OIE Terrestrial Animal Health Code for recommendations on cleaning, disinfection and personal hygiene \| (CAC/RCP 58-2005 ) CODE OF HYGIENIC PRACTICE FOR MEAT \| All areas in which exposed meat may be present, should be equipped with adequate facilities for washing hands that: • are located convenient to work stations; • have taps that are not operable by hand; • supply water at an appropriate temperature, and are fitted with dispensers for liquid soap or other hand cleansing agents; • include hand drying equipment where necessary, and receptacles for discarded paper towels; and • have waste water ducted to drains. \| \|---\|---\| \| (CAC/RCP 53-2003) CODE OF HYGIENIC PRACTICE FOR FRESH FRUITS AND VEGETABLES \| *Main document makes many references to the General Principles of Food Hygiene, however the specific products make more specific claims such as those to the WHO guidelines* 188.8.131.52 Personnel hygiene and sanitary facilities (HYGIENIC PRIMARY PRODUCTION OF FRESH LEAFY VEGETABLES) As far as possible, such facilities should be located close to the field and readily accessible to the work area: • Facilities should include clean running water, soap, toilet paper or equivalent, and single use paper towels or equivalent. 184.108.40.206 Personnel hygiene and sanitary facilities HYGIENIC PRIMARY PRODUCTION OF MELONS · Facilities should include clean running water, soap, toilet paper or equivalent, and single use paper towels or equivalent. Multiple use cloth drying towels should not be used. Hand sanitizers should not replace hand washing and should be used only after hands have been washed. • SECTION 9 – PRODUCT INFORMATION AND CONSUMER AWARENESS • Correct hand washing methods(4) - The (4) is a reference to the WHO Guidelines on Hand Hygiene in Health Care 220.127.116.11 HYGIENIC PRIMARY PRODUCTION OF BERRIES • Facilities should include clean running water, soap, toilet paper or equivalent, and single use paper towels or equivalent. Multiple use cloth drying towels should not be used. Hand sanitizers should not replace hand washing and should be used only after hands have been washed. \| Page 31 Page 32 IMPROVING FOOD SAFETY through Hand Washing and Drying Capacity Building
Ethics Case Procedures For BOC Certified Practitioners Table of Contents Ethics Case Procedures Introduction The Board of Certification/Accreditation (BOC) develops, promotes, and demands high ethical standards for orthotic/prosthetic practitioners as set forth in the BOC Code of Ethics (hereinafter, the "Code"). The following Ethics Case Procedures (hereinafter, "Procedures") are the rules for processing alleged violations of BOC's Code. These Procedures apply to all individuals seeking BOC certification (candidates) and all individuals certified by the BOC (certificants), including the following certificant groups: Orthotist, BOCCertified™ (BOCO®); Prosthetist, BOC-Certified™ (BOCP®); Certified Orthotic Fitter™ (COF®); BOC Pedorthist™ (BOCPD™); Certified Mastectomy Fitter™ (CMF®); and, Certified Durable Medical Equipment Specialist™ (CDME™). All certificants and candidates (collectively, "practitioners") agree to abide, and be bound, by BOC policies, including the Code and these Procedures. In addition, all BOC practitioners agree that these Procedures are the exclusive process for resolving all ethics matters, including complaints and violations. Further, the Code and these Procedures shall in all respects be interpreted, enforced and governed under the laws of the State of Maryland. Any action, claim or dispute arising out of the Code and these Procedures, including all actions relating in any way to a decision or order issued pursuant to the Code and these Procedures, shall be brought in the State of Maryland, regardless of whether the conflict of law rules of this or any other jurisdiction indicate otherwise. A. General 1. Nature of the Process. These Procedures are the exclusive means to resolve all BOC ethics charges and complaints. BOC has the exclusive authority to end any ethics inquiry or case regardless of circumstances. By applying for certification or recertification, practitioners agree that they will not challenge the authority of BOC to apply the Code and these Procedures, or other policies, and will not challenge the results of any BOC action taken under these policies in a legal or government forum, including any court of law. These Procedures are designed to operate without the assistance of attorneys. The parties are encouraged to communicate directly with BOC's Chief Credentialing Officer. Any party may be represented by an attorney with respect to an ethics proceeding; however, if a party elects to be represented by counsel, that party and attorney may be directed to communicate with BOC only through BOC legal counsel. 2. Participants. Ethics cases may be decided by BOC's Chief Executive Officer ("CEO"), BOC's Peer Review Committee, BOC's Board of Directors, BOC's Board Appeals Chair ("Board Appeal Chair"), BOC's Chief Credentialing Officer, and/or any representative designated by the CEO or authorized by these Procedures. A practitioner who is the subject of an ethics charge or investigation is identified herein as the respondent. The person or entity initiating an ethics complaint against a practitioner is identified herein as the complainant. 3. Ethics Charge Statement. A party with a good faith belief that a practitioner has committed an ethics violation may initiate an ethics case and act as a complainant. The Ethics Charge Statement form is available on BOC's website (www.bocusa.org). The complainant must complete the information requested on the Charge Statement; and then submit the completed Charge Statement to the Chief Credentialing Officer. Each Ethics Charge Statement must include a detailed written description of the factual allegations supporting the ethics charge(s). All sections must be completed in order to be considered. 4. Time Requirements. BOC will make every effort to adhere to the time requirements set forth in these Procedures. However, BOC's failure to meet a time requirement will not preclude the final resolution of any ethics matter. Complainants and respondents are required to comply with all time requirements specified in these Procedures. Time extensions or postponements may be granted by the BOC Chief Credentialing Officer if a timely written request sets forth good cause or if the postponement is in the best interests of resolving the complaint fairly. 5. Litigation/Other Proceedings. BOC may accept and resolve ethics complaints notwithstanding that civil, criminal, or other proceedings related to the complaint or parties are pending before a court, regulatory agency, professional body, or similar entity. BOC may, in its sole and absolute discretion, continue or delay proceedings under these Procedures in such cases. 6. Complaints Concerning Non-Certificants. In the event that BOC receives an ethics inquiry or Ethics Charge Statement concerning an individual who does not hold any BOC credential or who is not a candidate, BOC may refer the complainant to the appropriate authority. 7. Improper Disclosure/False or Misleading Responses. Any failure to disclose pertinent information or a misleading or false disclosure by a practitioner with respect to an ethics charge by a complainant may result in the dismissal of the complaint. 8. Time Limitations Concerning Complaints. BOC may consider any ethics complaint, regardless of (a) whether the respondent held a BOC credential at the time of the alleged violation; (b) when the alleged violation occurred; or, (c) whether the respondent continues to hold or seek a BOC credential during the course of any ethics case. 9. Confidentiality. The identities of all members of the Peer Review Committee and the Board Appeals Chair shall remain confidential, and will not be revealed or released without the specific authorization of each member. All communications regarding an ethics violation, unless directed otherwise, shall be addressed to the Chief Credentialing Officer. 10. Failure to Cooperate. Cooperation by all parties, including complainants and respondents, is required. If any party refuses to reasonably cooperate with BOC and it is deemed by BOC that such failure to cooperate was without good cause, BOC, in its sole and absolute discretion, may take any remedial action it deems reasonable, including the dismissal of an ethics complaint. 11. Resignation from BOC. Should a respondent attempt to relinquish BOC certification or withdraw an application during the course of any ethics inquiry or case, BOC reserves the right to continue the matter to a final resolution according to these rules. B. Mediation 1. Cases Appropriate for Mediation. The Chief Credentialing Officer will review all charges, complaints, and Ethics Charge Statements to determine if the case is appropriate for mediation. The Chief Credentialing Officer will consider the seriousness of the allegations, the respondent's background, prior conduct, and any other pertinent information, and make a decision concerning the likelihood that the matter can be resolved fairly and without formal disciplinary proceedings as described in these Procedures. Ethics cases concerning charges issued by a regulatory agency or professional body, and those involving alleged criminal conduct are generally not appropriate for mediation. 2. Successful Mediation. In the event of successful mediation, the Chief Credentialing Officer will prepare an agreement or similar document memorializing the terms of the mediated resolution, a copy of which will be forwarded to the parties. 3. Unsuccessful Mediation. In the event of unsuccessful mediation, the Chief Credentialing Officer will refer the case to the Peer Review Committee for resolution consistent with these procedures. C. Ethics Inquiries/Ethics Charge Statements 1. Ethics Inquiries. The Chief Credentialing Officer will record all ethics inquiries and identify the person(s) making the inquiry; the practitioner identified; the State from which the inquiry originates; and the nature of the problem. This case log will remain confidential, and will be available only to authorized representatives of BOC, or released for review to cooperating agencies and organizations. 2. Ethics Charge Statement/Description of Charges. In order for BOC to consider an ethics complaint, a complainant other than the BOC must complete and submit to the Chief Credentialing Officer an Ethics Charge Statement, including all information required by the form. The Ethics Charge Statement is a formal written communication from a complainant describing the allegations against a certificant or candidate, and is the only form of complaint submission accepted. Public documents such as newspaper stories, court verdicts or agency decisions are not acceptable, and will not be considered as Ethics Charge Statements, but such material may be submitted as documentation to support a complaint. When an Ethics Charge Statement is received by BOC, the Chief Credentialing Officer will (a) review the material received and assign a case number to the matter; (b) review the allegations made concerning the charges; (c) determine whether the charges are presented in sufficient detail to permit BOC to conduct a preliminary investigation; and, if necessary, (d) contact the complainant and request additional factual material. The Chief Credentialing Officer will send a letter to the complainant and respondent stating whether the charges submitted are accepted or rejected for a formal ethics investigation. D. Acceptance/Rejection of Ethics Charges 1. Charge Acceptance. The Chief Credentialing Officer will review each charge presented in an Ethics Charge Statement submitted by a complainant and then determine if it will become the subject of a formal Ethics Complaint and Investigation. The following criteria will be considered to determine if a charge is accepted or rejected: (a) whether the respondent is a practitioner or candidate; (b) whether the allegations constitute a violation of the Code of Ethics; (c) the passage of time since the alleged violation occurred; (d) whether relevant and reliable information concerning the charge is available; and (e) whether the complainant is willing to provide documentation or other information to BOC concerning the complaint. The Chief Credentialing Officer will determine whether the charge(s) and available information support a formal Ethics Complaint, and upon such determination, will issue a formal Ethics Complaint and Investigation Notice. 2. Charge Rejection. If the Chief Credentialing Officer determines that an allegation should not become the subject of a formal Ethics Complaint, the Chief Credentialing Officer will reject the charge(s). The Chief Credentialing Officer will notify the complainant by letter within approximately twenty-one (21) days of the determination. If the complainant discovers new or additional information that he or she believes constitute an ethics violation, he or she may submit a new charge statement. E. Ethics Complaints and Investigation 1. Ethics Complaint and Investigation Notices. After an ethics charge is accepted, the Chief Credentialing Officer will issue a formal Ethics Complaint and Investigation Notice identifying each Code of Ethics violation alleged and the supporting factual basis for each complaint. This Notice will be delivered to the respondent at the respondent's e-mail address and at the last known address(es) by certified mail, return receipt requested, restricted delivery, and will be marked, "Confidential." The Notice will state that the respondent may request a hearing or submit the case for review and resolution to the Chief Credentialing Officer. If the respondent does not request a hearing, the complaint will be resolved by the Chief Credentialing Officer under Section H of these Procedures. F. Ethics Complaint Response/Optional Reply and Optional Response 1. Submitting an Ethics Complaint Response. Within thirty (30) days of the respondent's receipt of an Ethics Complaint and Investigation Notice, the respondent must submit an Ethics Complaint Response pursuant to the instructions in the Notice. The Ethics Complaint Response must include the following: (a) a full response to each complaint; (b) the identification and a copy of each document that the respondent believes to be relevant to the resolution of the Ethics Complaint; and (c) any other information that the respondent believes will assist BOC in considering the Ethics Complaint fairly. 2. Response Deficiencies. The Chief Credentialing Officer may require the respondent to supplement or expand a response. 3. Ethics Complaint Response. The Chief Credentialing Officer will forward a copy of the Ethics Complaint Response to the complainant within approximately ten (10) days following the receipt of the Response by BOC. G. Preliminary Actions and Orders 1. Suspension of Certification. The Chief Credentialing Officer may issue Preliminary Suspension Order involuntarily suspending the respondent's certification(s). In addition, the BOC may request that the respondent voluntarily suspend his or her certification(s). Upon suspension, the respondent will cease representing himself or herself as certified, credentialed or otherwise endorsed by BOC until further notice. In addition, the respondent will also return any certifications to BOC to be held until the final resolution of the complaint. This Suspension Order will stay in effect until the final resolution of the complaint. 2. Circumstances Warranting Preliminary Suspension Orders. Preliminary Suspension Orders are authorized where (a) the respondent has been convicted of a criminal act; (b) the respondent has been indicted or similarly charged with a criminal act or violation of a criminal law under statute, law or rule; (c) the respondent has been found in violation of any law, regulation or rule by a professional regulatory body, or has been sanctioned or disciplined by such a regulatory body; (d) the respondent is the subject of a formal complaint or similar charge and/or investigation by a professional regulatory body; (e) the respondent has been found in violation of an ethics code of a professional association or certifying body; (f) the respondent is the subject of a formal complaint or similar charge and investigation by a professional association or certifying body concerning ethics or disciplinary matters, (g) the respondent is the subject of litigation or a petition relating to respondent's orthotic/prosthetic practice; (h) If the CEO or Chief Credentialing Officer determines that the ethics charges constitutes a potential danger to the public health or safety or (i) if the CEO or Chief Credentialing Officer determines that the interests of the public or BOC warrant the immediate suspension of the respondent's certification. 3. Other Preliminary Orders. The Chief Credentialing Officer may require the respondent to do or to refrain from doing certain acts by Preliminary Order, including the disclosure/submission of documents relevant to review of an ethics investigation. Any Preliminary Order will be reasonably related to the complaint under consideration or to a party's responsibilities under the Code of Ethics. 4. Failure to Comply with Preliminary Orders. The Chief Credentialing Officer may discipline a respondent who fails to comply with a preliminary order. The Chief Credentialing Officer will consider the severity of the failure to comply and other relevant factors in determining the discipline. H. Complaint Resolution 1. Chief Credentialing Officer Resolution of Complaints. The Chief Credentialing Officer decides all matters in which BOC is not the complainant. The Chief Credentialing Officer will resolve the ethics complaint, and issue a Final Decision and Order. 2. BOC as Complainant. The Peer Review Committee will consider all matters in which BOC is the complainant. The Peer Review Committee will resolve the ethics complaint, and issue a Final Decision and Order. 3. Peer Review Committee. The Peer Review Committee consists of five members, which members include a Chair and Vice Chair appointed by the Board Appeals Chair. Four members will be considered a quorum to conduct business. Peer Review Committee panel members must not have had a substantial professional relationship with either the complainant or respondent; and must not have a conflict of interest with either the complainant or respondent. I. Hearing 1. Hearing Chair. As the case may be, whether the Chief Credentialing Officer or the Peer Review Committee is hearing the case, the chair of the hearing hereinafter shall be referred to as the Hearing Chair. 2. Hearing Schedule and Location. The Hearing date for each ethics case will be scheduled by the Chief Credentialing Officer in consultation the parties. Each Hearing will be held at a physical or virtual site determined by Chief Credentialing Officer. If practical, each hearing will be held no less than thirty (30) days and no more than one hundred twenty (120) days from the receipt of an Ethics Charge Statement by the Chief Credentialing Officer. Hearings will not be held prior to the date permitted in these rules in order to permit each party to submit a Response or a Reply. 3. Hearing Notice and Attendance. The Chief Credentialing Officer will notify the parties of the hearing schedule and location in writing. Each party will be required to indicate the following at least seven (7) days before the hearing: (a) whether the party wishes to appear at and participate in the hearing in person; (b) whether the party wishes to participate in the hearing via telephone; if so, the telephone number where the party is to be reached during the hearing; (c) Whether the party intends to appear at or participate in the hearing with an attorney or other representative; if so, the name, address and telephone number of such attorney or representative; (d) whether the party intends to present witnesses during the hearing; if so, the name, address and telephone number of each witness and a brief summary of the content of the witness's proposed testimony; and (e) whether the party intends to present or offer any documentary information or other written proof during the course of the hearing that has not been previously considered by BOC. If such information is offered, the party must provide a copy of each document. Consistent with the requirements of these Procedures, the Hearing Chair shall have the sole discretion to determine the manner and extent of hearing participation by each party or other hearing participant, including whether a party or hearing participant shall appear in person or participate via telephone. Any Ethics Complaint may proceed to a conclusion and decision whether or not the parties are present. 4. Postponement of Hearing. A respondent or complainant may request a hearing postponement. This request must be in writing and received by the Chief Credentialing Officer at least seven (7) days before the Hearing date. The Hearing Chair may grant a postponement. Postponement decisions cannot be appealed. 5. Participation of BOC Legal Counsel. Should BOC legal counsel be present during an ethics case hearing, legal counsel shall have the privilege of the floor and may conduct the hearing with the Hearing Chair. Legal or other representatives of the parties do not have such privilege and are bound by the determinations and rulings of the Chair Hearing Chair. 6. Responsibilities and Rights of the Parties. In addition to other responsibilities and rights, the respondent and the complainant may do, or be required to do, the following: (a) attend the hearing and be present during the testimony of all witnesses; (b) present witnesses, written information and argument on their behalf; (c) review or inspect all oral or written information presented in the case; and (d) comply with all orders or directives issued by the Chief Credentialing Officer. 7. Witnesses. At the discretion of the Hearing Chair, witnesses may be excluded from the hearing room or telephone conference except during the presentation of their testimony. 8. Confidentiality/Inclusion of Other Persons. All hearings are confidential and private. No observers are permitted without consent of the Chair. 9. Information and Proof Accepted. The Hearing Chair and Peer Review Committee, as the case may be, will receive and consider all information appearing to be relevant to an ethics complaint, including any information that may be helpful to a complete understanding of the case. Objections relating to relevance of information and similar issues will be decided by the Hearing Chair. 10. Record of the Hearing. A taped, written, or summary record of the Hearing will be made by a BOC representative, stenographer/recorder, or similarly appointed person; however, no taped, video, or other electronic recording of the Hearing will be permitted unless specifically authorized by the Hearing Chair. Offthe-record conversation may be requested by parties and will not be part of the hearing record. 11. Hearing Expenses. Parties will be responsible for their expenses associated with the case. Should a party request a written transcript or recording copy of the hearing, a reasonable fee will be assessed for preparation. BOC bears the cost of the hearings and investigations that are performed by BOC representatives. Requests for audio or written transcripts shall be made to the Chief Credentialing Officer. 12. Closing of the Hearing Record. The hearing record will be closed following the conclusion of the hearing. Any party, including the Hearing Chair, may request that the record remain open for the purpose of receiving additional documentary information and proof. The Hearing Chair may deny requests to keep records open, and such decisions cannot be appealed. J. Hearing Chair Decisions and Orders 1. Decision and Order. At the direction of the Hearing Chair, BOC will prepare a Decision and Order within fourteen (14) days of the closing of the case record or as soon thereafter as practical. 2. Contents of the Decision and Order. The following information will be included in the Ethics Case Decision and Order: (a) a summary of the case, including the positions of the parties; (b) a summary of all relevant factual findings based on the record; (c) a final ruling on each Code of Ethics violation charged; (d) a statement of any disciplinary action(s) and/or sanction(s) issued; and (e) any other material that the Chief Credentialing Officer or Peer Review Committee determines to be appropriate. K. Disciplinary Actions 1. Disciplinary Actions Available. When a respondent has been found to have violated one or more provisions of the Code of Ethics, the Hearing Chair may issue and order one or more of the following disciplinary and remedial actions: (a) a recommendation to the Board of Directors that the practitioner be ineligible for recertification or certification, and that any reapplication of the respondent for BOC certification be denied; (b) a requirement that the respondent take corrective action(s); (c) a private reprimand and censure of the respondent concerning the Code of Ethics violation(s); (d) a public reprimand and censure of the respondent concerning the Code of Ethics violation(s); (e) the imposition of a term of certification probation for any period up to three (3) years, which may include conditions on the respondent's conduct during that period, such as the condition that the respondent be monitored with respect to orthotic/prosthetic activities; (f) the suspension of any BOC certification held by the respondent for a period of not more than two (2) years, which shall include the requirements that the respondent return to BOC all original or copied credential materials for the suspension period and immediately stop any professional identification or affiliation with BOC during the suspension period; and, (g) the revocation of any BOC certification held by the respondent, which shall include the requirements that the respondent return to BOC all original or copied credential materials and to stop immediately any and all professional identification or affiliation with BOC. 2. Referral and Notification Actions. The Chief Credentialing Officer may notify appropriate government or professional bodies of any final disciplinary action taken against a respondent by sending a copy of the ethics case Decision and Order issued by the Chief Credentialing Officer, the Peer Review Committee, or the Board Appeals Chair. Such notification may be sent by the Chief Credentialing Officer at any point after the time period for the respondent to appeal an adverse decision has lapsed. The Chief Credentialing Officer will not notify governmental and professional bodies until after a final ruling on the case has been made, if necessary. During an appeal period, the Chief Credentialing Officer may respond to inquiries concerning ethics cases, and may indicate the existence of such proceedings. 3. Publication of Disciplinary Action. Following the expiration of any appeal rights and upon case closure, the Chief Credentialing Officer may publish or release a final ethics Decision and Order. Any party or interested individual may request publication of any final decision, consistent with these Procedures. However, the Chief Credentialing Officer may deny such requests, and such decisions cannot be appealed. L. Appeals of Chief Credentialing Officer Decisions In the event that the respondent appeals the decision of the Chief Credentialing Officer, the Peer Review Committee will meet either in person, by telephone, or by other means to consider that appeal. The Committee will consider it within the times set forth below. If the Peer Review Committee upholds the decision of the Chief Credentialing Officer, the matter is considered final, and no other appeal is permitted. M. Appeals of Peer Review Committee Decisions In the event that the respondent appeals the hearing decision of the Peer Review Committee, the Chair of the BOC Board of Directors shall appoint a Board Appeals Chair to consider the merits of and resolve all appropriate appeals concerning hearing decisions of the Peer Review Committee. If an appeal is accepted, it follows the process noted in these procedures; if the appeal is denied, the Order of the Peer Review Committee stands. 1. Time Period for Appeals to the Board Appeals Chair. Within thirty (30) days of the receipt of the Decision and Order, the respondent may appeal all or a portion of the Decision and Order to, as the case may be, the Peer Review Committee or the BOC Board Appeals Chair (hereinafter, "Appeal Chair") pursuant to this Section. Any appeals received beyond this time period will not be reviewed or considered by the Appeal Chair. 2. Grounds for Appeal to the Board Appeals Chair. An adverse Decision of the Peer Review Committee may be reversed, or otherwise modified by the Appeal Chair. However, the grounds for appeal of an adverse decision are strictly limited to the following: (a) Procedural Error: the Chief Credentialing Officer or Peer Review Committee misapplied a procedure contained in these rules and prejudiced the respondent; (b) New or Previously Undiscovered Information: following the closing of the hearing record, the respondent has located relevant information that was not previously in his/her possession; that was not reasonably available prior to closure of the record; and could have affected the Chief Credentialing Officer or Peer Review Committee Decision; (c) Misapplication of the Ethics Code: the Chief Credentialing Officer or Peer Review Committee Decision has misapplied the provisions of the Code of Ethics, and the misapplication prejudiced the respondent; and/or, (d) Contrary to the Information Presented: the Chief Credentialing Officer or Peer Review Committee Decision is contrary to the substantial information provided in the record. 3. Contents of Appeal/Letter of Appeal. In order to complete an appeal to the Appeal Chair under this Section, the respondent must submit a letter or other document to the Appeal Chair in care of the Chief Credentialing Officer and to the complainant, within the prescribed time period, which contains the following information and material: (a) the ethics case name, docket number, whether the case was decided by the Chief Credentialing Officer or the Peer Review Committee, and the date of the Decision; (b) a statement of the grounds for the appeal under Subsection L.3, above, and a complete explanation of the reasons that the respondent believes that the Decision should be reversed or otherwise modified; and (c) accurate, complete copies of any material which supports the respondent's appeal. 4. Appeal Deficiencies. The Appeal Chair may require the respondent to clarify, supplement, or amend an appeal submission. 5. Optional Response to Appeal Letter. Within thirty (30) days of the receipt of a respondent's appeal, the complainant may submit to the Appeal Chair a Response to the Appeal by letter or similar document. If submitted, this Response must fully explain any objections that the complainant has concerning the appeal. 6. Board Appeals Chair. Within sixty (60) days after the submission of a complete appeal, or as soon after as practical, the Appeal Chair will issue an Appeal Decision and Order stating and explaining the outcome of the appeal. With respect to each appeal, the Appeal Chair Decision and Order may include the following: (a) a summary of any relevant portions of the Decision and Order; (b) a summary of any relevant procedural or factual findings made by the Appeal Chair; (c) the ruling(s) and decisions with respect to each matter under appeal; and , (d) the Appeal Chair's final Order affirming, reversing, amending or otherwise modifying any portion of the Decision and Order, including any disciplinary or remedial action or sanction. Copies of the Appeal Chair's Decision and Order shall be sent to the parties, via U.S. mail, return receipt requested, or other appropriate delivery method. N. Finalizing and Closing Ethics Cases 1. Events Which Will Cause Closure of an Ethics Case. An ethics case will be closed and all proceedings ended when any of the following occur: (a) Following the expiration of any appeal rights, the ethics case has not been accepted and the charges have been rejected as the basis for an Ethics Complaint and Investigation pursuant to these rules; (b) Following the expiration of any appeal rights, a final Decision has been issued by the Chief Credentialing Officer, the Peer Review Committee, or the Appeal Chair pursuant to these Procedures; or (c) An Ethics Complaint has been terminated or withdrawn by the complainant(s). 2. Events Which Will Cause a BOC Ethics Case Decision and Order to Become Final. An Ethics Case Decision and Order that is not appealed will be final. The Decision of the Appeal Chair is final, and no further appeals are available to any party. O. Reapplication and Reinstatement Procedures Following Revocation, Suspension, and Probation Orders 1. Revocation Orders/Reapplication Petition. Five (5) years after the issuance of a final revocation order issued under these rules, a respondent may submit to the Chief Credentialing Officer a Petition For Permission To Reapply For Certification (Reapplication Petition), as set forth in Section 4, below. 2. Suspension Orders/Reinstatement Requests. After the expiration of a final suspension order issued under these rules, a respondent may submit to the Chief Credentialing Officer a Request For Certification Reinstatement (Reinstatement Request), as set forth in Section 4, below. 3. Probation Orders/Reinstatement or Referral. Following the expiration of a final probation order included with a Final Decision of the Chief Credentialing Officer, the Peer Review Committee, or the Appeal Chair, the Chief Credentialing Officer will determine whether the respondent has or has not satisfied the terms of the probation order, and will do the following: (a) if the respondent has satisfied the terms of probation in full, the Chief Credentialing Officer will immediately verify that the probation has been completed and reinstate the practitioner to full certification status; or (b) if the respondent has not satisfied the terms of probation in full, the Chief Credentialing Officer will determine an appropriate course of action consistent with these rules, including, but not limited to, continuation of the probation order and issuance of additional disciplinary or remedial actions concerning the probation terms. 4. Contents of Reapplication Petitions and Reinstatement Requests. Subject to the time requirements above, the Chief Credentialing Officer will consider Reapplication Petitions and Reinstatement Requests from those who have been the subject of a final revocation or suspension orders, respectively. Reapplication Petitions and Reinstatement Requests must include the following information: (a) a statement of the relevant ethics case name, docket number, and the date that the final BOC Ethics Decision was issued; (b) a statement of the reasons that support or justify the Reapplication Petition or the Reinstatement Request, including a statement explaining why the respondent should now receive BOC certification; and, (c) copies of any relevant documentary or other material upon which the respondent relies in support of the Petition or Request. 5. Board of Directors Reapplication Petition and Reinstatement Request Review. Within fourteen (14) days after the submission of a complete Reapplication Petition or Reinstatement Request, or as soon after as practical, the Board of Directors will prepare and issue a Decision and Order explaining the decision with respect to the Petition or Request. The final Board Decision and Order will indicate whether the Petition or Request is granted, denied, or continued to a later date. If appropriate, the Decision and Order will indicate any conditions of certification or recertification. Copies of the Board of Directors Decision and Order will be sent to the parties, via U.S. mail, return receipt requested, or other appropriate delivery method. While no appeal of the Board Decision and Order is permitted by BOC, the respondent may submit a new Petition or Request pursuant to this Section, two (2) years or more after the issuance of the Board Decision and Order.
ORGANISING COMMITTEE Chief Patron : Dr. N.M. Veeraiyan Advisors : Dr. R. Rajagopal Dr. M.F. Baig Dr. A. Venkatesan Academic Co-Ordinator : Dr. N.D. Jayakumar Chairman Reception Committee : Dr. Gowri Sethu Chairman Organising Committee : Dr. P. Sarasvvathy Chairman Scientific Committee: Dr. Gnanakumari Chairman Souvenir Committe: Dr. Auxilia Hemamalini Chairman Registration Committee: Dr. Brindha Chairman for gifts & certificates : Dr. Nallanayagam Organising Secretary Organising Joint Secretary Dr. Saveetha Rajesh Mrs. Anitha Mrs. Geetha Assistant Secretary Treasurer Dr. Muraiidaran Mrs. Vishnu Priya Dr. Sethuraman Dr. Sakthivel Scientific Co-Ordinator Dr. N. Gnanasundaram Editorial Board Dr. Auxilia Hema Malini Mr. N.P. Muralidharan Mrs. R.V. Geetha Proceedings of National B.D.S.Students seminar on Basic Medical Sciences 14 th & 15 & 15 th October 2006 October 2006 October 2006 Abstract – Anat - 01 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF ANATOMY ORAL PRESENTATION Eagle's syndrome M.Rishikumar & S.Vinasivasawmy 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 exists: the classic form and the vascular one. The styloid process is a slender outgrowth at the base of the temporal bone, immediately posterior to the mastoid apex. According to Balcioglu (2009), the mean length of the styloid processes of the subjects reporting Eagle syndrome is reported to be 40 +/- 4.72 mm. 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.Patients with the classic "Eagle Syndrome" can present with unilateral sore throat, dysphagia, tinnitus, unilateral facial and neck pain, and otalgia.In patients with the vascular form of "Eagle syndrome", the elongated styloid process is in contact with the extracranial internal carotid artery. This can cause a compression (while turning the head) or a dissection of the carotid artery causing a transient ischemic event or a stroke. Symptoms tend to be worsened on bimanual palpation of the styloid through the tonsillar bed. They may be relieved by infiltration of lidocaine into the tonsillar bed. Because of the proximity of several large vascular structures in this area this procedure is not be considered to be risk free. Abstract – Anat - 02 Mandibular fractures & reconstruction Unnamalai& Shonali, Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600077 Mandibular fracture, also known as fractures of the jaw, are breaks through the mandibular bone. They usually occur due to trauma and are often associated with other facial trauma. The types of mandibular fractures include fractures at the symphyseal area, horizontal ramus, mandibular angle and condylar neck. Mandibular fractures are also classified according to categories that describe the condition of the bone fragments at the fracture site and also the presence of communication with the external environment as Greenstick, Simple, Comminuted, Compound and involvement of dentition. By far, the two most common symptoms described are pain and the feeling that teeth no longer correctly meet (traumatic malocclusion, or disocclusion). Like all fractures, consideration has to be given to other illnesses that might jeopardize the patient, then to reduction and fixation of the fracture itself. Except in avulsive type injuries, or those where there might be airway compromise, a several day delay in the treatment of mandible fractures seems to have little impact on the outcome or complication rates. Since mandible fractures are usually the result of blunt force trauma to the head and face, other injuries need to be considered before the mandible fracture. First and foremost is compromise of the airway. While rare, bilateral mandible fractures that are unstable can cause the tongue to fall back and block the airway. Fractures such as a symphyseal or bilateral parasymphyseal may lead to mobility of the central portion of the mandible where genioglossus attaches, and allow the tongue to fall backwards and block the airway in larger fractures, or those from high velocity injuries, soft tissue swelling can block the airway. In addition to the potential for airway compromise, the force delivered to break the jaw can be great enough to either fracture the cervical spine or cause intra-cranial injury (head injury). It is common for both to be assessed with facial fractures. Finally, vascular injury can result (with particular attention to the internal carotid and jugular) from high velocity injuries or severely displaced mandible fractures.Loss of consciousness combined with aspiration of tooth fragments, blood and possibly dentures mean that the airway may be threatened. th th Abstract – Anat - 03 Metopic Suture Soundariyalakshmi & Vidhaya Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600077 The metopic suture (also known as the median frontal suture) is a type of calvarial suture. This suture runs through the midline across the frontal bone from the nasion to the bregma, although it may often be incomplete. It usually fuses by around 9 months of age .A premature fusion of the suture is termed metopic synostosis (type of craniosynostosis) with can then result in trigonocephaly. It is present in a fetal skull so that the skull can bend and is very elastic at the time of birth. The baby's head bends when coming out of the mother's womb. The space is filled as the child grows older. In some individuals the suture can persist (totally or partly) into adulthood, and in these cases it is referred to as a persistent metopic suture. The suture can either bisect the frontal bone and run from nasion to bregma or persist as a partial metopic suture (where part of the suture survives and is connected to either bregma or nasion) or as an isolated metopic fissure. Persistent frontal sutures are of no clinical significance, although they can be mistaken for cranial fractures. As persistent frontal sutures are visible in radiographs, they can be useful for the forensic identification of human skeletal remains. Persistent frontal sutures should not be confused with supranasal sutures (a small zig-zag shaped suture located at and/or immediately superior to the glabella). Abstract – Anat - 04 Development of Mandible Rini Mathew & Preethi Solanki Saveetha Dental College & Hospitals, Saveetha University, Chennai - 600077 The mandible, the largest and strongest bone of the face, serves for the reception of the lower teeth. It consists of a curved, horizontal portion, the body, and two perpendicular portions, the rami, which unite with the ends of the body nearly at right angles. The ossification of the mandible refers to the Human mandible laying down new bone material in the fibrous membrane covering the outer surfaces of Meckel's cartilages. These cartilages form the cartilaginous bar of the mandibular arch, and are two in number, a right and a left. Their proximal or cranial ends are connected with the ear capsules, and their distal extremities are joined to one another at the symphysis by mesodermal tissue. They run forward immediately below the condyles and then, bending downward, lie in a groove near the lower border of the bone; in front of the canine tooth they incline upward to the symphysis. From the proximal end of each cartilage the malleus and incus, two of the bones of the middle ear, are developed; the next succeeding portion, as far as the lingula, is replaced by fibrous tissue, which persists to form the sphenomandibular ligament. Between the lingula and the canine tooth the cartilage disappears, while the portion of it below and behind the incisor teeth becomes ossified and incorporated with this part of the mandible. Ossification takes place in the membrane covering the outer surface of the ventral end of Meckel's cartilage , and each half of the bone is formed from a single center which appears, near the mental foramen, about the sixth week of fetal life By the tenth week the portion of Meckel's cartilage which lies below and behind the incisor teeth is surrounded and invaded by the membrane bone. Somewhat later, accessory nuclei of cartilage make their appearance:a wedge-shaped nucleus in the condyloid process and extending downward through the ramus;a small strip along the anterior border of the coronoid process;smaller nuclei in the front part of both alveolar walls and along the front of the lower border of the bone.These accessory nuclei possess no separate ossific centers, but are invaded by the surrounding membrane bone and undergo absorption. The inner alveolar border, usually described as arising from a separate ossific center (splenial center), is formed in the human mandible by an ingrowth from the main mass of the bone.At birth the bone consists of two parts, united by a fibrous symphysis, in which ossification takes place during the first year. Abstract – Anat - 05 Stem Cell Challenges Mohaseenabegum & Ezhil malar Saveetha Dental College & Hospitals Saveetha University, Chennai - 600077 Stem cell therapy encompasses new technologies and therapies that aim to replace damaged cells with healthy new ones. Cells may be dysfunctional due to any number of reasons such as genetics, disease, injury or aging. Currently, stem cells offer the potential to treat cancer, Parkinson's disease, spinal cord injuries and diabetes, among other serious diseases. Unfortunately, there are several challenges faced by researchers that must be overcome before stem cell therapies can become a successful reality for those suffering from disease. Researchers do expect to eventually move beyond these challenges but the unfortunate reality is that those suffering from disease often have little time to wait for treatment. A major difficulty that scientists continue to encounter during their research is the identification of stem cells in adult tissues. These tissues contain many different types of cells and an attempt to locate the often scarce numbers of stem cells in tissues that could contain thousands of different cells is difficult at best. The research involved is complex and even after cells are isolated, the process to successfully trigger differentiation into the desired cell type is another challenge for researchers. This requires an understanding of stem cell control and regulation that has yet to be fully gained. In addition, researchers must also use the correct laboratory medium, or solution, to coax the growth and this has proven to be difficult. The first challenge researchers face when considering stem cell treatment is to understand the mechanisms by which stem cells function in the injured microenvironment using animal models, and then to translate the results of these studies to humans. Another challenge is how to identify and isolate stem cells from tissue, and then induce their differentiation into the desired cell types. The third challenge is how to prevent immunorejection after stem cell transplantation. Immunological rejection is a major barrier to successful stem cell transplantation. A person's immune system may also recognize the transplanted cells as foreign bodies and this can trigger an immune reaction that results in the rejection of the transplanted cells. Recipients of the transplant usually have to take strong immunosuppressive drugs to reduce the chances of rejection but these drugs induce infection by viruses or microbes in the environment Abstract – Anat - 06 Cardiac Pain in Mandibular Region Muthuezhil Saveetha Dental College & Hospitals Saveetha University, Chennai - 600077 Pain referred to the orofacial structures can sometimes be a diagnostic challenge for the clinician. In some instances, a patient may complain of tooth pain that is completely unrelated to any dental source. This poses a diagnostic and therapeutic problem for the dentist. Cardiac pain most commonly radiates to the left arm, shoulder, neck, and face. In rare instances, angina pectoris may present as dental pain. When this occurs, an improper diagnosis frequently leads to unnecessary dental treatment or, more significantly, a delay of proper treatment. This delay may result in the patient experiencing an acute myocardial infarction. It is the dentist's responsibility to establish a proper diagnosis so that the treatment will be directed toward the source of pain and not to the site of pain. One of the most important sources of pain referral to the jaws comes from symptoms generated during attacks of angina in ischemic heart disease. Typically, pain or other unpleasant symptoms develop in the jaws during actual ischemic episodes with remission of pain when the crisis is over. Symptoms are usually felt in the left body of the mandible or left ramus, but pain may also occur within the mandibular teeth on the left side. It has generally been suggested that the pain is located at the angle of the mandible, but pain can occur over the entire left side of mandible. Craniofacial pain commonly is induced by cardiac ischemia. This must be considered in differential diagnosis of toothache and orofacial pain. Because patients who have AMI without chest pain run a higher risk of experiencing a missed diagnosis and death, the dentist's awareness of this symptomatology can be crucial for early diagnosis and timely treatment. Abstract – Anat - 07 Disappearance of sutures Ankitalal & Vanithabarai Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600077 An infant's skull is made up of six separate cranial bones:Frontal bone, Occipital bone, Two parietal bones,Two temporal bones.These bones are held together by strong, fibrous, elastic tissues called sutures.The spaces between the bones where the sutures are called fontanelles. Sometimes, they are called soft spots. These spaces are a part of normal development. The cranial bones remain separate for about 12-18 months. They then grow together as part of normal growth. They stay connected throughout adulthood.Two fontanelles usually appear on a newborn's skull. On the top of the middle head, just forward of center (anterior fontanelle).In the back of the middle of the head (posterior fontanelle. The posterior fontanelle usually closes by age 1 or 2 months. It may already be closed at birth. The anterior fontanelle usually closes sometime between 9 months and 18 months.The sutures and fontanelles are needed for the infant's brain growth and development. During childbirth, the flexibility of the sutures allows the bones to overlap so the baby's head can pass through the birth canal without pressing on and damaging his or her brain.During infancy and childhood, the sutures are flexible. This allows the brain to grow quickly and protects the brain from minor impacts to the head (such as when the infant is learning to hold his head up, roll over, and sit up). Without flexible sutures and fontanelles, the child's brain could not grow enough. The child would develop brain damage.Feeling the cranial sutures and fontanelles is one way that doctors and nurses follow the child's growth and development. They are able to assess the pressure inside the brain by feeling the tension of the fontanelles. The fontanelles should feel flat and firm. Bulging fontanelles may be a sign of increased pressure within the brain. In this case, doctors may need to use imaging techniques such as CT scan or MRI scan. Surgery may be needed to relieve the increased pressure.Sunken, depressed fontanelles are sometimes a sign of dehydration. Abstract – Anat - 08 Congenital Midline Evaluation Of Nasal Masses Padmashree .G & Ruth Hepsi Beulah Saveetha Dental College & Hospitals, Saveetha University, Chennai - 600077 The nasal encephalocele, the glioma, and the dermoid are the most common of the congenital midline nasal masses. Due to similar embryologic development, each of these lesions may be associated with bony cranial defects and intracranial abnormalities, as well as CSF leakage and the potential for fatal meningitis if not handled properly. Preoperative manipulation should be avoided. Radiologic studies are instructive only if they are positive. If intracranial attachments are identified radiologically or suspected clinically, neurosurgical consultation should be obtained, and intracranial exploration and resection should be carried out as the initial procedure. Extracranial resection of the remaining mass may be performed immediately after intracranial resection, may be postponed, or may become unnecessary. Abstract – Anat - 09 Trigeminal neuralgia Satyajiath Mohapathr & Sagnik Sarkar Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600077 Trigeminal neuralgia, is a neuropathic disorder of the trigeminal nerve that causes episodes of intense pain in the eyes, lips, nose, scalp, forehead, and jaw. Trigeminal neuralgia is considered by many to be among the most painful of conditions and has been labeled the suicide disease, due to the significant numbers of people taking their own lives because they were unable to have their pain controlled with medications or surgery. An estimated one in 15,000 people suffers from trigeminal neuralgia, although numbers may be significantly higher due to frequent misdiagnosis. It usually develops after the age of 40, although there have been cases with patients being as young as three years of age . Abstract – Anat - 10 Cleft lip & Cleft palate Debalina chowdry Saveetha Dental College & Hospitals, Saveetha University, Chennai - 600077 Cleft palate, with or without cleft lip, is one of the more common congenital malformations in man. A cleft is a fissure or opening—a gap. It is the non-fusion of the body's natural structures that form before birth. Approximately 1 in 700 children born have a cleft lip or a cleft palate or both. In decades past, the condition was sometimes referred to as harelip, based on the similarity to the cleft in the lip of a hare, but that term is now generally considered to be offensive. Congenital cleft lip and cleft palate have been the subject of many genetic studies, but until recently there has been no consensus as to their modes of inheritance. In fact, claims have been made for just about every genetic mechanism one can think of. Recently, however, evidence has been accumulating that favors a multifactorial basis for these malformations. Abstract – Anat - 11 Larynx- Gift of voice Aarthy menon & Lirin ann Thomas Saveetha Dental College & Hospitals, Saveetha University, Chennai - 600077 The larynx , commonly called the voice box, is an organ in the neck of amphibians, reptiles, and mammals involved in breathing, SOUND PRODUCTION, and protecting the trachea against food aspiration. It manipulates pitch and volume. The larynx houses the vocal folds, which are essential for phonation. The vocal folds are situated just below where the tract of the pharynx splits into the trachea and the esophagus. The vocal folds can be held close together so that they vibrate .The muscles attached to the arytenoid cartilages control the degree of opening. Vocal fold length and tension can be controlled by rocking the thyroid cartilage forward and backward on the cricoid cartilage (either directly by contracting the cricothyroids or indirectly by changing the vertical position of the larynx), by manipulating the tension of the muscles within the vocal folds, and by moving the arytenoids forward or backward. This causes the pitch produced during phonation to rise or fall. Abstract – Anat - 12 Importance of infra temporal fossa Sonam duggal Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600077 The infratemporal fossa is an irregularly shaped cavity, situated below and medial to the zygomatic arch. Boundaries defined by:anteriorly, by the infratemporal surface of the maxilla and the ridge which descends from its zygomatic process. posteriorly, by the articular tubercle of the temporal and the spina angularis of the sphenoid. superiorly, by the greater wing of the sphenoid below the infratemporal crest, and by the under surface of the temporal squama, containing the foramen ovale, which transmits the mandibular branch of the trigeminal nerve, and the foramen spinosum, which transmits the middle meningeal artery. inferiorly, by the medial pterygoid muscle attaching to the mandible. medially, by the lateral pterygoid plate. laterally, by the ramus of mandible, which contains the mandibular foramen, leading to the mandibular canal through which the inferior alveolar nerve passes. This also contains the lingula, a triangular piece of bone that overlies the mandibular foramen antero-medially. Finally, the mylohyoid groove descends obliquely transmitting the mylohyoid nerve the only motor branch of the posterior division of the trigeminal nerve. Abstract – Anat - 13 Paranasal Air Sinuses Bheesma & Kalimani Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600077 Paranasal sinuses are air filled hollow sacs seen around the skull bone. These sacs precisely surround the nasal cavity. There are four paired sinuses surrounding the nasal cavity. Common complications following endoscopic sinus surgery are caused by inadequate understanding of the highly complex and variable anatomy of paranasal sinuses. The four paired sinuses include frontal, maxillary, ethmoidal and sphenoidal air complex cells. They lie within the facial bones, in a complex arrangement, and group around the nasal cavities. Minimallyinvasive interventions of the paranasal sinus are frequent surgical procedures. While in many cases an extensive pre-operative intervention planning is not really necessary, it becomes desirable in complicated patient cases, and is currently done based on the inspection of the acquired CT data of the paranasal sinus. For a more accurate access planning including 3D measures of the cavity, especially in complex cases of tumor diseases, a segmentation of the paranasal sinus is a useful tool. Abstract – Anat - 14 Freys syndrome Gothai.D Saveetha Dental College & Hospitals Saveetha University, Chennai – 600077 Frey's syndrome is a complication of parotidectomy that occurs as a result of aberrant regeneration of the postganglionic parasympathetic nerve fibres supplying the parotid gland to severed postganglionic sympathetic fibres which innervate the sweat glands of the face. Frey's syndrome consists of gustatory discomfort, sweating and flushing of the skin overlying the parotid area(hemifacial flushing) which may be associated with pain in the auriculotemporal nerve distribution. Frey's syndrome is difficult to treat but is a preventable phenomenon and surgeons must be aware of the available preventative methods during the initial surgery. Frey's syndrome can be socially debilitating and because of the difficulty in its management, preventive measures should be instituted during the initial surgery. Until now the longest latency of Frey's syndrome after parotidectomy recorded in the literature is 50 years. Diagnostic methods, preventive measures and management options are briefly discussed. Frey syndrome is usually secondary to traumatic injury in the parotid region and is thought to be the result of misdirected re-sprouting of damaged autonomic nerve fibres. It is treated using butolinium neurotoxins. Abstract – Anat - 15 Movement of eye ball Swarna & Rita Saveetha Dental College & Hospitals Saveetha University, Chennai – 600077 Eye movement refers to the voluntary or involuntary movement of the eyes, helping in acquiring, fixating and tracking visual stimuli. Specific systems are used in maintaining fixation, when reading and in music reading. A special type of eye movement, rapid eye movement, occurs during REM sleep. The eyes are the visual organs of the human body, and move using a system of six muscles. The retina, a specialised type of tissue containing photoreceptors, senses light. These specialised cells convert light into electrochemical signals. These signals travel along the optic nerve fibers to the brain, where they are interpreted as vision in the visual cortex. Primates and many other vertebrates use three types of voluntary eye movement to track objects of interest: smooth pursuit, vergence shifts and saccades. These movements appear to be initiated by a small cortical region in the brain's frontal lobe. This is corroborated by removal of the frontal lobe. In this case, the reflexes (such as reflex shifting the eyes to a moving light) are intact, though the voluntary control is obliterated. Abstract – Anat - 16 Goitre Gitambika& Marina Saveetha Dental College & Hospitals Saveetha University, Chennai – 600077 A goitre or goiter , is a swelling of the neck or larynx resulting from ENLARGEMENT of the thyroid gland (thyromegaly), associated with a thyroid gland that is functioning properly or not. Goitre which is associated with hypothyroidism or hyperthyroidism may be present with symptoms of the underlying disorder. For hyperthyroidism, the most common symptoms are associated with adrenergic stimulation: tachycardiac, palpitations, nervousness, tremor, and increased blood pressure. Clinical manifestations are often related to hypermetabolism, including increased metabolism, excessive thyroid hormone, an increase in oxygen consumption, metabolic changes in protein metabolism, immunologic stimulation of diffuse goiter, and ocular changes (exophthalmos). Abstracts – Anat - 01 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF ANATOMY POSTER PRESENTATION Stages of tooth development Dhanya karthiga Saveetha Dental College & Hospitals Saveetha University, Chennai – 600077 The developing tooth represents a suitable model for understanding the molecular mechanisms involved in induction, morphogenesis and differentiation of organs. It is conceivable that the developmental changes could be reflected in the distribution of different cytoskeletal components and in this report we analyze the expression of the intermediate filament nestin during rodent tooth development at the protein and mRNA levels (by immuno light and electronmicroscopy, and by in situ hybridization). Tooth development is under strict genetic control, and during recent years an increasing number of genes have been identified that are involved in the regulation of tooth morphogenesis. One of the organs in which development is now beginning to be understood at the gene level, the tooth is an example of a typical vertebrate organ starting as an epithelial bud and undergoing complex morphogenesis, regulated by interactions between epithelial and mesenchymal tissue layers. It has become evident that developmental regulatory genes have been conserved to a high degree during evolution and that similar gene networks regulate the development of teeth as of other vertebrate organs. Abstract – Anat - 02 Cleft lip and cleft palate Faurose and ayswarya Saveetha Dental College & Hospitals Saveetha University, Chennai - 600077 Cleft lip and cleft palate is a congenital deformity caused by abnormal facial development during gestation. A cleft is a fissure or opening—a gap. It is the non-fusion of the body's natural structures that form before birth. The birth of a child with a cleft lip or a cleft palate, or both, can be traumatic to the family. Although referral to a multidisciplinary team experienced in craniofacial abnormalities is essential, the family physician can reduce the impact on the family by providing antenatal diagnosis and continued care of the entire family after diagnosis, during initial feeding and bonding difficulties and throughout the many years of surgical and speech therapy. Numerous investigators have reported on a low frequency of other anomalies in patients with cleft lip, cleft palate, or both. The data have been somewhat inconsistent, ranging from a 3% to over 30% frequency of associated malformations. The high frequency of associated anomalies has obvious implications for the genetic counselling offered to all patients at cleft palate and craniofacial centres. Abstract – Anat - 03 Maxillary sinus and oral antral fistula Imayavalli Saveetha Dental College & Hospitals Saveetha University, Chennai - 600077 Oroantral fistula, an abnormal communication between the oral cavity and the maxillary sinus, is infrequently diagnosed radiologicaly. The tooth most frequently involved was the upper first molar, followed by the second and third molars. The sockets of the palatal roots of the first and the second molars were most frequently involved. There have been many expanded applications for the use of endosseous implants in the reconstruction of partially and totally edentulous patients. The posterior maxilla, which frequently has inadequate quality and quantity of bone, and the contiguous maxillary sinus often provide poor recipient sites for endosseous implants. However, innovative procedures using autogenous, allogeneic, and alloplastic graft materials have enabled clinicians to place implants in the reconstructed resorbed maxilla. These techniques often violate the anatomic integrity and interfere with the physiologic mechanisms of the maxillary sinus, creating potential complications. Abstract - Bio - 01 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF BIOCHEMISTRY ORAL PRESENTATION Vitamins In Oral Health Anie Beria Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 An unhealthy diet has been implicated as risk factors for several chronic diseases that are known to be associated with oral diseases. Nutritional intake influences the oral tissues to which bacteria bind (i.e.epithelium, collagen, bone, teeth), as well as saliva. Teeth in a preeruptive phase are influenced by the nutritional state. Secretory proteins (mucin) found within saliva provide an effective barrier against desiccation, penetration, physical and chemical irritants, and bacteria. Synthesis of glycoproteins, such as mucin, requires vitamin A. Retinol deficiency can reduce mucin production, leading to compromised salivary flow, weakened tooth integrity, and a marked increase in risk for caries. Vitamin A deficiency also causes Gingivitis, Periodontitis and Hyperplasia of the Gingiva. A lack of vitamins D and A and protein-energy malnutrition have been associated to hypoplasia of the enamel and atrophy of the salivary glands, conditions that determine a greater susceptibility to caries. Some hypoplasia and pits on the surface of the enamel correlate to a lack of vitamin A . A lack of vitamin D is associated to the more diffused hypoplastic forms . A lack of vitamin B3 can cause bad breath and canker sores in the mouth. To boost your B3 levels, eat chicken and fish.You also can develop mouth sores when you do not consume enough of the vitamins B12 and B2. Red meat, chicken, liver, pork, fish, as well as dairy products like milk, yogurt, and cheese, are good sources of vitamin B12. Vitamin B2 is found in foods like pasta, bagels, spinach, and almonds. The relationship between vitamin C and periodontal disease may be due to vitamin C's role in maintaining and repairing healthy connective tissue along with its antioxidant properties. It is very important to consume enough vitamin D because it helps your body absorb calcium. A diet People with vitamin K deficiency may have excessive bleeding after a tooth is extracted, or even after a tooth cleaning. Proceedings of National B.D.S.Students seminar on Basic Medical Sciences th th Abstract - Bio - 02 Biochemical Alterations In In Lead Poisoning Tejaswi Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Lead is a heavy metal and important environmental toxicant and nerve poison that can destruct many functions of the nervous system. Lead poisoning is a medical condition caused by increased levels of lead in the body. Lead interferes with a variety of body processes and is toxic to many organs and tissues including the heart, bones, intestines, kidneys, and reproductive and nervous systems. It interferes with the development of the nervous system, causes changes in neuro transmitter levels and is therefore particularly toxic to children, causing potentially permanent learning and behaviour disorders. Lead inhibits several enzymes, particularly Alpha aminolevulinate Synthase and dehydrogenase and ferrochelatase of heme synthesis leading to anaemia. Lead causes impairment in vitamin D metabolism, lymphocyte and antibody production. Exposure to lead can be through contaminated air, water, soil, food, and consumer products. Occupational exposure is a common cause of lead poisoning in adults. Symptoms include abdominal pain, confusion, headache, anaemia, irritability, and in severe cases seizures, coma, and death. So this article mainly throws light on the biochemical effects of lead toxicity. Elevated lead in the body can be detected by the presence of changes in blood cells visible with a microscope and dense lines in the bones of children seen on X-ray, but the main tool for diagnosis is measurement of the blood lead level. When blood lead levels are recorded, the results indicate how much lead is circulating within the blood stream, not the amount being stored in the bodyHumans have been mining and using this heavy metal for thousands of years, poisoning themselves in the process. Although lead poisoning is one of the oldest known work and environmental hazards, the modern understanding of the small amount of lead necessary to cause harm did not come about until the latter half of the 20th century. No safe threshold for lead exposure has been discovered—that is, there is no known sufficiently small amount of lead that will not cause harm to the body. Abstract - Bio - 03 Biochemical Parameters In Saliva B.Bavithra Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Saliva is a watery substance located in the mouths of organisms, secreted by the salivary glands. Human saliva is 99.5% water, while the other 0.5% consists of electrolytes, mucus, glycoproteins, enzymes, and antibacterial compounds such as secretory IgA and lysozyme. Saliva is supersaturated with various ions. The enzymes found in saliva are essential in beginning the process of digestion of dietary starches and fats and also play a role in breaking down food particles entrapped within dental crevices, protecting teeth from bacterial decay. Saliva contains the enzyme amylase, also called ptyalin, which is capable of breaking down starch into simpler sugars. Salivary glands also secrete salivary lipase (a more potent form of lipase) that plays a large role in fat digestion, especially in newborn infants as their pancreatic lipase still needs some time to develop. Saliva contains hormone gustin, which is thought to play a role in the development of taste buds. Certain salivary protein prevents precipitation, which would form salts. These ions act as a buffer, keeping the acidity of the mouth within a certain range, typically ph 6.2 - 7.4. This prevents minerals in the dental hard tissues from dissolving. Furthermore, saliva serves a lubricative function, wetting food and permitting the initiation of swallowing, and protecting the mucosal surfaces of the oral cavity from desiccation. Abstract - Bio - 04 PH Of Saliva Sneha Thakur Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Saliva is a watery substance located in the mouths of organisms, secreted by the salivary glands. The pH of saliva is 7.4, which is equal to the pH of blood that is 7.4, & pH of spinal fluid that is also 7.4. The pH of saliva is almost constant but it varies depending on the measurement and various Investigators determine the pH of saliva in range of pH 5.0 to pH 8.0 .This varies depending on the type of meal, if you have taken acidic meal then pH is slightly low, if you have taken alkaline meal then pH is slightly high. Therefore, it is advisable to wash your mouth before the measurement of pH of saliva. Additionally, the pH test of saliva represents the most consistent and most definitive physical sign of the ionic calcium deficiency syndrome. The pH of the non-deficient and healthy person is in the 7.5 (dark blue) to 7.1 (blue) slightly alkaline range. The range from 6.5 (blue-green) which is weakly acidic to 4.5 (light yellow) which is strongly acidic represents states from mildly deficient to strongly deficient, respectively. Most children are dark blue, a pH of 7.5. Over half of adults are green-yellow, a pH of 6.5 or lower, reflecting the calcium deficiency of aging and lifestyle defects. Cancer patients are usually a bright yellow, a pH of 4.5. The elaboration of extracellular proteolytic activity by Candida albicans during growth in laboratory broth or in human whole salivary supernatant was investigated. Growth of the organism in broth at pH 3 to 7 followed by assay of culture supernatants at pH 4 (optimum for activity) indicated protease was only present in cultures grown at a pH of less than 5. In contrast, growth in sterile human whole salivary supernatant over the pH range of 3 to 7 uniformly failed to result in production of protease. Growth of the organism at pH 4 in broth supplemented with saliva resulted in a saliva-dependent inhibition of protease production. Although the addition of up to 16% (vol/vol) saliva had essentially no effect on growth, 4% saliva caused a 50% reduction in proteolysis of substrate protein. Due to the low pH requirement for protease production and activity and the demonstration that saliva is a potent inhibitor of protease synthesis, we conclude C. albicans most likely does not produce extracellular protease in the human oral cavity. Test strips purchased retail can be very expensive for patients and may not be the quality required to separate the pH ranges adequately. Abstract - Bio – 05 Dental Flurosis Ekta Priya Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Dental fluorosis, also called mottling of tooth enamel, is a developmental disturbance of dental enamel caused by excessive exposure to high concentrations of fluoride during tooth development. The risk of fluoride overexposure occurs at any age but it is higher at younger ages. In its mild forms, fluorosis often appears as unnoticeable, tiny white streaks or specks in the enamel of the tooth. In its most severe form, tooth appearance is marred by discoloration or brown markings. The enamel may be pitted, rough and hard to clean. The spots and stains left by fluorosis are permanent and may darken over time. The greatest concern in dental fluorosis is aesthetic changes in the permanent dentition. Many well-known sources of fluoride may contribute to overexposure including dentifrice/fluoridated mouth rinse (which young children may swallow), bottled waters which are not tested for their fluoride content, inappropriate use of fluoride supplements, ingestion of foods especially imported from other countries, and public water fluoridation. The severity of dental fluorosis depends on the amount of fluoride exposure, the age of the child, individual response, weight, degree of physical activity, nutrition, and bone growth. The differential diagnosis for this condition may include Turner's hypoplasia, some mild forms of amelogenesis imperfecta, and other environmental enamel defects of diffuse and demarcated opacities. H.T. Dean's fluorosis index became the most universally accepted classification system for dental fluorosis. Tooth bleaching, micro abrasion, and conservative composite restorations or porcelain veneers are commonly used treatments. th th Abstract - Bio - 06 Recombinant Dna Tecnnology Meenal Bhagat Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Recombinant DNA (rDNA) technology is a field of molecular biology in which scientists "edit" DNA to form new synthetic molecules, which are often referred to as "chimeras". Recombinant DNA (DNA) molecules are DNA molecules formed by laboratory methods of Transformation, Phage Introduction, and Non-Bacterial Transformation, with the goal of introducing recombinant genes into a host cell along with expression factor, so that the host cell expresses the desired protein. Recombinant chymosin found in rennet, is an enzyme required to manufacture cheese. It was the first genetically engineered food additive used commercially..Recombinant DNA technology has led to powerful diagnostic procedures useful in both medicine and forensics. Recombinant human insulin almost completely replaced insulin obtained from animal sources (e.g. pigs and cattle) for the treatment of insulin-dependent diabetes. Recombinant human growth hormone (HGH, somatotropin) administered to patients whose pituitary glands generate insufficient quantities to support normal growth and development. Before recombinant HGH became available, HGH for therapeutic use was obtained from pituitary glands of cadavers.Several transgenic plants that kill insects have been introduced in several species, including corn and cotton . commercial varieties of important agricultural crops (including soy, maize/corn, sorghum, canola, alfalfa and cotton) have been developed that incorporate a recombinant gene that results in resistance to the herbicide glyphosate (trade name Roundup), and simplifies weed control by glyphosate application. Recombinant blood clotting factor VIII, a blood-clotting protein that is administered to patients with forms of the bleeding disorder hemophilia, who are unable to produce factor VIII in quantities sufficient to support normal blood coagulation. Hepatitis B infection is controlled through the use of a recombinant hepatitis B vaccine, which contains a form of the hepatitis B virus surface antigen that is produced in yeast cells. each of the three widely used methods for diagnosing HIV infection has been developed using recombinant DNA Golden rice a recombinant variety of rice that has been engineered to express the enzymes responsible for βcarotene biosynthesis. This variety of rice holds substantial promise for reducing the incidence of vitamin A deficiency in the world's population. th th Abstract - Bio - 07 Operon concept Nupur Chamadia Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 An Operon is a co-ordinated unit of genetic expression and a functional unit of genomic DNA containing a cluster of genes under the control of a single regulatory signal or promoter. The genes are transcribed together into an mRNA strand and either translated together in the cytoplasm, or undergo trans-splicing to create monocistronic mRNAs that are translated separately, i.e. several strands of mRNA that each encode a single gene product. The result of this is that the genes contained in the Operon are either expressed together or not at all. Several genes must be both co-transcribed and co-regulated to define an Operon. Operons were thought to occur primarily in prokaryotes but they were also found in eukaryotes. Operons have also been found in viruses such as bacteriophages. rRNA genes often exist in operons that have been found in a range of eukaryotes including chordates. An Operon is made up of several structural genes arranged under a common promoter and regulated by a common operator, regulator and structural genes. It is defined as a set of adjacent structural genes, plus the adjacent regulatory signals that affect transcription of the structural genes. Control of an Operon is a type of gene regulation that enables organisms to regulate the expression of various genes depending on environmental conditions. Operon regulation can be either negative or positive by induction or repression. Negative control involves the binding of a repressor to the operator to prevent transcription. Operons can also be positively controlled. With positive control, an activator protein stimulates transcription by binding to DNA (usually at a site other than the operator). The lac operon of the model bacterium Escherichia coli was the first operon to be discovered and provides a typical example of operon function. The number and organization of operons has been studied most critically in E. coli. As a result, predictions can be made based on an organism's genomic sequence. An alternative method to predict operons is based on finding gene clusters where gene order and orientation is conserved in two or more genomes. Abstract - Bio - 08 Gene Therapy In Cancer L. Preetha Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 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 (rather than a natural human gene) 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.The broad field of gene therapy promises a number of innovative treatments that are likely to become important in preventing deaths from cancer. In this review, we discuss the highlights and future of three different gene therapy treatment approaches: immunotherapy, oncolytic virotherapy and gene transfer. Immunotherapy uses genetically modified cells and viral particles to stimulate the immune system to destroy cancer cells. Recent clinical trials of second and third generation vaccines have shown encouraging results with a wide range of cancers, including lung cancer, pancreatic cancer, prostate cancer and malignant melanoma. Oncolytic virotherapy, which uses viral particles that replicate within the cancer cell to cause cell death, is an emerging treatment modality that shows great promise, particularly with metastatic cancers. Initial phase I trials for several vectors have generated excitement over the potential power of this technique. Gene transfer is a new treatment modality that introduces new genes into a cancerous cell or the surrounding tissue to cause cell death or slow the growth of the cancer. This treatment technique is very flexible, and a wide range of genes and vectors are being used in clinical trials with successful outcomes. As these therapies mature, they may be used alone or in combination with current treatments to help make cancer a manageable disease. Abstract - Bio – 09 DNA Finger Printing Saranya Devi Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 DNA fingerprinting (also called DNA profiling) is the present day genetic detective employed by forensic scientists to assist in the identification of individuals by their respective DNA profiles. It is an analysis of the nitrogenous base sequences in the DNA. DNA profiles are encrypted sets of numbers that reflect a person's DNA makeup, which can also be used as the person's identifier. Although 99.9% of human DNA sequences are the same in every person, enough of the DNA is different to distinguish one individual from another, unless they are monozygotic twins. DNA profiling uses repetitive ("repeat") sequences that are highly variable, called variable number tandem repeats (VNTRs), particularly short tandem repeats (STRs). VNTR loci are very similar between closely related humans, but so variable that unrelated individuals are extremely unlikely to have the same VNTRs. DNA finger printing uses the techniques of RFLP, PCR and VNTR analysis. The first methods for finding out genetics used for DNA profiling involved restriction enzyme digestion, followed by Southern blot analysis. The process, the polymerase chain reaction (PCR), mimics the biological process of DNA replication, but confines it to specific DNA sequences of interest.In this process, the DNA sample is denatured into the separate individual strands. Two DNA primers are used to hybridize to two corresponding nearby sites on opposite DNA strands in such a fashion that the normal enzymatic extension of the active terminal of each primer (that is, the 3' end) leads toward the other primer. The method of DNA profiling used today is based on PCR and uses short tandem repeats (STR). This method uses highly polymorphic regions that have short repeated sequences of DNA (the most common is 4 bases repeated, but there are other lengths in use, including 3 and 5 bases). Because unrelated people almost certainly have different numbers of repeat units, STRs can be used to discriminate between unrelated individuals. These STR loci (locations on a chromosome) are targeted with sequence-specific primers and amplified using PCR. The DNA fragments that result are then separated and detected using electrophoresis. There are two common methods of separation and detection, capillary electrophoresis (CE) and gel electrophoresis. th th Abstract - Bio - 10 Test Tube Teeth James.D.Raj Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 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. By carefully manipulating intercellular communication, they forced cells to rearrange themselves, forming a tooth. Surprisingly, the signaling pathways can be used to assemble teeth from adult stem cells as well as existing dental cells. 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. Unfortunately, the challenges of growing roots and identifying ideal raw materials remain. Even so, scientific progress can be fast, and teeth may be the first successfully engineered organs. 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. Tissue engineers are studying these signals and steps to understand the signals they need to replicate as they manufacture living bioengineered replacement teeth. 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.Tissue engineers working toward creating living replacement teeth take cues from nature as they coax disparate cell types to form a functional organ. Alternative methods include building teeth from existing dental cells or growing them from progenitor tissues. Both approaches have already produced structurally correct teeth. Proceedings of National B.D.S.Students seminar on Basic Medical Sciences th th Abstract - Bio - 11 Applications of Genetic Engineering Swetha and Swathi Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Genetic engineering, also called genetic modification, is the direct manipulation of an organism's genome using biotechnology. New DNA may be inserted in the host genome by first isolating and copying the genetic material of interest using molecular cloning methods to generate a DNA sequence, or by synthesizing the DNA, and then inserting this construct into the host organism. Genes may be removed, or "knocked out", using a nuclease. Genetic engineering techniques have 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. 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. Vaccination generally involves injecting weak, live, killed or inactivated forms of viruses or their toxins into the person being immunized. [71] Genetically engineered viruses are being developed that can still confer immunity, but lack the infectious sequences Genetic engineering is used to create animal models of human diseases. hey have been used to study and model cancer (the oncomouse), obesity, heart disease, diabetes, arthritis, substance abuse, anxiety, aging and Parkinson disease. [77] Potential cures can be tested against these mouse models. Gene therapy is the genetic engineering of humans by replacing defective human genes with functional copies. Abstract - Bio - 12 Polymerase Chain Reaction Merlin Jayaraj and R.M.Arthi Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 The polymerase chain reaction (PCR) is a biochemical technology in molecular biology to amplify a single or a few copies of a piece of DNA across several orders of magnitude, generating thousands to millions of copies of a particular DNA sequence. PCR is now a common and often indispensable technique used in medical and biological research labs for a variety of applications.These include DNA cloning for sequencing, DNA-based phylogeny, or functional analysis of genes; the diagnosis of hereditary diseases; the identification of genetic fingerprints (used in forensic sciences and paternity testing); and the detection and diagnosis of infectious diseases. The method relies on thermal cycling, consisting of cycles of repeated heating and cooling of the reaction for DNA melting and enzymatic replication of the DNA. Primers (short DNA fragments) containing sequences complementary to the target region along with a DNA polymerase (after which the method is named) are key components to enable selective and repeated amplification. As PCR progresses, the DNA generated is itself used as a template for replication, setting in motion a chain reaction in which the DNA template is exponentially amplified. PCR can be extensively modified to perform a wide array of genetic manipulations.Almost all PCR applications employ a heat-stable DNA polymerase, such as Taq polymerase (an enzyme originally isolated from the bacterium Thermus aquaticus). This DNA polymerase enzymatically assembles a new DNA strand from DNA building-blocks, the nucleotides, by using single-stranded DNA as a template and DNA oligonucleotides (also called DNA primers), which are required for initiation of DNA synthesis. The vast majority of PCR methods use thermal cycling, i.e., alternately heating and cooling the PCR sample through a defined series of temperature steps.In the first step, the two strands of the DNA double helix are physically separated at a high temperature in a process called DNA melting. In the second step, the temperature is lowered and the two DNA strands become templates for DNA polymerase to selectively amplify the target DNA. Many variations have been developed in the basic PCR techniques recently.PCR allows isolation of DNA fragments from genomic DNA by selective amplification of a specific region of DNA. This use of PCR augments many methods, such as generating hybridization probes for Southern or northern hybridization and DNA cloning, which require larger amounts of DNA, representing a specific DNA region. PCR permits early diagnosis of malignant diseases such as leukemia and lymphomas, which is currently the highestdeveloped in cancer research and is already being used routinely. Abstract - Bio - 13 Leptin P.Dillip Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Leptin is a 16-kDa adipokine that plays a key role in regulating energy intake and expenditure, including appetite and hunger, metabolism, and behavior. It is one of the most important adipose-derived hormones. Leptin functions by binding to the leptin receptor. The Ob(Lep) gene (Ob for obese, Lep for leptin) is located on chromosome 7 in humans. Leptin is a hormone made by fat tissue that acts on the brain to regulate food intake and body weight. Human leptin is a protein of 167 amino acids. It is manufactured primarily in the adipocytes of white adipose tissue, and the level of circulating leptin is proportional to the total amount of fat in the body. In addition to white adipose tissue—the major source of leptin—it can also be produced by brown adipose tissue, placenta (syncytiotrophoblasts), ovaries, skeletal muscle, stomach (the lower part of the fundic glands), mammary epithelial cells, bone marrow, pituitary, and liver. Leptin has also been discovered to be synthesized from gastric chief cells and P/D1 cells in the stomach. This hormone circulates in blood and acts on the hypothalamus to regulate food intake and energy expenditure. When fat mass falls, plasma leptin levels fall stimulating appetite and suppressing energy expenditure until fat mass is restored. When fat mass increases, leptin levels increase, suppressing appetite until weight is lost. This physiological system ensures that total energy stores are stably maintained within a relatively narrow range. The identification of a physiologic system that controls energy balance also establishes a biologic basis for obesity. Leptin also regulates many other physiologic systems and plays a critical role in the adaptive response to starvation.Leptin circulates in blood in free form and bound to proteins. Serum leptin levels are higher between midnight and early morning which could have an effect in suppressing appetite during the night while sleeping. The diurnal rhythm of plasma leptin can be modified by meal-timing indicating that plasma leptin is entrained to meal timing. Leptin binds to neuropeptide Y (NPY) neurons in the arcuate nucleus in such a way as to decrease the activity of these neurons. Leptin signals the brain that the body has had enough to eat, producing a feeling of satiety. Moreover, this fullness hormone may make it easier for people to resist the temptation of foods high in calories. he role of leptin/leptin receptors in modulation of T cell activity in immune system was shown in experimentation with mice. It modulates the immune response to atherosclerosis, of which obesity is a predisposing factor. Leptin's ability to regulate bone mass was also recognized. Leptin has traditionally been regarded as a link between present fat storage, food intake, and energy expenditure. Abstract - Bio - 14 Sickle Cell Haemoglobin Arun Kumar Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Approximately 5% of the world's population carries trait genes for haemoglobin disorders, mainly, sickle-cell disease. Sickle-cell disease is a hereditary blood disorder, characterized by a modification in the shape of the red blood cell from a smooth, donut-shape into a crescent or half moon shape. The misshapen cells lack plasticity and can block small blood vessels, impairing blood flow leading to shortened red blood cell survival, and subsequent anaemia, often called sickle-cell anaemia. Poor blood oxygen levels and blood vessel blockages in people with sicklecell disease can lead to chronic acute pain syndromes, severe bacterial infections, and necrosis (tissue death). Sickle-cell anaemia can lead to various complications, including: Overwhelming post-(auto)splenectomy infection (OPSI), stroke, Cholelithiasis (gallstones) and cholecystitis and Decreased immune reactions due to hyposplenism. The sickling occurs because of a mutation in the haemoglobin gene. Sickle hemoglobin differs from normal hemoglobin by a single amino acid: valine replaces glutamate at position 6 on the surface of the beta chain. This creates a new hydrophobic spot, which stick to each other causing deoxygenated hemoglobin to aggregate into chains. The polymerized hemoglobin distorts red blood cells into an abnormal sickle shape. Heterozygotes have a mixture of normal hemoglobin A and mutant hemoglobin S. The hemoglobin A stops polymerization, preventing serious sickling. The pure hemoglobin S in homozygotes polymerizes to a greater degree. Red cells lyse in homozygotes, producing the disease 'sickle cell anemia. Sickle hemoglobin, even in heterozygotes, confers resistance to one type of malaria. Through evolution, this selective advantage has led to a 40% incidence of sickle hemoglobin in regions of the world where malaria is endemic. Abstract - Bio - 15 Biochemical Alterations In AIDS S.Deepan Raj Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Human immunodeficiency virus infection / acquired immunodeficiency syndrome (HIV/AIDS) is a disease of the human immune system caused by infection with human immunodeficiency virus (HIV). HIV continues to be a major global public health issue, having claimed more than 36 million lives so far. There were approximately 35.3 [32.2–38.8] million people living with HIV in 2012. Infection with HIV-1 primarily involves a subgroup of Tlymphocytic cells, but other cell types are also invaded by the virus, including cell lines within the haematopoietic system. During the initial infection, a person may experience a brief period of influenza-like illness. This is typically followed by a prolonged period without symptoms. As the illness progresses, it interferes more and more with the immune system, making the person much more likely to get infections, including opportunistic infections and tumours that do not usually affect people who have working immune systems. Abnormalities in blood lipids (elevated cholesterol and triglyceride fats) and glucose (elevated blood sugar, as in diabetes) changes are observed in HIV patients and those on highly active antiretroviral therapy. A significant increase in liver marker enzymes (AST, ALP and ALT ) and decrease in CD4+ cell count is observed in HIV infected persons. Most people infected with HIV develop specific antibodies (i.e. seroconvert) within three to twelve weeks of the initial infection. [13] Diagnosis of primary HIV before seroconversion is done by measuring HIV-RNA or p24 antigen. [13] Positive results obtained by antibody or PCR testing are confirmed either by a different antibody or by PCR. Antibody tests in children younger than 18 months are typically inaccurate due to the continued presence of maternal antibodies. Thus HIV infection can only be diagnosed by PCR testing for HIV RNA or DNA, or via testing for the p24 antigen. Abstract - Bio - 16 Thalassemia Marian Anand Bennis Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Thalassemia is a blood disorder passed down through families (inherited) in which the body makes an abnormal form of hemoglobin, the protein in red blood cells that carries oxygen. The disorder results in excessive destruction of red blood cells, which leads to anemia. Thalassemia is caused by variant or missing genes that affect how the body makes hemoglobin. The majority of adult hemoglobin (HbA) is composed of four protein chains, two α and two β globin chains arranged into a heterotetramer. In thalassemia, patients have defects in either the α (encoded by a single gene on chromosome 11) or β globin chain (encoded by a single gene on chromosome 16) causing production of abnormal red blood cells. The α thalassemias involve the genes HBA1 and HBA2. There are two gene loci and so four alleles. It is also connected to the deletion of the 16p chromosome. α Thalassemias result in decreased alpha-globin production, therefore fewer alphaglobin chains are produced, resulting in an excess of β chains in adults and excess γ chains in newborns. The excess β chains form unstable tetramers (called Hemoglobin H or HbH of 4 beta chains), which have abnormal oxygen dissociation curves. Beta thalassemias are due to mutations in the HBB gene on chromosome 11, [10] also inherited in an autosomal-recessive fashion. The severity of the disease depends on the nature of the mutation. Mutations are characterized as either β o or β thalassemia major if they prevent any formation of β chains, the most severe form of β thalassemia. Also, they are characterized as β + or β thalassemia intermedia if they allow some β chain formation to occur. In either case, there is a relative excess of α chains, but these do not form tetramers: Rather, they bind to the red blood cell membranes, producing membrane damage, and at high concentrations they form toxic aggregates. About 3% of adult hemoglobin is made of alpha and delta chains. Just as with beta thalassemia, mutations that affect the ability of this gene to produce delta chains can occur. Thalassemia can cause significant complications, including iron overload, bone deformities and cardiovascular illness. Thalassemia will be present as microcytic anemia which may be differentiated from iron deficiency anemia using the mentzer index calculation. However this same inherited disease of red blood cells may confer a degree of protection against malaria, which is or was prevalent in the regions where the trait is common. This selective survival advantage on carriers (known as heterozygous advantage) may be responsible for perpetuating the mutation in populations. Abstract - Bio - 17 Alzheimers Disease T.Sangeeta Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Alzheimer's disease is a neurological disorder in which the death of brain cells causes memory loss, confusion, hallucinations and cognitive decline. A neurodegenerative type of dementia, the disease starts mild and gets progressively worse, as it has no cure. Most often, AD is diagnosed in people over 65 years of age, although the less-prevalent early-onset Alzheimer's can occur much earlier. In 2006, there were 26.6 million people worldwide with AD. Alzheimer's is predicted to affect 1 in 85 people globally by 2050.The accumulation of amyloids, namely β-amyloid which is prone for self aggregation is believed to be the cause of the disease. The cause and progression of Alzheimer's disease are not well understood. Research indicates that the disease is associated with plaques and tangles in the brain. Alzheimer's disease has been identified as a protein misfolding disease (proteopathy), caused by plaque accumulation of abnormally folded beta amyloid and tau amyloid proteins in the brain. Plaques are made up of small peptides, 39–43 amino acids in length, called beta-amyloid (Aβ). Beta-amyloid is a fragment from a larger protein called amyloid precursor protein (APP), a transmembrane protein that penetrates through the neuron's membrane. APP is critical to neuron growth, survival and post-injury repair. [80][81] In Alzheimer's disease, an unknown process causes APP to be divided into smaller fragments by enzymes through proteolysis. One of these fragments gives rise to fibrils of beta-amyloid, which form clumps that deposit outside neurons in dense formations known as senile plaques. Exactly how disturbances of production and aggregation of the betaamyloid peptide gives rise to the pathology of AD is not known. The amyloid hypothesis traditionally points to the accumulation of beta-amyloid peptides as the central event triggering neuron degeneration. Accumulation of aggregated amyloid fibrils, which are believed to be the toxic form of the protein responsible for disrupting the cell's calcium ion homeostasis, induces programmed cell death (apoptosis). It is also known that Aβ selectively builds up in the mitochondria in the cells of Alzheimer's-affected brains, and it also inhibits certain enzyme functions and the utilisation of glucose by neurons Current treatments only help with the symptoms of the disease. There are no available treatments that stop or reverse the progression of the disease. As of 2012, more than 1,000 clinical trials have been or are being conducted to test various compounds in AD. Mental stimulation, exercise, and a balanced diet have been suggested as ways to delay cognitive symptoms (though not brain pathology) in healthy older individuals, but there is no conclusive evidence supporting an effect. Abstract -Bio -18 Agression, Suicide And Sertonin Sowmya Surya Devara Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Serotonin or 5-hydroxytryptamine (5-HT) is a monoamine neurotransmitter. Biochemically derived from tryptophan, serotonin is primarily found in the gastrointestinal (GI) tract, platelets, and the central nervous system (CNS) of animals, including humans. It is popularly thought to be a contributor to feelings of well-being and happines. Serotonin secreted from the enterochromaffin cells eventually finds its way out of tissues into the blood. There, it is actively taken up by blood platelets, which store it. When the platelets bind to a clot, they release serotonin, where it serves as a vasoconstrictor and helps to regulate hemostasis and blood clotting. Serotonin also is a growth factor for some types of cells, which may give it a role in wound healing. Serotonin is a neurotransmitter and is found in all bilateral animals, where it mediates gut movements and the animal's perceptions of resource availability. When humans smell food, dopamine is released to increase the appetite, the serotonin released while consuming activates 5-HT2C receptors on dopamine-producing cells. This halts their dopamine release, and thereby serotonin decreases appetite. In humans, levels of 5-HT1A receptor activation in the brain show negative correlation with aggression, and a mutation in the gene that codes for the 5-HT2A receptor may double the risk of suicide for those with that genotype. Serotonin in the brain is not usually degraded after use, but is collected by serotonergic neurons by serotonin transporters on their cell surfaces. Studies have revealed nearly 10% of total variance in anxiety-related personality depends on variations in the description of where, when and how many serotonin transporters the neurons should deploy. In humans, defective signaling of serotonin in the brain may be the root cause of sudden infant death syndrome (SIDS). If neurons that make serotonin — serotonergic neurons — are abnormal in infants, there is a risk of sudden infant death syndrome (SIDS). Depletion of serotonin is common between disorders such as obsessivecompulsive disorder, depression, and anxiety. Drugs that alter serotonin levels are being used in treating depression, generalized anxiety disorder and social phobia. th th Abstract -Bio -19 Lipoprotein Dysfunction In Atherosclerosis Arvind Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Atherosclerosis is a complex disease characterised by thickening of arterial wall 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 high-density lipoproteins. Atherosclerosis is a chronic disease that remains asymptomatic for decades. Atherosclerotic lesions, or atherosclerotic plaques are separated into two broad categories: Stable and unstable (also called vulnerable). These complications of advanced atherosclerosis are chronic, slowly progressive and cumulative. Most commonly, soft plaque suddenly ruptures (see vulnerable plaque), causing the formation of a thrombus that will rapidly slow or stop blood flow, leading to death of the tissues fed by the artery in approximately 5 minutes. This catastrophic event is called an infarction. One of the most common recognized scenarios is called coronary thrombosis of a coronary artery, causing myocardial infarction (a heart attack). The same process in an artery to the brain is commonly called stroke. Another common scenario in very advanced disease is claudication from insufficient blood supply to the legs, typically caused by a combination of both stenosis and aneurysmal segments narrowed with clots. Atherosclerosis affects the entire artery tree, but mostly larger, high-pressure vessels such as the coronary, renal, femoral, cerebral, and carotid arteries. These are termed "clinically silent" because the person having the infarction does not notice the problem and does not seek medical help, or when they do, physicians do not recognize what has happened.Lipoprotein a (Lp-a)is similar to LDL, but has an additional apoprotein. It inhibits fibrinolysis and is thought to reduce the breakdown of blood clots and triggers heart attack. Atherosclerosis is initiated by inflammatory processes in the endothelial cells of the vessel wall in response to retained low-density lipoprotein (LDL) molecules. Once inside the vessel wall, LDL particles get stuck and their content becomes more prone to oxidation. The damage caused by the oxidized LDL molecules triggers a cascade of immune responses which over time can produce an atheroma. Abstract - Bio - 01 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF BIOCHEMISTRY POSTER PRESENTATION Prion Proteins Ann Alice Sartho and Christina Thomas Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 The Prion Protein (PrP) belongs to the class of amyloid-forming proteins which are, in some cases, associated with certain diseases. The PRNP gene provides instructions for making the prion protein (PrP), which is active in the brain and several other tissues. The cellular prion protein (PrP C ) is a membrane associated protein occurring in a wide range of eukaryotic cells. The wide distribution among mammalian species and the high conservation of PrP C indicates a role of general importance. The cellular isoform (PrP C ) is expressed widely in the immune system, in haematopoietic stem cells and mature lymphoid and myeloid compartments in addition to cells of the central nervous system. PrP C is highly expressed in the CNS, and as this is the major site of prion pathology most interest has focused on defining the role of PrP C in neurones. PrP C has been detected on human T and B lymphocytes, natural killer (NK) cells, platelets, monocytes, dendritic cells and follicular dendritic cells. The prion protein (PrP) is involved in neurodegeneration via its conversion from the normal cellular form, PrP C , to the infectious form, PrP Sc , which is the causative agent of the transmissible spongiform encephalopathies (TSEs) including Creutzfeldt-Jakob disease (CJD). Conformational change of the normal (cellular) form of prion protein (PrP c ) to a pathological, disease-associated form (PrP TSE ) is considered central to pathogenesis and formation of the infectious agent or prion. The PrP TSE features a predominantly β-pleated structure, whereas PrP C is α-helix dominant PrP TSE can be distinguished from PrP C by its resistance to protease treatment, although a protease-sensitive (PrP Sen ) but disease-associated transitional form has also been described.Possible functions comprise roles in neurogenesis and differentiation of neural stem cells, neuritogenesis, involvement and interaction with signal transduction pathways, synaptogenesis, neuronal survival via anti- or pro-apoptotic functions, copper binding, redox homeostasis, long-term renewal of hemopoietic stem cells, activation and development of Tcells, differentiation and modulation of phagocytosis of leukocytes, and altering leukocyte recruitment to sites of inflammation. Abstract - Bio – 02 Translation Anusha and Ramya Chowdary Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Translation is the process in which cellular ribosomes create proteins. It is part of the process of gene expression. In translation, messenger RNA (mRNA) produced by transcription is decoded by a ribosome complex to produce a specific amino acid chain, or polypeptide, that will later fold into an active protein. n bacteria, translation occurs in the cell's cytoplasm, where the large and small subunits of the ribosome are located, and bind to the mRNA. In eukaryotes, translation occurs across the membrane of the endoplasmic reticulum in a process called vectorial synthesis. In bacteria, translation happens in the cell cytoplasm as they have no nucleus. The ribosome facilitates decoding by inducing the binding of tRNAs with complementary anticodon sequences to that of the mRNA. The tRNAs carry specific amino acids that are chained together into a polypeptide as the mRNA passes through and is "read" by the ribosome. Translation proceeds in four phases: initiation, elongation, translocation and termination (all describing the growth of the amino acid chain, or polypeptide that is the product of translation). Amino acids are brought to ribosomes and assembled into proteins. In activation, the correct amino acid is covalently bonded to the correct transfer RNA (tRNA). The amino acid is joined by its carboxyl group to the 3' OH of the tRNA by an ester bond. When the tRNA has an amino acid linked to it, it is termed "charged". Initiation involves the small subunit of the ribosome binding to the 5' end of mRNA with the help of initiation factors (IF). Termination of the polypeptide happens when the A site of the ribosome faces a stop codon (UAA, UAG, or UGA). No tRNA can recognize or bind to this codon. Instead, the stop codon induces the binding of a release factor protein that prompts the disassembly of the entire ribosome/mRNA complex. In many instances, the entire ribosome/mRNA complex binds to the outer membrane of the rough endoplasmic reticulum and releases the nascent protein polypeptide inside for later vesicle transport and secretion outside of the cell. Many types of transcribed RNA, such as transfer RNA, ribosomal RNA, and small nuclear RNA, do not undergo translation into proteins. A number of antibiotics act by inhibiting translation; these include anisomycin, cycloheximide, chloramphenicol, tetracycline, streptomycin, erythromycin, and puromycin, among others. Prokaryotic ribosomes have a different structure from that of eukaryotic ribosomes, and thus antibiotics can specifically target bacterial infections without any detriment to a eukaryotic host's cells. th th Abstract - Bio – 03 Isoenzymes In Myocardial Infarction Sabarani Chakrabaty and Bidisa Shaw Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Serial monitoring of the serum isoenzyme patterns of creatine phosphokinase (CPK) and lactate dehydrogenase (LDH) in patients suspected of acute myocardial infarction has become a highly sensitive and specific diagnostic method at present. The predictable evolution of isoenzyme patterns following infarction permits diagnosis and recognition of early stages, recovery stages and extension of infarction in the individual. Usual therapeutic and resuscitative manipulations do not interfere with evaluation of patients with angina or following cardiopulmonary arrest without infarction. Despite significant elevations of serum enzyme levels following general and cardiac operative procedures, the occurrence of myocardial necrosis in the surgical population can be recognized by detection of the specific CPK-MB isoenzyme. Myocardial infarction results in death of myocardial cells served by the effected artery after about 30 minutes of anoxia. The acute inflammatory response, as a consequence of cell death, results in fever, leukocytosis, and increased concentrations of acute phase reactant proteins in the circulation (determined in the clinical laboratory most commonly by the ESR but better by measurement of C-reactive protein). An earlier and more specific consequence of myocardial death is the liberation of intracellular contents and their appearance in the circulation several hours later following diffusion through the interstitium into patent vessels and lymph ducts. Intracellular markers, routinely determined by laboratory testing, are certain enzymes present at high activity in the tissue. The enzymes routinely measured in the clinical laboratory for the purpose of diagnosing and monitoring myocardial infarction include creatine kinase (CK), aspartate amino transferase (sGOT or AST), and lactate dehydrogenase (LDH). These enzymes are present in sufficiently high content in myocardial tissue so that the death of a relatively small amount of tissue results in a substantial increase in measured enzyme activity in serum.Plasma and serum enzyme-activity alterations have proved useful as laboratory parameters in the diagnosis of myocardial disease.Among the enzymes employed to reflect myocardial necrosis are aldolase, glutamic oxalacetic transaminase, lactic dehydrogenase and malic dehydrogenase. Although the quantitative and serial changes in blood enzymes observed in myocardial infarction are characteristic, they are not specific in that other states such as those of liver, biliary and pancreatic tract and skeletal muscle may result in similar changes. In addition, the administration of drugs such as chlorpromazine, promazine, bishydroxycoumarin, pyrazinamide and opiates may result in elevations of serum enzymes similar to those observed . Abstract - Bio - 04 Mutations Ruchita Arora and Sonam Gupta Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 In genetics, a mutation is a change of the nucleotide sequence of the genome of an organism, virus, or extra chromosomal genetic element. Mutations result from unrepaired damage to DNA or to RNA genomes (typically caused by radiation or chemical mutagens), errors in the process of replication, or from the insertion or deletion of segments of DNA by mobile genetic elements. Mutations may or may not produce discernible changes in the observable characteristic of an organism. Mutations play a part in both normal and abnormal biological processes including: evolution, cancer, and the development of the immune system. Mutation can result in several different types of change in sequences. Mutations in genes can either have no effect, alter the product of a gene, or prevent the gene from functioning properly or completely. Mutations can also occur in nongenic regions. Mutations can involve the duplicationf large sections of DNA, usually through genetic recombination. These duplications are a major source of raw material for evolving new genes, with tens to hundreds of genes duplicated in animal genomes every million years. Most genes belong to larger families of gene of shared ancestry. Novel genes are produced by several methods, commonly through the duplication and mutation of an ancestral gene, or by recombining parts of different genes to form new combinations with new functions. Here, domains act as modules, each with a particular and independent function, that can be mixed together to produce genes encoding new proteins with novel properties. For example, the human eye uses four genes to make structures that sense light: three for color vision and one for night vision; all four arose from a single ancestral gene. Another advantage of duplicating a gene (or even an entire genome) is that this increases redundancy; this allows one gene in the pair to acquire a new function while the other copy performs the original function. Abstract - Bio - 05 Alzheimers Disease NeethuPrem and Randhya Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Alzheimer's disease is a neurological disorder in which the death of brain cells causes memory loss, confusion, hallucinations and cognitive decline. A neurodegenerative type of dementia, the disease starts mild and gets progressively worse, as it has no cure. Most often, AD is diagnosed in people over 65 years of age, although the less-prevalent early-onset Alzheimer's can occur much earlier. In 2006, there were 26.6 million people worldwide with AD. Alzheimer's is predicted to affect 1 in 85 people globally by 2050.The accumulation of amyloids, namely βamyloid which is prone for self aggregation is believed to be the cause of the disease. The cause and progression of Alzheimer's disease are not well understood. Research indicates that the disease is associated with plaques and tangles in the brain. Current treatments only help with the symptoms of the disease. There are no available treatments that stop or reverse the progression of the disease. As of 2012, more than 1,000 clinical trials have been or are being conducted to test various compounds in AD. Mental stimulation, exercise, and a balanced diet have been suggested as ways to delay cognitive symptoms (though not brain pathology) in healthy older individuals, but there is no conclusive evidence supporting an effect. Abstract - Bio - 06 Hybridoma Technology Shruthi Somasundaran and Prerana Kalita Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Hybridoma technology is a technology of forming hybrid cell lines (called hybridomas) by fusing a specific antibody-producing B cell with a myeloma (B cell cancer) cell that is selected for its ability to grow in tissue culture and for an absence of antibody chain synthesis. The antibodies produced by the hybridoma are all of a single specificity and are therefore monoclonal antibodies (in contrast to polyclonal antibodies). The production of monoclonal antibodies was invented by César Milstein and Georges J. F. Köhler in 1975. They shared the Nobel Prize of 1984 for Medicine and Physiology with Niels Kaj Jerne, who made other contributions to immunology. The term hybridoma was coined by Leonard Herzenberg during his sabbatical in César Milstein's laboratory in 1976/1977. Laboratory animals (mammals, e.g. mice) are first exposed to an antigen against which we are interested in isolating an antibody. Usually this is done by a series of injections of the antigen in question, over the course of several weeks. These injections are typically followed by the use of in vivo electroporation, which significantly enhances the immune response. Once splenocytes are isolated from the mammal's spleen, the B cells are fused with immortalized myeloma cells. The fusion of the B cells with myeloma cells can be done using electro fusion. Electrofusion causes the B cells and Myeloma cells to align and fuse with the application of an electric field. The myeloma cells are selected beforehand to ensure they are not secreting antibody themselves and that they lack the hypoxanthine-guanine phosphoribosyltransferase (HGPRT) gene, making them sensitive to the HAT mFused cells are incubated in HAT medium (hypoxanthine-aminopterin-thymidine medium) for roughly 10 to 14 days. Aminopterin blocks the pathway that allows for nucleotide synthesis. Hence, unfused myeloma cells die, as they cannot produce nucleotides by the de novo or salvage pathways because they lack HGPRT. Removal of the unfused myeloma cells is necessary because they have the potential to outgrow other cells, especially weakly established hybridomas. Unfused B cells die as they have a short life span. In this way, only the B cell-myeloma hybrids survive, since the HGPRT gene coming from the B cells is functional. These cells produce antibodies (a property of B cells) and are immortal (a property of myeloma cells). The incubated medium is then diluted into multi-well plates to such an extent that each well contains only one cell. th th Abstract - Bio - 07 Natural Antioxidants Sithi Rasmiya Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 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. When the chain reaction occurs in a cell, it can cause 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. 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. "Antioxidant" is the collective name for the vitamins, minerals, carotenoids, and polyphenols that protect the body from harmful free radicals. 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. Free radicals are highly unstable molecules that are naturally formed when you exercise and when your body converts food into energy. Free radicals can cause "oxidative stress," a process that can trigger cell damage.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. Abstract - Bio – 08 Diabetic Cataract S.Subatra and Beulah Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Cataract in diabetic patients is a major cause of blindness in developed and developing countries. The pathogenesis of diabetic cataract development is still not fully understood. Recent basic research studies have emphasized the role of the polyol pathway in the initiation of the disease process. This paper provides an overview of the pathogenesis of diabetic cataract, clinical studies investigating the association between diabetes and cataract development, and Worldwide more than 285 million people are affected by diabetes mellitus. This number is expected to increase to 439 million by 2030 according to the International Diabetes Federation. A frequent complication of both type 1 and type 2 diabetes is diabetic retinopathy, which is considered the fifth most common cause of legal blindness in the United States. In 95% of type 1 diabetics and 60% of type 2 diabetics with disease duration longer than 20 years, signs of diabetic retinopathy occur. More severe cases of proliferative diabetic retinopathy are seen in patients suffering from type 1 diabetes. Tight control of hyperglycaemia, blood lipids, and blood pressure has been shown to be beneficial to prevent its development or progress.Cataract is considered a major cause of visual impairment in diabetic patients as the incidence and progression of cataract is elevated in patients with diabetes mellitus . The association between diabetes and cataract formation has been shown in clinical epidemiological and basic research studies. Due to increasing numbers of type 1 and type 2 diabetics worldwide, the incidence of diabetic cataracts steadily rises. Even though cataract surgery, the most common surgical ophthalmic procedure worldwide, is an effective cure, the elucidation of patho mechanisms to delay or prevent the development of cataract in diabetic patients remains a challenge. Furthermore, patients with diabetes mellitus have higher complication rates from cataract surgery. Both diabetes and cataract pose an enormous health and economic burden, particularly in developing countries, where diabetes treatment is insufficient and cataract surgery often in accessible. Abstract - Bio – 09 Collagen S.Lavanya and Ishwarya Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Collagen is the main structural protein of the various connective tissues in animals. As the main component of connective tissue, it is the most abundant protein in mammals, making up from 25% to 35% of the whole-body protein content. Collagen, in the form of elongated fibrils, is mostly found in fibrous tissues such as tendons, ligaments and skin, and is also abundant in corneas, cartilage, bones, blood vessels, the gut, and intervertebral discs. The fibroblast is the most common cell which creates collagen. In muscle tissue, it serves as a major component of the endomysium. Collagen constitutes one to two percent of muscle tissue, and accounts for 6% of the weight of strong, tendinous muscles. Collagen is a part of the connective tissue that in the skin helps in firmness, suppleness and constant renewal of skin cells. Collagen is vital for skin elasticity. Collagen is a protein made up of amino-acids, which are in turn built of carbon, oxygen and hydrogen. Collagen contains specific amino acids – Glycine, Proline, Hydroxyproline and Arginine. These are tough and strong structures found all over the body: in bones, tendons and ligamentsIn nature, collagen is found exclusively in animals, especially in the flesh and connective tissues of mammals. These are used widely for reconstruction of bone and a wide variety of dental, orthopedic and surgical purposes. Gelatin, which is used in food and industry, is collagen that has been irreversibly hydrolyzed. 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. The diseases like Osteogenesis imperfecta – Caused by a mutation in type 1 collagen, Chondrodysplasias – Skeletal disorder believed to be caused by a mutation in type 2 collagen, further research is being conducted to confirm this, Ehlers-Danlos Syndrome – Ten different types of this disorder which lead to deformities in connective tissue, some types can be lethal that lead to the rupture of arteries, each syndrome is caused by a different mutation, for example type four of this disorder is caused by a mutation in collagen type 3, Alport syndrome – Can be passed on genetically, usually as X-linked dominant, but also as both an autosomal dominant and autosomal recessive disorder, sufferers have problems with their kidneys and eyes, loss of hearing can also develop in during the childhood or adolescent years, Osteoporosis -brought on with age, associated with reduced levels of collagen in the skin and bones and Knobloch syndrome – Caused by a mutation in the collagen XVIII gene. Collagen has a wide variety of applications, from food to medical. th th Abstract –Bio 10 Insulin Resistance Salome Anbudaiyan and Sharmila Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Insulin resistance (IR) is a physiological condition in which cells fail to respond to the normal actions of the hormone insulin. The body produces insulin, but the cells in the body become resistant to insulin and are unable to use it as effectively, leading to hyperglycemia. Beta cells in the pancreas subsequently increase their production of insulin, further contributing to hyperinsulinemia. This often remains undetected and can contribute to a diagnosis of Type 2 Diabetes. One of insulin's functions is to regulate delivery of glucose into cells to provide them with energy. Insulin resistant cells cannot take in glucose, amino acids and fatty acids. Thus, glucose, fatty acids and amino acids 'leak' out of the cells. A decrease in insulin/glucagon ratio inhibits glycolysis which in turn decreases energy production. The resulting increase in blood glucose may raise levels outside the normal range and cause adverse health effects, depending on dietary conditions. Certain cell types such as fat and muscle cells require insulin to absorb glucose. When these cells fail to respond adequately to circulating insulin, blood glucose levels rise. The liver helps regulate glucose levels by reducing its secretion of glucose in the presence of insulin. This normal reduction in the liver's glucose production may not occur in people with insulin resistance. Insulin resistance in muscle and fat cells reduces glucose uptake (and also local storage of glucose as glycogen and triglycerides, respectively), whereas insulin resistance in liver cells results in reduced glycogen synthesis and storage and also a failure to suppress glucose production and release into the blood. Insulin resistance normally refers to reduced glucose-lowering effects of insulin. However, other functions of insulin can also be affected. For example, insulin resistance in fat cells reduces the normal effects of insulin on lipids and results in reduced uptake of circulating lipids and increased hydrolysis of stored triglycerides. Increased mobilization of stored lipids in these cells elevates free fatty acids in the blood plasma. Elevated blood fatty-acid concentrations (associated with insulin resistance and diabetes mellitus Type 2), reduced muscle glucose uptake, and increased liver glucose production all contribute to elevated blood glucose levels. High plasma levels of insulin and glucose due to insulin resistance are a major component of the metabolic syndrome. If insulin resistance exists, more insulin needs to be secreted by the pancreas. If this compensatory increase does not occur, blood glucose concentrations increase and type 2 diabetes occurs. th th Abstract - Bio - 11 Ageing Surender and Balaji Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Ageing is the accumulation of changes in a person over time. Ageing in humans refers to a multidimensional process of physical, psychological, and social change. Some dimensions of ageing grow and expand over time, while others decline. Reaction time, for example, may slow with age, while knowledge of world events and wisdom may expand. Research shows that even late in life, potential exists for physical, mental, and social growth and development. Ageing is an important part of all human societies reflecting the biological changes that occur, but also reflecting cultural and societal conventions. Roughly 100,000 people worldwide die each day of age-related causes. Age is measured chronologically and a person's birthday is often an important event. However the term "ageing" is somewhat ambiguous. Distinctions may be made between "universal ageing" (age changes that all people share) and "probabilistic ageing" (age changes that may happen to some, but not all people as they grow older including diseases such as type two diabetes). Chronological ageing may also be distinguished from "social ageing" (cultural age-expectations of how people should act as they grow older) and "biological ageing" (an organism's physical state as it ages). There is also a distinction between "proximal ageing" (age-based effects that come about because of factors in the recent past) and "distal ageing" (agebased differences that can be traced back to a cause early in person's life, such as childhood poliomyelitis). Differences are sometimes made between populations of elderly people. Divisions are sometimes made between the young old (65–74), the middle old (75–84) and the oldest old (85+). However problematic this may be, chronological age does not correlate perfectly with functional age, i.e. two people may be of the same age, but differ in their mental and physical capacities. Each nation, government and non-government organisation has different ways of classifying age. Population ageing is the increase in the number and proportion of older people in society. Population ageing has three possible causes: migration, longer life expectancy (decreased death rate) and decreased birth rate. Ageing has a significant impact on society. Young people tend to commit most crimes, they are more likely to push for political and social change, to develop and adopt new technologies and to need education, the latter of which tend to lose political significance for people in the ageing process. Older people have different requirements from society and government as opposed to young people and frequently differing values as well, such as for property and pension rights. Proceedings of National B.D.S.Students seminar on Basic Medical Sciences Abstract - Bio - 012 Multiple Myeloma Moviya M and Hemalatha R Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Multiple myeloma is a plasma cell cancer , constitutes about 1% of all cancers affecting the populationIt usually occurs in the age group of 45-60 years. Multiple myeloma is due to the malignancy of a single clone of plasma cells in bone marrow, causing over production of abnormal immunoglobulins. As the production of normal immunoglobulins is reduced , it causes depressed immunity. Most cases of myeloma also feature the production of a paraprotein—an abnormal antibody which can cause kidney problems. Bone lesions and hypercalcemia (high blood calcium levels) are also often encountered. The underlying pathophysiologic phenomena of the clinical features include suppression of humoral- and cell-mediated immunity, elevation of IL-6, abnormalities of the bone marrow microenvironment, and increased osteoclastic activity. Overwhelming predictors of prognosis include albumin, β2-microglobulin, and chromosomal karyotype Myeloma is diagnosed with blood tests (serum protein electrophoresis, serum free kappa/lambda light chain assay), bone marrow examination, urine protein electrophoresis, and X-rays of commonly involved bones. The plasma of these patients shows a characteristic electrophoretic pattern with sharp and distinct band ( M band) between β and γ globulins.The patients release Bence jones proteins in the urine.These patients show symptoms of amyloidosis.Some symptoms of the multiple myeloma are bone pain, renal failure, recurring infections and anemia. Radiation therapy is sometimes used to reduce pain from bone lesions. With modern, intensive therapy including autologous hematopoietic stem cell transplantation, the median survival is approximately 5 yr. The disease is incurable and eventually relapses; requiring salvage therapy. It is treated with chemotherapy. A commonly used chemotherapy regimen is the Vincristine, Adriamycin, and Dexamethasone. Abstract - Bio - 13 Lipoprotein Metabolism Vignesh Gupta and Dinesh Prabhu Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 The handling of lipoproteins in the body is referred to as lipoprotein metabolism. It is divided into two pathways, exogenous and endogenous, depending in large part on whether the lipoproteins in question are composed chiefly of dietary (exogenous) lipids or whether they oEpithelial cells lining the small intestine readily absorb lipids from the diet. These lipids, including triglycerides, phospholipids, and cholesterol, are assembled with apolipoprotein B-48 into chylomicrons. These nascent chylomicrons are secreted from the intestinal epithelial cells into the lymphatic circulation in a process that depends heavily on apolipoprotein B-48. As they circulate through the lymphatic vessels, nascent chylomicrons bypass the liver circulation and are drained via the thoracic duct into the bloodstream.In the bloodstream, HDL particles donate apolipoprotein C-II and apolipoprotein E to the nascent chylomicron; the chylomicron is now considered mature. Via apolipoprotein C-II, mature chylomicrons activate lipoprotein lipase (LPL), an enzyme on endothelial cells lining the blood vessels. LPL catalyzes the hydrolysis of triacylglycerol (i.e. glycerol covalently joined to three fatty acids) that ultimately releases glycerol and fatty acids from the chylomicrons. Glycerol and fatty acids can then be absorbed in peripheral tissues, especially adipose and muscle, for energy and storage.The hydrolyzed chylomicrons are now considered chylomicron remnants. This interaction causes the endocytosis of the chylomicron remnants, which are subsequently hydrolyzed within lysosomes. Lysosomal hydrolysis releases glycerol and fatty acids into the cell, which can be used for energy or stored for later use.riginated in the liver (endogenous). As in chylomicron metabolism, the apolipoprotein C-II and apolipoprotein E of VLDL particles are acquired from HDL particles. Once loaded with apolipoproteins C-II and E, the nascent VLDL particle is considered mature.Again like chylomicrons, VLDL particles circulate and encounter LPL expressed on endothelial cells. Apolipoprotein C-II activates LPL, causing hydrolysis of the VLDL particle and the release of glycerol and fatty acids. receptor and apolipoprotein B-100 or E on the LDL particle. Abstract - Bio - 14 Insulin Inhalers Vuchoor Swathi and Satish S Saveetha Dental College & Hospitals, Saveetha University, Chennai – 600 077 Inhalable insulin was available from September 2006 to October 2007 in the United States as a new method of delivering insulin, a drug used in the treatment of diabetes, to the body. After the withdrawal of the only inhalable formulation, all currently available insulin formulations are administered by subcutaneous or intravenous injection. The first such product to be marketed was Exubera, a powdered form of recombinant human insulin, delivered through an inhaler into the lungs where it is absorbed. Once it has been absorbed, it begins working within the body over the next few hours. Type 1 diabetics still need to take a longer acting basal insulin by injection. A systematic review concluded that inhaled insulin "appears to be as effective, but no better than injected short-acting insulin. The additional cost is so much more that it is unlikely to be costeffective. In October 2007, Pfizer announced that it would be discontinuing the production and sale of Exubera due to poor sales. Several other companies are developing inhaled forms of the drug to reduce the need for daily injections among diabetics. Diabetes sufferers may soon be able to inhale life-saving drugs rather than having to give themselves several daily injections, according to research published today. An American study of a new inhaler device for insulin found that it worked as well as the traditional method of injections.The findings could offer hope to diabetes sufferers who have to go through the discomfort and inconvenience of two or three daily jabs to maintain their blood glucose levels. Around 1.4 million people in the UK are diagnosed with diabetes. An estimated million more have the condition but are not aware of it.Half a million diabetics have to give themselves daily injections of insulin to maintain their glucose levels every day.Diabetes sufferers cannot convert the glucose in their blood into energy because the hormone insulin is either not produced or does not work properly.Sufferers say the gruelling regime affects their everyday life, social relations and even their own selfimage.Insulin inhalers have been tried from as early as 1925, but the devices have not been effective enough in getting the insulin into the body's system. Abstract – Micro - 01 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF MICROBIOLOGY ORAL PRESENTATION Microbial Ecology In The Root Canal Soh Chen Loong Saveetha dental college and Hospitals, Saveetha University, Chennai -77 Understanding of microbial ecology of the pulp-dentine complex is important because it provides a rational basis for disease prevention and treatment. Endodontic microorganisms can be acquired via traumatic damage, failing pulpal restorations, the apical foramen and a multitude of dentinal tubules and accessory/lateral canals. Survival within the endodontium is determined by the microenvironment; for example, Eh, pH, absence of sugars, other microbes and host defences. Compared with other sites in the mouth, the endodontium is a highly selective environment so that the flora differs from that seen in other sites in the oral cavity. Very little is known presently of effects of localised endodontic microenvironments on specific species. The endodontic flora affects other environments such as the periodontium and leads to periapical and more far-reaching infection. Treatment is designed to render the root canal and surrounding dentine less hospitable to infecting microorganisms. Some species are closely associated with endodontic infection, e.g. Mitsuokella dentalis, P. endodontalis, P. nigrescens. However these particular species are not always present by any means. Other bacteria have been associated with endodontic disease features, including P. melaninogenica and Peptostreptococcus micros with pain and swelling. In refractory cases, other species may achieve importance in the altered environment of the treated dental root canal; the facultative and highly chemically resistant bacterium Enterococcus faecalis is one such microorganism. Fundamental to our understanding of oral microbial disease is the important role of microbial ecology within the oral cavity. The relevance to clinical disease of endodontic microbial ecology is clear. 'The principles of endodontic treatment require the control of microorganisms and potential nutrients by the microbial decontamination of teeth...and the sealing of dentine to prevent recolonisation'. This review examines the endodontic environment from the point of view of factors affecting microbiota as well as the effect of microorganisms on the host. th th Abstract – Micro – 02 Antibiotic Policy S. Peer Mohammad Saveetha dental college and Hospitals, Saveetha University, Chennai -77 Antibiotic policy is a key issue for both better care of patients and combating antimicrobial resistance. Antibiotic use is complex and requires coordination of the activities of health care authorities, institutions and individual practioners. Furthermore, on a community basis it involves restriction of non-human usage of antibiotics, awareness of society about both the useful and harmful effects of antibiotics and on a national basis, participation of governmental and non-governmental organizations. Institutional, regional, national and global aspects of antibiotic policies should be considered. Antibiotic policies should be established in each country. They should consider both hospital and primary care settings as well as veterinary and agriculture use. Guidelines should be widely discussed through professional meetings of multidisciplinary groups, involving clinicians, microbiologists and pharmacologists/pharmacists. Some important issues to be included are : - Existing laws should be enforced to prevent nonprescription over the counter (OTC) sale of antibiotics - A national antimicrobial resistance surveillance system should be established and co-ordinated with international surveillance systems - A national control of infections programme should be implemented - Educational programs should be elaborated: - for health care practitioners including veterinarians, junior doctors, nurses, medical students - for the wider audience (antibiotic consumers) - Collaboration should be established with appropriate International organizations like WHO, APUA, the Medical Council of the European Commission (EC), ESGAP and harmaceutical companies. An effective antibiotic policy also provides and ensures education on the use of antibiotics at undergraduate and postgraduate level for medical and nursing staff. The educational programme should teach how to critically evaluate and assess new drugs and provide education on the use and miss-use of antibiotics to hospital staff and practising physicians. This will reduce inappropriate prescribing. The programme will instruct in correct dosage, route and frequency from the point of view of cost effectiveness, and provide information to prescribers on the impact of their decisions on both economics and bacterial ecology. Abstract – Micro - 03 Adhesins Yasodhan Saveetha dental college and Hospitals, Saveetha University, Chennai -77 Adhesins are cell-surface components or appendages of bacteria that facilitate adhesion or adherence to other cells or to surfaces. Adhesins are a type of virulence factor. The majority of bacterial pathogens exploit specific adhesion to host cells as their main virulence factor. "A large number of bacterial adhesins with individual receptor specificities have been identified." Many bacterial pathogens are able to express an array of different adhesins. Expression of these adhesins at different phases during infection play the most important role in adhesion based virulence. Numerous studies have shown that inhibiting a single adhesin in this coordinated effort can often be enough to make a pathogenic bacterium non-virulent. This has led to the exploration of adhesin activity interruption as a method of bacterial infection treatment. Bacteria are typically found attached to and living in close association with surfaces. During the bacterial lifespan, a bacterium is subjected to frequent shear-forces. In the crudest sense, bacterial adhesins serve as anchors allowing bacteria to overcome these environmental shear forces, thus remaining in their desired environment. They act as specific surface recognition molecules, allowing the targeting of a particular bacterium to a particular surface such as root tissue in plants, lacrimal duct tissues in mammals, or even tooth enamel. Most fimbria of gram-negative bacteria function as adhesins, but in many cases it is a minor subunit protein at the tip of the fimbriae that is the actual adhesin. In gram-positive bacteria, a protein or polysaccharide surface layer serves as the specific adhesin. To effectively achieve adherence to host surfaces, many bacteria produce multiple adherence factors called adhesins. Bacterial adhesins provide species and tissue tropism. Adhesins are expressed by both pathogenic bacteria and saprophytic bacteria. This prevalence marks them as key microbial virulence factors in addition to a bacterium's ability to produce toxins and resist the immune defenses of the host. Abstract – Micro - 04 Mitochondrial Dna- A Surprise Arun kumar.A Saveetha dental college and hospitals, saveetha university, Chennai – 77 Mitochondria are sub cellular organelles that are found in the cytoplasm of the eukaryote cells and their principal function is the production of cellular energy. Mitochondria provide about 90 percent of the energy that cells-and thus tissues, organs and the body as a whole-need to function. They convert the energy from food into a form that cells can use, and are hence referred to as the "powerhouses". Mitochondria produce energy through a process called oxidative phosphorylation. This process uses oxygen and simple sugars to create adenosine triphosphate (ATP), the cell's main energy source. Each cell contains hundreds to thousands of mitochondria. One of the particularities of these organelles is that they have a genetic system of their own with all the machinery necessary for their expression; that is, to replicate, transcribe and translate the genetic information they contain. This genetic material is known as mitochondrial DNA or mtDNA Mitochondrial genome consist of a single circular molecule of DNA that resembles that of bacteria not that of the nuclear genome.Mitochondria have striking similarities to bacteria cells. This fact can be explained by endosymbiotic theory. The endosymbiosis theory postulates that the mitochondria of eukaryotes were evolved from aerobic bacteria living within their host cell . Symbiosis occurs when two different species benefit from living and working together. When one organism actually lives inside the other it's called endosymbiosis. The endosymbiotic theory describes how a large host cell and ingested bacteria could easily become dependent on one another for survival, resulting in a permanent relationship. Over millions of years of evolution, mitochondria have become more specialized and today they cannot live outside the cell A double membrane that surrounds mitochondria further provides evidence that they were ingested by a primitive host. The organelles also reproduce like bacteria, replicating their own DNA and directing their own division. Mitochondrial metabolism is a critical component in the functioning and maintenance of cellular organs. The presence of mitochondrial DNA (mtDNA) is responsible for the encoding of proteins required for oxidative phosphorylation. Mitochondrial DNA (mtDNA) variations have been implicated in a broad spectrum of disease.Mitochondrial disorders may be caused by mutations, acquired or inherited, in mitochondrial DNA (mtDNA) or in nuclear genes that code for mitochondrial component. Abstract – Micro – 05 Prions Murali Karthik Saveetha dental college and Hospitals, Saveetha University, Chennai -77 Prions are unprecedented infectious patho- gens that cause a group of invariably fatal neurodegenerative diseases by an entirely novel mechanism. Prion diseases may present as genetic, infectious, or sporadic disorders, all of which involve modification of the prion protein (PrP). Bovine spongiform encephalopathy (BSE), scrapie of sheep, and Creutzfeldt–Jakob disease (CJD) of humans are among the most notable prion diseases. Prions are transmissible parti- cles that are devoid of nucleic acid and seem to be composed exclusively of a modified protein (PrPSc). The normal, cellular PrP (PrPC) is converted into PrPSc through a posttranslational process during which it acquires a high sheet content. The species of a particular prion is encoded by the sequence of the chromosomal PrP gene of the mammals in which it last replicated. In contrast to pathogens carrying a nucleic acid genome, prions appear to encipher strain-specific properties in the tertiary structure of PrPSc. While knowledge about prions has profound implications for studies of the structural plasticity of proteins, investigations of prion diseases suggest that new strategies for the prevention and treatment of these disorders may also find application in the more common degenerative diseases. Transmissible spongiform encephalopathies (TSEs) are inevitably lethal neurodegenerative diseases that affect humans and a large variety of animals. The infectious agent responsible for TSEs is the prion, an abnormally folded and aggregated protein that propagates itself by imposing its conformation onto the cellular prion protein (PrPC) of the host. PrPC is necessary for prion replication and for prioninduced neurodegeneration, yet the proximal causes of neuronal injury and death are still poorly understood. Prion diseases such as Creutzfeldt–Jakob disease (CJD) are incurable and rapidly fatal neurodegenerative diseases. Because prion protein (PrP) is necessary for prion replication but dispensable for the host, we developed the PrP–FRET-enabled high throughput assay (PrP– FEHTA) to screen for compounds that decrease PrP expression. The prion-degrading reagents identified in this study are readily available, inexpensive, non-corrosive to instruments, nonhazardous to staff and compatible with current equipment and procedures used in hospital sterilization units. th th Abstract – Micro - 06 Resurgence Of Chikungunya Mohammed Junaid Saveetha dental college and Hospitals, Saveetha University, Chennai -77 Chikungunya virus (CHIKV) is an arthropod-borne virus, of the genus Alphavirus, that is transmitted to humans by virus-carrying Aedes mosquitoes. There have been recent breakouts of CHIKV associated with severe illness. CHIKV infection causes an illness with a similar mode of transmission as dengue fever, with an acute febrile phase lasting two to five days, followed by a longer period of joint pains in the extremities. The pain associated with CHIKV infection of the joints may persist for weeks or months, or in some cases years. Prevention is via mosquito control and preventing bite by infected mosquitoes. There is no specific treatment with medications used to help with symptoms. Chikungunya is a specifically tropical disease. It is relatively uncommon and poorly documented. The high morbidity and loss in daily activity associated with CHIKV infection results in considerable economic loss among the affected nations, specifically in India. The incubation period of chikungunya disease ranges from one to twelve days, usually two to three. Its symptoms include a fever up to 40 °C (104 °F), a petechial or maculopapular rash of the trunk and occasionally the limbs, and arthralgia or arthritis affecting multiple joints. Other nonspecific symptoms can include headache, nausea, vomitting, conjunctivitis, slight photophobia and partial loss of taste .Ocular inflammation from Chikungunya may present as iridocyclitis, and have retinal lesions as well. Pedal oedema (swelling of legs) is observed in many patients, the cause of which remains obscure as it is not related to any cardiovascular, renal or hepatic abnormalities. Typically, the fever lasts for two days and then ends abruptlyPatients have complained of joint pains for much longer time periods; some as long as two years, depending on their age. Recovery from the disease varies by age. The severity of the disease as well as its duration is less in younger patients and pregnant women. Chikungunya fever though expected to be related to monsoon and post monsoon seasons is showing its presence throughout the year and involves all age groups.It is also conceivable that chikungunya virus never disappeared entirely from the Indian subcontinent, and that the current outbreak is because of a simple resurgence. Abstract – Micro - 07 Battle Against HIV Anju sara oomen Saveetha dental college and hospitals, saveetha University, Chennai –77 The human immunodeficiency virus (HIV) is a lentivirus (slowly replicating retrovirus) that causes the acquired immunodeficiency syndrome (AIDS), a condition in humans in which progressive failure of the immune system allows life-threatening opportunistic infections and cancers to thrive. Infection with HIV occurs by the transfer of blood, semen, vaginal fluid, preejaculate, or breast milk. Within these bodily fluids, HIV is present as both free virus particles and virus within infected immune cells. HIV infects vital cells in the human immune system such as helper T cells (specifically CD4+ T cells), macrophages, and dendritic cells. HIV infection leads to low levels of CD4+ T cells through a number of mechanisms including: apoptosis of uninfected bystander cells, direct viral killing of infected cells, and killing of infected CD4+ T cells by CD8 cytotoxic lymphocytes that recognize infected cells. When CD4+ T cell numbers decline below a critical level, cell-mediated immunity is lost, and the body becomes progressively more susceptible to opportunistic infections. There has been great success on the HIV/AIDS battlefront. Where deaths were once so commonplace that a diagnosis had victims making funeral arrangements and getting their wills in order, the emergence of effective anti-retroviral drugs has made HIV infection a treatable chronic disease. The prevalence of HIV was strongly over-estimated for a long time because of inadequate national epidemiological systems. Improved data led to a sharp downward revision of the extent of the pandemic in 2007. The estimated prevalence of HIV was reduced by 33 per cent globally and 36 per cent for sub-Saharan Africa. The improvement of national surveillance systems in Africa primarily took the form of investment in population studies as a supplement to data from pregnant women attending antenatal clinics. The data were also improved in countries where HIV is concentrated in particular risk groups. HIV prevalence trends amongst young people provide a good indication of trends in incidence (rate of new infections) in epidemics that are generalised, and more reliable prevalence data permit more reliable estimation of incidence. th th Abstract – Micro - 08 Infection Control Systems In Hospital B.Tamil selvi Saveetha dental college and hospitals, Saveetha University, Chennai – 77 Children and young people can be at a higher risk of getting an infection when they are ill. The body has natural defence mechanisms to fight off infections, but these may be affected for a variety of reasons when someone is ill. For example, when a child has an operation, the surgical wound means that the natural skin barrier is broken, which could allow bacteria (germs) to enter the body. Bacteria and viruses (germs) may come from other patients, staff, visitors (including siblings), equipment or the environment. Nosocomial infections—known also as hospitalacquired infections, hospital-associated infections, and hospital infections—are infections that are not present in the patient at the time of admission to hospital but develop during the course of the stay in hospital.Healthy people are naturally contaminated. Faeces contain about 1013 bacteria per gram, and the number of microorganisms on skin varies between 100 and 10000 per cm2. Many species of microorganisms live on mucous membranes where they form a normal flora. None of these tissues, however, is infected. Microorganisms that penetrate the skin or the mucous membrane barrier reach subcutaneous tissue, muscles, bones, and body cavities (e.g. peritoneal cavity, pleural cavity, bladder), which are normally sterile (i.e. contain no detectable organisms). If a general or local reaction to this contamination develops, with clinical symptoms, there is an infection.Early detection of new or novel variants of nosocomial pathogens is a public health priority. We apply recently developed mathematical models to patient admission data from the national healthcare systems of England and The Netherlands. Relatively short detection times are achieved once 10-20% hospitals are recruited as sentinels and only modest reductions are seen as more hospitals are recruited thereafter. Using a heuristic optimisation approach to sentinel selection, the same expected time to detection can be achieved by recruiting approximately half as many hospitals. Our study provides a robust evidence base to underpin the design of an efficient sentinel hospital surveillance system for novel nosocomial pathogens, delivering early detection times for reduced expenditure and effort. The results indicate negligence in various aspects of infection control. Providing staff education and training programs, establishing effective surveillance systems, and enforcing regulations in the hospitals should help improve infection prevention Abstract – Micro - 01 Bacteremia M.Meenakshi, S.S.Indira Saveetha dental college and hospitals, Saveetha University, Chennai -77 Bacteremia is a life threatening issue. It means the bacteria has invaded the blood stream. Though bacteremia is a frequent issue most of them are transient and indetectable. Bacteremia can occur while brushing the teeth or while defecation. Bacteremia can occur through tooth extraction, tonsilectomy, through surgery, from septic focci externally or internally, by the invasive bacteria like salmonella. catheter-related bloodstream infections, intra-abdominal infections, pneumonia, pyelonephritis and skin and soft-tissue infections. In any study the gram negative bacteria dominates in any population.It is a cause of concern that the organisms isolated are showing drug resistance. Presence of MDR, ESBL, metalobacteria,VRE, HA- MRSA, CAMRSA are inceasing the case fatallity rate.Prompt diagnosis and treating the patients with the sensitive drug is very important. Many cases of bacteremia are diagnosed at the end stage of the illness. Prompt antibiotic therapy usually succeeds in clearing bacteria from the bloodstream but the recurrence is a common issue that araises from the untreated septic foci internally.Though the bacteremia is detected by the BACTEC and other methods the treatment is dependent on the antibiogram pattern of the bacteria isolated. Conditions which increase the chances of developing bacteremia include immune suppression, either due to HIV infection or drug therapy, antibiotic therapy which changes the balance of bacterial types in the body, prolonged or severe illness, alcoholism or other drug abuse, malnutrition, diseases or drug therapy that cause ulcers in the intestines. Acinetobacter baumannii (30 – 40 % ) is the most common among the non fermentors isoloted from the bacteremia cases.In many recent studies Acinetobacter baumannii dominates all the isolates from the ICU patients and inpatients with medical supportive devices especially in old age or in imunocompromised. Incidence of a Acinetobacter baumannii can be controlled by strict aseptic procedure, good sanitary control and a controlled antibiotic policy. International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF MICROBIOLOGY POSTER PRESENTATION Abstract – Micro - 02 Emerging Pathogenic Virus Zulaika banu, Ratha Rachel Saveetha dental college and hospitals, Saveetha University, Chennai -77 Viruses are defined as the smallest infectious agent that do not have a cellular organization and have either RNA or DNA as their genetic element. Viruses are prone to genetic modification because of their host cell dependent replicative cycle. Genetic modifications at times shift their targat of attack within their natural host or can even target a newer host. Thus the newer virus emerges. The term became popular in 1990s, but emerging viruses are not new. Certain viruses are natural among non human host. The entry of such viruses in to the human population may establish themselve as a human pathogens. Existance of such viruses in a common pool may also lead to gene contamination and emergence of a new strain. Such modifications are common with influenza virus natural to human, swine and avian. Emerging viruses are Known to have existed for centuries with little incidence. Adaptation to new hosts and environments through variation and selection is one of the reason. The incidence of vaccines contaminated with animal or avian viruses has been documented in the past. The viruses which are natural to other species thus spread to the human population. Large scale changes in ecology due to global warming, deforestation or afforestation, building of dams or canals, changed agricultural practices, rearing of livestock or birds may also contribute to emergence of viral diseases. New viruses and virusrelated diseases have threatened the health of humans and many animal species. The viruses will behave differently when entered into different species. It is the slow onset of disease that can be particularly raisng query. The delayed onset of chronic debilitating diseases that could be associated with animal viruses finding their way into a new species, e.g., man, are much more challenging. The Ebola virus, Hunta virus or HIV can be mentioned as new. Viral haemorrhagic fever caused by Arena virus transmitted from rodents Frequent outcome of cross-species infection, but not of intraspecies infections often host is killed so quickly that there is little or no transmission to others . Alternatively, the new infected host cannot transmit the infection to others of the same species, Contribute little to the spread of a natural infection. An international network of databases of virus infections needs to be instituted Abstract – Micro - 03 Join Me To Make India Free From Hiv/ Aids – The Onus Is On Us Mary Elizabeth candy, Muthulakshmi Saveetha dental college and hospitals, Saveetha University, Chennai -77 Human immunodeficiency virus infection / acquired immunodeficiency syndrome(HIV/AIDS) is a disease of the human immune system caused by infection with human immunodeficiency virus (HIV). During the initial infection, a person may experience a brief period of influenza-like illness. This is typically followed by a prolonged period without symptoms. As the illness progresses, it interferes more and more with the immune system, making the person much more likely to get infections, including opportunistic infections and tumors that do not usually affect people who have working immune systems. HIV infection was identified in the early part of the decade. Since its discovery, AIDS has caused an estimated 36 million deaths . Approximately 35.3 million people are living with HIV globally.HIV/AIDS is considered a pandemic, a disease outbreak which is present over a large area and is actively spreading. HIV is transmitted by three main routes: sexual contact, exposure to infected body fluids or tissues and from mother to child during pregnancy, delivery, or breastfeeding (known as vertical transmission). There is no risk of acquiring HIV if exposed to feces, nasal secretions, saliva, sputum, sweat, tears, urine, or vomit unless these are contaminated with blood. It is possible to be co-infected by more than one strain of HIV a condition known as HIV super infection. HIV is common in the high risk group occurring at Blood transfusion. Consistent condom use reduces the risk of HIV transmission by approximately 80% over the long term. Programs encouraging sexual abstinence do not appear to affect subsequent HIV risk. Evidence for a benefit from peer education is equally poor. Comprehensive sexual education provided at school may decrease high risk behavior. A substantial minority of young people continues to engage in high-risk practices despite knowing about HIV/AIDS, underestimating their own risk of becoming infected with HIV. Universal precautions within the health care environment are believed to be effective in decreasing the risk of HIVWith respect to dietary advice and AIDS, some evidence has shown a benefit from micronutrient supplements.Evidence for supplementation with selenium is mixed with some tentative evidence of benefit. The WHO further states that several studies indicate that supplementation of vitamin A, zinc, and iron can produce adverse effects in HIV positive adults. There is not enough evidence to support the use of herbal medicines th th Abstract - Path - 01 Inflammation And Pulp Pathology Jameena Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Dental pulp is a connective tissue situated in a low-compliance environment represented by mineralized dentin. The pulp is considered together with the dentin as the pulpo-dentin complex due to anatomic, developmental, and functional relationships. The extracellular matrix is the major constituent of the connective tissue. This is composed of ground substance and fibrillar proteins such as collagen and elastin.Ground substance is mainly composed of macromolecules called proteoglycans and glycosami-noglycans. The main cells of the connective tissue are the fibroblasts. The pulp also contains odontoblasts (the highest differentiated cells), undifferentiated mesenchymal cells, and immunocompetent cells (lymphocytes, macrophages, dendritic cells). The inflammatory process in human dental pulp consists in vascular changes and migration of inflammatory cells to the site of inflammation. No mast cells are normally present in human dental pulp, but they are known as active cells in the inflammatory response. According to the studies of Miller, Sternberg, in 1978, mast cells are occasionally found in inflammed pulp, although degranulation cannot be observed histologically because these cells lose their characteristic features after degranulation. Vascular proliferation in the perinervous space of human dental pulp is an aspect that supplements the description of the angiogenesis model, and remains to be clarified. The presence of calcium carbonate and phosphate deposits in pulpal tissue is frequently observed, and it sometimes represents a major problem of the endodontic treatment. According to Weine, 1989, calcifications are found in both healthy and aging pulps, although their incidence increases with age. False denticles are formed when a degenerating tissue structure serves as a nidus for deposition of concentric layers of calcified tissue. Pulp degeneration - condition seen in older people where persistent and mild irritation to the pulp leads to generation of pulp. It may be induced by irritation, attrition of teeth. Necrosis of pulp is death of pulp which may be partial or complete. It may be either coagulative or liquefaction type of necrosis. th th 14 14 14 th th 14 th th & 15 th th & 15 & 15 & 15 October 2006 October 2006 October 2006 October 2006 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF PATHOLOGY ORAL PRESENTATION Abstract - Path - 02 Tuberculosis Dhanya .G Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Tuberculosis (TB), infectious disease that is caused by the tubercle bacillus, Mycobacterium tuberculosis. In most forms of the disease, the bacillus spreads slowly and widely in the lungs, causing the formation of hard nodules (tubercles) or large cheeselike masses that break down the respiratory tissues and form cavities in the lungs. Blood vessels also can be eroded by the advancing disease, causing the infected person to cough up bright red blood .Today, in lessdeveloped countries where population is dense and hygienic standards poor, tuberculosis remains a major fatal disease. The prevalence of the disease has increased in association with the HIV/AIDS epidemic; an estimated one out of every four deaths from tuberculosis involves an individual coinfected with HIV. In addition, the successful elimination of tuberculosis as a major threat to public health in the world has been complicated by the rise of new strains of the tubercle bacillus that are resistant to conventional antibiotics. Symptoms may include chest pain and a prolonged cough producing sputum. About 25% of people may not have any symptoms (i.e. they remain "asymptomatic"). Occasionally, people may cough up blood in small amounts, and in very rare cases, the infection may erode into the pulmonary artery, resulting in massive bleeding (Rasmussen's aneurysm). Tuberculosis may become a chronic illness and cause extensive scarring in the upper lobes of the lungs. The upper lung lobes are more frequently affected by tuberculosis than the lower ones. The reason for this difference is not entirely clear. It may be due either to better air flow, or to poor lymph drainage within the upper lungs. Treatment of TB uses antibiotics to kill the bacteria. Effective TB treatment is difficult, due to the unusual structure and chemical composition of the mycobacterial cell wall, which hinders the entry of drugs and makes many antibiotics ineffective. The two antibiotics most commonly used are isoniazid and rifampicin, and treatments can be prolonged, taking several months. Latent TB treatment usually employs a single antibiotic while active TB disease is best treated with combinations of several antibiotics to reduce the risk of the bacteria developing antibiotic resistance. People with latent infections are also treated to prevent them from progressing to active TB disease later in life. Directly observed therapy, i.e. having a health care provider watch the person take their medications, is recommended by the WHO in an effort to reduce the number of people not appropriately taking antibiotics. The evidence to support this practice over people simply taking their medications independently is poor. Proceedings of National B.D.S.Students seminar on Basic Medical Sciences th th Abstract - Path - 03 Recent Advances In Cancer Diagnosis Saurav panda Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Malignant transformation of cells into cancer arises due to long term accumulation of genetic and epigenetic events. Early diagnosis of these transformations in cells can improve the prognosis of cancer cases. Cancer screening and surveillance methods include ultrasound, mammography, digital mammography, magnetic resonance imaging, computed tomography, positron emission tomography and magnetic resonance spectroscopy. Other techniques such as immunohistochemistry, in situ hybridization (FISH, CSH), PCR, RTPCR (real time- PCR), flow cytometry and microarray are used nowadays for diagnosis. Microarray technology is a new and efficient approach to extract data of biomedical relevance for a wide range of applications. In cancer research, it will provide high-throughput and valuable insights into differences in an individual's tumor as compared with constitutional DNA, mRNA expression, and protein expression and activity. This review highlights the recent developments in cancer diagnostic technologies and describes the eventual use of these technologies for clinical and research applications. Tumor markers are biologic or biochemical substances produced by tumors and secreted into body fluids or present on body tissues in higher than normal amounts. Gold et al., isolated a glycoprotein molecule from specimens of human colonic cancer and thus discovered the first "tumor antigen", later identified as carcino-embryonic antigen (CEA). Today there are literally hundreds of tumor markers, although their clinical utility is under investigation. Tumor markers can be detected by various methods including antigen-antibody based techniques (ELISA – enzyme linked immunosorbant assay, radio-immunoassay, precipitin tests, flowcytometry, immunohistochemistry, immunoscintigraphy) and molecular genetic methods. Measurement of tumormarkers levels, when used along with other diagnostic tests, can be useful in the detection and diagnosis of some type of cancers. However, in most instances tumor marker levels alone are not sufficient to diagnose cancer for example, in patients with cirrhosis or viral hepatitis may have abnormal Alpha-Fetoprotein (AFP) values, although usually less than 500 ng per mL but pregnancy also associated with elevated AFP levels, particularly if the pregnancy is complicated by a spinalcord defect or other abnormality . No simple tests are yet available with sufficient sensitivity and specificity to detect the presence of a cancer. The field of tumor markers is ever expanding with many new candidate markers either in clinical use or under active evaluation. Abstract - Path - 04 Osteomyelitis Sindhu.P Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Osteomyelitis is a common infectious disease among elderly patients. Older adults are predisposed to osteomyelitis either because of an increased incidence of associated disorders that predispose to osteomyelitis e.g., peripheral vascular disease, diabetes mellitus, and poor dentition or because of surgical procedures that are frequently performed in the elderly population e.g., dental extractions, open-heart surgery, and prosthetic joint replacement. As with osteomyelitis in other age groups, osteomyelitis in the elderly population may also be considered in terms of acuteness of the infectious process acute osteomyelitis, subacute osteomyelitis, or chronic osteomyelitis. Osteomyelitis may be caused by a variety of microorganisms, but osteomyelitis in the elderly population is most often caused by pyogenic organisms. In general, microorganisms may infect bone through one or more of three basic methods: via the bloodstream, contiguously from local areas of infection (as in cellulitis), or penetrating trauma, including iatrogenic causes such as joint replacements or internal fixation of fractures or root-filled teeth. Once the bone is infected, leukocytes enter the infected area, and, in their attempt to engulf the infectious organisms, release enzymes that lyse the bone. Pus spreads into the bone's blood vessels, impairing their flow, and areas of devitalized infected bone, known as sequestra , form the basis of a chronic infection. Often, the body will try to create new bone around the area of necrosis. The resulting new bone is often called an involucrum. On histologic examination, these areas of necrotic bone are the basis for distinguishing between acute osteomyelitis and chronic osteomyelitis. Osteomyelitis is an infective process that encompasses all of the bone (osseous) components, including the bone marrow. When it is chronic, it can lead to bone sclerosis and deformity. Osteomyelitis often requires prolonged antibiotic therapy, with a course lasting a matter of weeks or months. A PICC line or central venous catheter is often placed for this purpose. Osteomyelitis also may require surgical debridement. Severe cases may lead to the loss of a limb. Initial first-line antibiotic choice is determined by the patient's history and regional differences in common infective organisms. A treatment lasting 42 days is practiced in a number of facilities. Local and sustained availability of drugs have proven to be more effective in achieving prophylactic and therapeutic outcomes. Hyperbaric oxygen therapy has been shown to be a useful adjunct to the treatment of refractory osteomyelitis. Open surgery is needed for chronic osteomyelitis, whereby the involucrum is opened and the sequestrum is removed or sometimes saucerization can be done. th th Abstract - Path - 05 Oral Manifestation Of Systemic Disease Sindhu . M Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Careful examination of the oral cavity may reveal findings indicative of an underlying systemic condition, and allow for early diagnosis and treatment. Examination should include evaluation for mucosal changes, periodontal inflammation and bleeding, and general condition of the teeth. Oral findings of anemia may include mucosal pallor, atrophic glossitis, and candidiasis. Oral ulceration may be found in patients with lupus erythematosus, pemphigus vulgaris, or Crohn disease. Additional oral manifestations of lupus erythematosus may include honeycomb plaques (silvery white, scarred plaques); raised keratotic plaques (verrucous lupus erythematosus); and nonspecific erythema, purpura, petechiae, and cheilitis. Additional oral findings in patients with Crohn disease may include diffuse mucosal swelling, cobblestone mucosa, and localized mucogingivitis. Diffuse melanin pigmentation may be an early manifestation of Addison disease. Severe periodontal inflammation or bleeding should prompt investigation of conditions such as diabetes mellitus, human immunodeficiency virus infection, thrombocytopenia, and leukemia. In patients with gastroesophageal reflux disease, bulimia, or anorexia, exposure of tooth enamel to acidic gastric contents may cause irreversible dental erosion. Severe erosion may require dental restorative treatment. In patients with pemphigus vulgaris, thrombocytopenia, or Crohn disease, oral changes may be the first sign of disease. Orofacial symptoms of Crohn disease include diffuse labial, gingival, or mucosal swelling; cobblestoning of the buccal mucosa and gingiva; aphthous ulcers; mucosal tags; and angular cheilitis. Noncaseating granulomas are characteristic of orofacial Crohn disease. Oral granulomas may occur without characteristic alimentary involvement (orofacial granulomatoses). The only manifestation of advanced liver disease visible in the oral mucosa is jaundice, which is the yellow pigmentation that results from the deposition of bilirubin in the submucosa. Jaundice may occur following disorders in bilirubin metabolism, production, or secretion. Mucosal conditions, such as glossitis, recurrent aphthae, candidal infections, and angular stomatitis may be more common in patients with anemia. Glossitis may be the first sign of folate or vitamin B-12 deficiency . The tongue appears reddened, and the papillae are atrophic, producing a smooth ("bald") appearance. Angular stomatitis is commonly caused by a candidal infection. Oral changes in Sjögren syndrome include difficulty in swallowing and eating, disturbances in taste and speech, increased dental caries, and a predisposition to infection, all due to a decrease in saliva. Oral manifestations of sarcoidosis may include multiple, nodular, painless ulcerations of the gingiva, buccal mucosa, labial mucosae, and palate. th th Abstract - Path - 06 Premalignant Disorders Of Oral Cavity Sailakshmi Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Oral cavity cancer accounts for approximately 3% of all malignancies and is a significant worldwide health problem.Most oral malignancies occur as squamous cell carcinomas (SCCs); despite remarkable advances in treatment modalities, the 5-year survival rate has not significantly improved over the past several decades and still hovers at about 50-60%. Many oral SCCs develop from premalignant conditions of the oral cavity. A wide array of conditions have been implicated in the development of oral cancer, including leukoplakia, erythroplakia, palatal lesion of reverse cigar smoking, oral lichen planus, oral submucous fibrosis, discoid lupus erythematosus, and hereditary disorders such as dyskeratosis congenital and epidermolysis bullosa. Despite the general accessibility of the oral cavity during physical examination, many malignancies are not diagnosed until late stages of disease. In order to prevent malignant transformation of these precursor lesions, multiple screening and detection techniques have been developed to address this problem. The early detection of cancer is of critical importance because survival rates markedly improve when the oral lesion is identified at an early stage. Oral submucous fibrosis (OSF) is a chronic progressive condition found predominantly in people of Asian descent. OSF is considered to be the result of the use of the Areca nut product with resultant disruption of the extracellular matrix. The disease often manifests with diffuse involvement of the oral cavity, pharynx, and upper esophagus that appears clinically as whitish mucosa lacking elasticity. Epithelial dysplasia has been described in 7-26% of OSF tissues, and long-term studies suggest a malignant transformation rate in approximately 7% of these lesions. Lichen planus (LP) is a disease of the skin and/or mucous membranes that resembles lichen. The cause is unknown, but it is thought to be the result of an autoimmune process with an unknown initial trigger. There is no cure, but many different medications and procedures have been used to control the symptoms. There is no cure for lichen planus, and so treatment of cutaneous and oral lichen planus is for symptomatic relief or due to cosmetic concerns. When medical treatment is pursued, first-line treatment typically involves corticosteroids, and removal of any triggers. Without treatment, most lesions will spontaneously resolve within 6–9 months for cutaneous lesions, and longer for mucosal lesions Abstract - Path - 07 Malignant bony lesions of oral cavity Priyadharshini .P.S Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Primary malignant tumours of the hard palate are rare. The hard palate has one of the highest concentrations of minor salivary glands in the upper aerodigestive tract. It is therefore not surprising that a large number of malignant neoplasms in this location are tumours of salivary gland origin (adenoid cystic carcinoma and mucoepidermoid carcinoma). As the mucosa of the hard palate is closely applied to the underlying bone, early osseous erosion is often encountered. It is therefore important to obtain coronal CT sections of the oral cavity for adequate staging of hard palate carcinoma. SCCs of the palate manifest as ulcerative surface lesions. Often, patients are asymptomatic in the early stages, but they may experience pain in advanced stages. A palate mass, bleeding, a foul odor, ill-fitting dentures in edentulous patients, or loose teeth may be the presenting symptoms for patients with hard palate cancer. In persons with advanced-stage soft palate cancers, velopharyngeal insufficiency, altered speech, difficulty swallowing, referred otalgia, trismus, or a neck mass may be present. Because the area is easily visualized, tumors are often found at early stages incidentally by the patient or the physician. The alveolar ridge is the area of your mouth just behind the top front teeth. Most alveolar ridge cancers are squamous cell carcinomas, meaning they arise from flat, thin cells in the epidermis lining the region. Unlike most head and neck cancers, alveolar ridge cancer is more common in women than in men. Symptoms can include loose teeth, bleeding, or pain that worsens when you chew. Osteosarcoma of jaw bones represents a distinct group of lesions from the conventional type commonly occurring in long bones. Nonetheless, our present knowledge of the tumor allows us to affirm that its clinical behavior and pathologic features differ markedly from those of its homolog in the long bones. The maxillary tumors show predilection for posterior portion of the alveolar process and the antrum, whereas the body is most commonly involved in the mandible followed, by angle, symphysis, and ascending ramus. th th Abstract - Path - 08 Developmental lesions of hard tissues Deepa lakshmi Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077. Otocephaly - This is a lethal condition in which the primary feature is the total or virtual absence of the lower jaw (a developmental anomaly called agnathia). The "oto" in the name refers to the relationship of the ears to the face in this disorder. The condition is considered lethal because of a poorly functioning airway. In otocephaly, agnathia may occur alone or together with holoprosencephaly. Micrognathism (or Micrognathia) is a condition where the jaw is undersized. It is also sometimes called "Mandibular hypoplasia". It is common in infants, but is usually self-corrected during growth, due to the jaws' increasing in size. It may be a cause of abnormal tooth alignment and in severe cases can hamper feeding . It can also, both in adults and children, make intubation difficult, either during anesthesia or in emergency situations. In some cases, the jaw is small enough to interfere with the infant's feeding. Infants with this condition may need special nipples in order to feed properly. Micrognathia often corrects itself during growth. The jaw may grow a lot during puberty. The problem can be caused by certain inherited disorders and syndromes. Micrognathia is can cause the teeth not to align properly. This can be seen in the way the teeth close. Often there will not be enough room for the teeth to grow. Children with this problem should see an orthodontist when the adult teeth come in. Because children may outgrow the condition, it often makes sense to delay treatment until a child is older. Macrognathia refers to the condition of abnormally large jaws. It is also called 'megagnathia'. Mandibular protrusion (when mandible is affected). Clinical presentation will be "Gummy smile" (when maxilla is affected), Ramus of mandible forms a less steep angle with body of mandible, Mandibular prognathism caused by excessive condylar growth and Chin appears prominent. Cleft lip (cheiloschisis) and cleft palate (palatoschisis), which can also occur together as cleft lip and palate, are variations of a type of cleftingcongenital deformity caused by abnormal facial development during gestation. A cleft is a fissure or opening—a gap. It is the non-fusion of the body's natural structures that form before birth. Approximately 1 in 700 children born have a cleft lip or a cleft palate or both. In decades past, the condition was sometimes referred to as harelip, based on the similarity to the cleft in the lip of a hare, but that term is now generally considered to be offensive. Clefts can also affect other parts of the face, such as the eyes, ears, nose, cheeks, and forehead. A cleft lip or palate can be successfully treated with surgery, especially so if conducted soon after birth or in early childhood. th th Abstract - Path - 09 Developmental lesions of soft tissues Balaji .V Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Congenital lip pits (also known as "Congenital sinus of the lower lip, "Lip sinus," and "Midline sinus of the upper lip") are a cutaneous condition that are divided into three types based on their location: (1) commissural; (2) upper lip; and (3) lower lip. Double lip is an uncommon oral anomaly, which occurs mostly in the upper lip. It may be congenital or acquired and occurs as an isolated case or in association with other lesions. Cheilitis glandularis is a rare inflammatory disease that affects minor salivary glands and their ducts, predominantly those of the lower lip. Cheilitis granulomatosa (or granulomatous cheilitis) is a chronic swelling of the lip due to granulomatous inflammation. Miescher cheilitis is the term used when the granulomatous changes are confined to the lip. Miescher cheilitis is generally regarded as a monosymptomatic form of the Melkersson-Rosenthal syndrome, although the possibility remains that these may be 2 separate diseases. Oral pigmentation is a relatively common condition that may involve any portion of the oral cavity. Multiple causes are known, and they may range from simple iatrogenic mechanisms, such as implantation of dental amalgam, to complex medical disorders, such as Peutz-Jeghers syndrome. Local irritants, such as smoking, may also result in melanosis of varying degrees. Oral pigmented lesions result from cellular hyperplasia that can range from benign nevi to fatal oral melanoma. Fordyce spots (also termed Fordyce granules, or Fordyce disease), are visible sebaceous glands that are present in most individuals. They appear in the mouth. They appear as small, painless, raised, pale, red or white spots or bumps 1 to 3 mm in diameter that may appear in the inner surface (retromolar mucosa) and vermilion border of the lips of the face. They are not associated with any disease or illness, nor are they infectious but rather they represent a natural occurrence on the body. No treatment is therefore required, unless the individual has cosmetic concern. Macroglossia is the medical term for an unusually large tongue. Severe enlargement of the tongue can cause cosmetic and functional difficulties including in speaking, eating, swallowing and sleeping. Macroglossia is uncommon, and usually occurs in children. Macroglossia may be caused by a wide variety of congenital and acquired conditions. Isolated macroglossia has no determinable cause. The most common causes of tongue enlargement arevascular malformations (e.g. lymphangioma or hemangioma) and muscular hypertrophy (e.g. Beckwith-Weidemann syndrome or hemihyperplasia). Enlargement due to lymphangioma gives the tongue a pebbly appearance with multiple superficial dilated lymphatic channels. th th Abstract - Path - 10 Metastasis Melvin Mao Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Metastasis, or metastatic disease, is the spread of a cancer from one organ or part to another nonadjacent organ or part. The new occurrences of disease thus generated are referred to as metastases (sometimes abbreviated mets).It was previously thought that only malignant tumor cells and infections have the capacity to metastasize; however, this is being reconsidered due to new research.In origin metastasis is a Greek word meaning "displacement". Cancer occurs after a single cell in a tissue is progressively genetically damaged to produce cells with uncontrolled proliferation. This uncontrolled proliferation, mitosis, produces a primary tumor. The cells which constitute the tumor eventually undergo metaplasia, followed by dysplasia then anaplasia, resulting in a malignant phenotype. This malignant phenotype allows for intravasation into the circulation, followed by extravasation to a second site for tumorigenesis. Some cancer cells acquire the ability to penetrate the walls of lymphatic and/or blood vessels, after which they are able to circulate through the bloodstream (circulating tumor cells) to other sites and tissues in the body. This process is known (respectively) as lymphatic or hematogenous spread. After the tumor cells come to rest at another site, they re-penetrate the vessel or walls and continue to multiply, eventually forming another clinically detectable tumor. This new tumor is known as a metastatic (or secondary) tumor. Metastasis is one of three hallmarks of malignancy (contrast benign tumors).Most neoplasms can metastasize, although in varying degrees (e.g., basal cell carcinoma rarely metastasize). When tumor cells metastasize, the new tumor is called a secondary or metastatic tumor, and its cells are similar to those in the original tumor. This means, for example, that, if breast cancer metastasizes to the lungs, the secondary tumor is made up of abnormal breast cells, not of abnormal lung cells. The tumor in the lung is then called metastatic breast cancer, not lung cancer. Treatment and survival is determined, to a great extent, by whether or not a cancer remains localized or spreads to other locations in the body. If the cancer metastasizes to other tissues or organs, it usually dramatically decreases a patient's likelihood of survival (i.e. the "prognosis"). However, there are some cancers - such as some forms of leukemia, a cancer of the blood, or malignancies in the brain - that can kill without spreading at all. Abstract - Path - 11 Grading And Staging Of Cancer Nithesh kumar 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. Staging:The stage of a cancer means how big it is and whether it has grown or spread. Staging systems for mouth and oropharyngeal cancers There are different ways of staging cancers. The two main systems are the TNM system and number system. TNM stages of mouth and oropharyngeal cancers: TNM stands for Tumour, Node and Metastasis. The system describes The size of a primary tumour (T) Whether the cancer has spread to the lymph nodes (N) Whether the cancer has spread to a different part of the body (M) T stages: There are 4 main T stages of mouth and oropharyngeal cancer T1 means the tumour is contained within the tissue of the mouth or oropharynx and is no larger than 2cm (¾ inch).T2 means the tumour is larger than 2cm, but smaller than 4cm (about 1½ inches).T3 means the tumour is bigger than 4cm. T4a means the tumour has grown further than the mouth or oropharynx and into nearby body tissues such as bone, tongue, the air cavities of the face (sinuses) or the skin.T4b means the tumour has spread into nearby areas such as the space around and behind the jaws, the back of the upper jaw where the large jaw muscles attach, the base of the skull, or the area of the neck that surrounds the main arteries. (carotid arteries) N stages: There are 4 main lymph node stages in cancer of the mouth and oropharynx. One of these, stage N2, is broken down into 3 sub stages. The important points here are whether there is cancer in the lymph nodes in the neck and if so, the size of the node and which side of the neck it is on.N0 means there are no cancer cells in the lymph nodes.N1 means there are cancer cells in 1 lymph node on the same side of the neck as the cancer, but the node is less than 3cm across.N2a means there is cancer in 1 lymph node on the same side of the neck, and the node is more than 3cm across but less than 6cm across.N2b means there is cancer in more than 1 lymph node, but none of these nodes are more than 6cm across. All the affected nodes are on the same side of the neck as the cancer.N2c means there is cancer in nodes on the other side of the neck, or in nodes on both sides, but none of these nodes are more than 6cm across.N3 means that at least 1 node containing cancer is more than 6cm across. M stages - There are two M stages for cancers of the mouth and oropharynx. M0 means there is no cancer spread to other parts of the body.M1 means the cancer has spread to other parts of the body, such as the lungs. Together, the T, N and M stages give a complete description of the stage of your cancer. th th Abstract - Path – 12 Tumour Markers Saniya Mariam Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Tumor markers are substances that can be found in the body when cancer is present. Ideally, a tumor marker would always be found in the blood in higher-than-normal amounts, but only when a certain type of cancer is present. In reality, tumor markers are rarely like that.Some tumor markers are found in blood, but others are found in urine or other body fluids. Still others are found in tumors and other tissues. They may be made by the cancer cells themselves, or by the body in response to cancer or other conditions. Most tumor markers are proteins, but some newer markers are genes or other substances. There are many different tumor markers. Some are linked only to one type of cancer, while others can be found in many cancers. Today, the most widely used tumor marker is the prostate-specific antigen (PSA) blood test. The PSA test is used to screen men for prostate cancer. Men with prostate cancer usually have high PSA levels. But it's not always clear what the test results mean — men without cancer can have high PSA levels, and a normal PSA level does not always mean that no cancer is present. Alpha fetoprotein (AFP) is another example of a tumor marker that may be used to help diagnose cancer. The level of AFP can go up with some liver diseases, but when it reaches a certain high level in someone with a liver tumor, doctors can be fairly sure that the tumor is liver cancer (a biopsy will still be needed, though). Early on in the search for tumor markers, the hope was that someday all cancers could be detected early with a blood test. A simple blood test that could find cancers in their earliest stages could prevent the deaths of millions of people. But very few tumor markers are useful for finding cancer at an early stage. There are a few reasons for this - Almost everyone has a small amount of these markers in their blood, so it's very hard to spot early cancers by using these tests. The levels of these markers tend to get higher than normal only when there's a large amount of cancer present.Some people with cancer never have high tumor marker levels.Even when levels of these markers are high, it doesn't always mean cancer is present. Proceedings of National B.D.S.Students seminar on Basic Medical Sciences th th Abstract - Path - 13 Periodontitis And Atherosclerosis Krithika .M Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 The conventional risk factors for atherosclerosis are well understood, but they can account for only about 50% to 70% of atherosclerotic events in the general population. Many other putative risk factors for atherosclerosis have been proposed, including traits related to obesity, inflammation, and infection. Periodontal disease is a candidate risk factor that shares many of these related traits. The periodontal diseases reflect a spectrum of oral pathology from gingivitis (gum inflammation) to severe periodontitis (progressive loss of gum attachment) with alveolar bone and tooth loss. The pathogenesis of periodontal disease is thought to be due to accumulation of dental plaque (bacteria in subgingival biofilms) with consequent mucosal infection and inflammation. Abnormal host responses, with upregulation of matrix metalloproteinases, contribute to a more rapid disease progression in some patients. Periodontal disease is more common with cigarette smoking, obesity, and diabetes, and it affects about 75% of the adult population in the United States, with about 20% to 30% of adults having severe forms Increasing evidence over the past decade suggests a link between periodontal disease and atherosclerosis. There are several possible explanations for the association between periodontal disease and complications of atherosclerosis. First, it may merely reflect confounding by common risk factors that cause both periodontal disease and atherosclerosis, such as smoking, obesity, and diabetes. All of the observational studies have adjusted statistically for these risk factors, though such adjustments can be problematic when large differences in risk factor burden exist between groups. Additionally, there may be as yet unknown shared risk factors that cannot be taken into account. Second, the association may reflect an individual propensity to develop an exuberant inflammatory response to intrinsic (age, sex, genes) or extrinsic stimuli (diet, smoking, etc) that then predisposes to both periodontal disease and atherosclerosis. Third, the presence of an inflammatory focus in the oral cavity may potentiate the atherosclerotic process by stimulation of humoral and cell-mediated inflammatory pathways. The degree of inflammation in periodontal disease is clearly sufficient to cause a systemic inflammatory response, as evidenced by increases in C-reactive protein. Cross-reactivity of antibodies to periodontal pathogens with antigens present in platelets or endothelial cells might be an additional pro-inflammatory mechanism. Fourth, the presence of periodontal infection may lead to brief episodes of bacteremia with inoculation of atherosclerotic plaques by periodontal pathogens such as Porphyromonas gingivalis, Actinobacillus actinomycetemcomitans, andBacteroides forsythus. Subsequent growth of these bacteria would cause inflammation and plaque instability. Indeed, there is evidence using immunostaining and polymerase chain reaction for bacterial rDNA that these pathogens are present in 18% to 30% of carotid atheromas. Abstract - Path - 14 Oral Manifestations Of Leukaemia Prasanna lakshmi Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Patients with leukaemia can exhibit signs or complain of symptoms in the oral cavity and oropharynx; indeed, these may be the initial presenting complaints of the disease. Septicaemia is common in patients undergoing treatment, and has been reported as having an oral cause in up to 50% of cases. Signs and local symptoms of leukemia in the oral cavity include paleness of the oral mucosa with gingival bleeding that develops into painless gingival hyperplasia, hemorrhages, and ulcerative necrotic lesions. These findings are common clinical manifestations of leukemias and frequently herald the onset of the disease. Because of their clinical importance, all such lesions deserve the full attention of dentists and physicians. Oral manifestations of leukemia may include mucosal bleeding, ulceration, petechiae, and diffuse or localized gingival enlargement . Gingival infiltration by leukemic cells occurs most often in acute monocytic leukemia and acute myelomonocytic leukemia. The gingiva may feel boggy and appear hemorrhagic with or without concurrent ulceration. Impaired immune function can lead to various secondary oral complications, such as candidiasis, herpes simplex virus infection, and periodontal bone loss. Patients receiving treatment for leukemia may develop opportunistic infection and chemotherapy-related oral mucositis. Various preventive protocols (e.g., acyclovir [Zovirax], nystatin, chlorhexidine [Peridex], oral hygiene care) may be used to minimize these complications. Abstract - Path - 15 Childhood Tumours Abishek Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 These cancers can be quite different from cancers affecting adults. They tend to occur in different parts of the body to adult cancers. They also look different under the microscope and respond differently to treatment.Cure rates for children are much higher than for most adult cancers. On average, about 75% (more than 7 in 10) of all children can now be completely cured. For some types of children's cancer, the cure rate is much higher. One-third of all childhood cancers are leukaemia. Approximately three out of four of these cases are acute lymphoblastic leukaemia (ALL). ALL can affect children of any age, but is more common in children aged 1-4. It is more common in boys than in girls. There are four main types of leukaemia: acute lymphoblastic (ALL), acute myeloid (AML), chronic lymphocytic (CLL) and chronic myeloid (CML). Chronic leukaemias usually affect adults and are extremely rare in children and young people. Each type of leukaemia has its own characteristics and treatment. Acute lymphoblastic leukaemia is a cancer of immature lymphocytes, called lymphoblasts or blast cells. Children with certain genetic disorders, such as Down's syndrome, are known to have a higher risk of developing leukaemia. Brothers and sisters of a child with ALL (particularly identical twins) have a slightly increased risk of developing ALL themselves, although this risk is still small. Acute myeloid leukaemia is an overproduction of immature myeloid white blood cells (blast cells).Cells that have started to show some of the features of myeloid cells are said to show differentiation. Cells that do not show signs of becoming a particular type of white blood cell are known as undifferentiated.There are different sub-types of AML, depending upon exactly which type of cell has become leukaemic, the stage of development (maturation) the cells are at and whether the cells are differentiated. Knowing the sub-type of AML is important, as it helps doctors decide on the best treatment. th th Abstract - Path - 01 Oral Manifestations Of AIDS Nausheen Afrose , Sufia Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Oral manifestations of HIV disease are common and include oral lesions and novel presentations of previously known opportunistic diseases. Careful history taking and detailed examination of the patient's oral cavity are important parts of the physical examination, and diagnosis requires appropriate investigative techniques. Early recognition, diagnosis, and treatment of HIVassociated oral lesions may reduce morbidity. Oral candidiasis is most commonly associated with Candida albicans, although other species, such as C. glabrata and C. tropicalis, are frequently part of the normal oral flora. A number of factors predispose patients to develop candidiasis: infancy, old age, antibiotic therapy, steroid and other immunosuppressive drugs, xerostomia, anemia, endocrine disorders, and primary and acquired immunodeficiency. Candidiasis is a common finding in people with HIV infection. Reports describe oral candidiasis during the acute stage of HIV infection, but it occurs most commonly with falling CD4+ T-cell count in middle and late stages of HIV disease. Human papilloma virus lesions - Oral warts, papillomas, skin warts, and genital warts are associated with the human papillomavirus (HPV). Lesions caused by HPV are common on the skin and mucous membranes of persons with HIV disease. Because the HPV types found in oral lesions in HIV-infected persons are different from the HPV types associated with anogenital warts, clinicians should probably not use the term condyloma acuminata to describe oral HPV lesions. Periodontal disease is a fairly common problem in both asymptomatic and symptomatic HIV-infected patients. It can take two forms: the rapid and severe condition called necrotizing ulcerative periodontitis (NUP) and its associated and possibly precursor condition called linear gingival erythema (LGE). The presenting clinical features of these diseases often differ from those in non-HIV-infected persons. Kaposi's sarcoma (KS) may occur intraorally, either alone or in association with skin and disseminated lesions. th th 14 14 14 th th 14 th th & 15 th th & 15 & 15 & 15 October 2006 October 2006 October 2006 October 2006 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF PATHOLOGY POSTER PRESENTATION Abstract - Path - 2 Radicular Cyst Vinod Krishnan Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 It is defined as an odontogenic cyst of Inflammatory origin that is preceded by a chronic periapical granuloma and stimulation of cell rests of malassez present in the periodontal membrane.The periapical cyst (also termed radicular cyst, and to a lesser extent dental cyst) is the most common odontogenic cyst. It is caused by pulpalnecrosis secondary to dental caries or trauma. The cyst lining is derived from the cell rests of Malassez. Usually, the periapical cyst is asymptomatic, but a secondary infection can cause pain. On radiographs, it appears a radiolucency (dark area) around the apex of a tooth's root.Radicular cyst is the most common odontogenic cystic lesion of inflammatory origin. It is also known as periapical cyst, apical periodontal cyst, root end cyst or dental cyst. It arises from epithelial residues in periodontal ligament as a result of inflammation. The inflammation usually follows death of dental pulp. Radicular cysts are found at root apices of involved teeth. These cysts may persists even after extraction of offending tooth; such cysts are called residual cysts. Dental cysts are usually caused due to root infection involving the tooth affected greatly by carious decay . The resulting pulpal necrosis causes release of toxins at the apex of the tooth leading to periapical inflammation. This inflammation leads to the formation of reactive inflammatory (scar) tissue called periapical granuloma further necrosis and damage stimulates the Malassez epithelial rests, which are found in the periodontal ligament, resulting in the formation of a cyst that may be infected or sterile (The epithelium undergoes necrosis and the granuloma becomes a cyst). These lesions can grow into large lesions because they apply pressure over the bone causing resorption . The toxins released by the breakdown of granulation tissue is one of the common causes of bone resorption. These cysts are not true neoplasms. It is suggested that insertion of file or other root canal instrument beyond the apical foramen (for 1-2mm) produces transitory acute inflammation which may destroy epithelial lining of radicular cyst and convert it into granuloma. A mucoperiosteal flap over cyst is raised and a window is opened in the bone to give adequate access. The cyst is carefully separated from its bony wall. The entire cyst is removed intact. the edges of bony cavity are smoothened off, free bleeding is controlled and cavity is irrigated to remove debris. Mucoperiosteal flap is replaced back and sutured in place. Marsupialisation- The cyst is opened essentially as for enucleation but the epithelial lining is sutured to mucous membrane at margins of opening. The aim is to produce a self-cleansing cavity, which becomes an invagination of oral tissues. The cavity is initially packed with ribbon gauze and after margins are healed a plug or extension of denture is made to close the openings Abstract - Path - 3 Ameloblastoma Jennyka , Amandeep Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Ameloblastoma (ameloblasts, or outside portion, of the teeth during development) much more commonly appearing in the lower jaw than the upper jaw. This type of odontogenic neoplasm was designated as an adamantinoma in 1885 by the French physician Louis-Charles Malassez. It was finally renamed to the modern name ameloblastoma in 1930 by Ivey and Churchill.While these tumors are rarely malignant or metastatic (that is, they rarely spread to other parts of the body), and progress slowly, the resulting lesions can cause severe abnormalities of the face and jaw. Additionally, because abnormal cell growth easily infiltrates and destroys surrounding bony tissues, wide surgical excision is required to treat this disorder. If an aggressive tumor is left untreated, it can obstruct the nasal and oral airways making it impossible to breathe without oropharyngeal intervention.There are three main clinical subtypes of ameloblastoma: unicystic, multicystic, peripheral.The peripheral subtype composes 2% of all ameloblastomas. Of all ameloblastomas in younger patients, unicystic ameloblastomas represent 6% of the cases.A fourth subtype, malignant, has been considered by some oncologic specialists, however, this form of the tumor is rare and may be simply a manifestation of one of the three main subtypes. Ameloblastoma also occurs in long bones, and another variant is Craniopharyngioma (Rathke's pouch tumour, Pituitary Ameloblastoma.)Ameloblastomas are often associated with the presence of unerupted teeth. Symptoms include painless swelling, facial deformity if severe enough, pain if the swelling impinges on other structures, loose teeth, ulcers, and periodontal (gum) disease. Lesions will occur in the mandible and maxilla,although 75% occur in the ascending ramus area and will result in extensive and grotesque deformitites of the mandible and maxilla. In the maxilla it can extend into the maxillary sinus and floor of the nose. The lesion has a tendency to expand the bony cortices because slow growth rate of the lesion allows time for periosteum to develop thin shell of bone ahead of the expanding lesion. This shell of bone cracks when palpated and this phenomenon is referred to as "Egg Shell Cracking" or crepitus, an important diagnostic feature. Ameloblastoma is tentatively diagnosed through radiographic examination and must be confirmed by histological examination (e.g., biopsy). Radiographically, it appears as a lucency in the bone of varying size and features—sometimes it is a single, well-demarcated lesion whereas it often demonstrates as a multiloculated "soap bubble" appearance Abstract - Path - 4 Growth Factors Affecting Wound Healing Saurav Panda , Swetha Shaw Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077 Wound healing, as a normal biological process in the human body, is achieved through four precisely and highly programmed phases: hemostasis, inflammation, proliferation, and remodeling. For a wound to heal successfully, all four phases must occur in the proper sequence and time frame. Many factors can interfere with one or more phases of this process, thus causing improper or impaired wound healing. This article reviews the recent literature on the most significant factors that affect cutaneous wound healing and the potential cellular and/or molecular mechanisms involved. The factors discussed include oxygenation, infection, age and sex hormones, stress, diabetes, obesity, medications, alcoholism, smoking, and nutrition. A better understanding of the influence of these factors on repair may lead to therapeutics that improve wound healing and resolve impaired wounds. Wound healing is a complex biological process which requires cellular interactions between a variety of cells like fibroblasts, myofibroblasts, smooth muscle cells, endothelial cells, keratinocytes and immune cells. These interactions are mediated by numerous growth factors namely epidermal growth factor (EGF), fibroblast growth factor (FGF), insulin-like growth factor (IGF), keratinocyte growth factor (KGF), platelet-derived growth factor (PDGF), transforming growth factor (TGF) and vascular endothelial growth factor (VEGF). Growth factors are hormone -like molecules that interact with specific cell surface receptors to control the process of tissue repair .even trace quantities of these growth factors exert a powerful influence in the wound healing process. By the third day tissue macrophages migrate into the wound and serve as the principal cell, controlling and regulating wound healing. These macrophages control wound healing through the production of growth factors such as plateletderived growth factor (PDGF), transforming growth factor (TGF), interleukin (IL), and tumor necrosis factor (TNF). The phase of wound healing called fibroplasia begins as the number of macrophages and fibroblasts increase in number which enables the process of matrix formation and collagen synthesis. Fibroplasia begins about 5 days after injury and may continue for as long as 2 weeks. Fibroblasts migrate into the wound and replicate in response to mediators released during inflammation. These mediators include C5a, fibronectin, PDGF, fibroblast growth factor (FGF), and TGF. Therefore growth factors play fundamental roles in wound healing process by stimulating chemotaxis and cellular proliferation , by providing signaling among cells of the same and different type, by controlling extracellular matrix formation and angiogenesis, by regulating the process of contraction and by re-establishing tissue integrity. Abstract - Path - 5 Crigler Najjar Syndrome Priyanka Garg, Manushi Pathak Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077. Crigler–Najjar syndrome or CNS is a rare disorder affecting the metabolism of bilirubin, a chemical formed from the breakdown of red blood cells. The disorder results in an inherited form of non-hemolytic jaundice, which results in high levels of unconjugated bilirubin and often leads to brain damage in infants. This syndrome is divided into type I and type II, with the latter sometimes called Arias syndrome. These two types, along with Gilbert's syndrome,Dubin– Johnson syndrome, and Rotor syndrome, make up the five known hereditary defects in bilirubin metabolism. Crigler-Najjar syndrome occurs when the enzyme that normally converts bilirubin into a form that can easily be removed from the body does not work correctly. Without this enzyme, bilirubin can build up in the body and lead to jaundice (yellow discoloration of skin and eyes) and damage to the brain, muscles, and nerves. Crigler-Najjar (type 1) is the form of the disease that starts early in life. Arias syndrome (type 2) starts later in life. The syndrome runs in families (inherited). A child must receive a copy of the defective gene from both parents to develop the severe form of the condition. Parents who are carriers (with just one defective gene) have about half the enzyme activity of a normal adult, but do not have symptoms. Symptoms include Confusion and changes in thinking .Yellow skin (jaundice) and yellow in the whites of the eyes (icterus), which begin a few days after birth and get worse over time. Treatment - Light treatment (phototherapy) is needed throughout a person's life. In infants, this is done using bilirubin lights (bili or 'blue' lights). Phototherapy does not work as well after age 4, because thickened skin blocks the light. A liver transplant can be done in some people with type 1 disease.Blood transfusions may help control the amount of bilirubin in blood. Calcium compounds are sometimes used to remove bilirubin in the gut. The drug phenobarbitol is sometimes used to treat Arias syndrome (type 2). th th Abstract - Physio - 01 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF PHYSIOLOGY ORAL PRESENTATION Artificial retina S.Shyaamale, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Artificial Retina Project was a collaborative, multi-institutional effort to develop an implantable microelectronic retinal prosthesis that restores useful vision to people blinded by retinal diseases. The ultimate goal of the project was to restore reading ability, facial recognition, and unaided mobility in people with retinitis pigmentosa and age-related macular degeneration. A spectacle-mounted camera captures image data for Konstantopoulos; that data is then processed by a mini-computer carried on a strap and sent to a neuron-stimulating array of 60 electrodes that was implanted on one of his retinas in 2009. It is the first vision-restoring implant sold to patients. Currently, the system is only approved for patients with retinitis pigmentosa, a degenerative eye condition that strikes around one in 5,000 people worldwide, but it's possible the Argus II and other artificial retinas in development could work for those with age-related macular degeneration, which affects one in 2,000 people in developed countries. In these conditions, the photoreceptor cells of the eye (commonly called rods and cones) are lost, but the rest of the neuronal pathway that communicates visual information to the brain is often still viable. Artificial retinas depend on this remaining circuitry, so cannot work for all forms of blindness. Many groups around the world are working on bionic vision systems to replace lost photoreceptors. Most use a camera that communicates to an implanted chip, but vary in the number of electrodes in the chip and how deep the chip is placed inside the retina. Yet others eschew the camera for light-sensitive diodes in the chip. The LLNL team contributed three major components to the artificial retina program: the thin-film electrode array that contains the neural electrodes; the biocompatible electronics package that contains the electronics for stimulating the retina and wireless power and communication; and an ocular surgical tool that will enable the replacement of the thin-film electrode array. In addition, LLNL was responsible for the system integration and assembly of the next-generation artificial retina system with 240 stimulating electrodes. Abstract - Physio - 02 Alzheimer's disease Gitili barthwal, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Alzheimer's disease (AD), also known in medical literature as Alzheimer disease, is the most common form of dementia. There is no cure for the disease, which worsens as it progresses, and eventually leads to death. It was first described by German psychiatrist and neuropathologist Alois Alzheimer in 1906 and was named after him. Most often, AD is diagnosed in people over 65 years of age, although the less-prevalent early-onset Alzheimer's can occur much earlier. In 2006, there were 26.6 million people worldwide with AD. Alzheimer's is predicted to affect 1 in 85 people globally by 2050. Like all types of dementia, Alzheimer's is caused by brain cell death. It is a neurodegenerative disease, which means there is progressive brain cell death that happens over a course of time. The total brain size shrinks with Alzheimer's - the tissue has progressively fewer nerve cells and connections. While they cannot be seen or tested in the living brain affected by Alzheimer's disease, postmortem/autopsy will always show tiny inclusions in the nerve tissue, called plaques and tangles: Plaques are found between the dying cells in the brain - from the build-up of a protein called beta-amyloid (you may hear the term "amyloid plaques") and The tangles are within the brain neurons - from a disintegration of another protein, called tau. For a detailed visualization of what goes on in the Alzheimer's disease process, progressing from the normal brain to increasing dementia changes, the Alzheimer's Association has produced a journey of 16 slides. This sort of change in brain nerves is also witnessed in other disorders, and researchers want to find out more than just that there are protein abnormalities - they also want to know how these develop so that a cure or prevention might be discovered. Although some kinds of memory loss are normal parts of aging, the changes due to aging are not severe enough to interfere with the level of function. Many different diseases can cause dementia, but Alzheimer's disease is by far the most common cause for dementia in the United States and in most countries in the world. Although some kinds of memory loss are normal parts of aging, the changes due to aging are not severe enough to interfere with the level of function. Many different diseases can cause dementia, but Alzheimer's disease is by far the most common cause for dementia in the United States and in most countries in the world. Abstract - Physio - 03 Cerebral palsy Madhu Sree, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Cerebral palsy (CP) is a general term for a group of permanent, non-progressive movement disorders that cause physical disability in development, mainly in the areas of body movement. It is a central motor dysfunction affecting muscle tone, posture and movement resulting from a permanent, non-progressive defect or lesion of the immature brain. CP is neither genetic nor an infectious disease, and thus it is not contagious. Most cases are congenital, arising at or about the time of birth, and are diagnosed at a young age rather than during adolescence or adulthood. The term cerebral palsy refers to any one of a number of neurological disorders that appear in infancy or early childhood and permanently affect body movement and muscle coordination but don't worsen over time. Even though cerebral palsy affects muscle movement, it isn't caused by problems in the muscles or nerves. It is caused by abnormalities in parts of the brain that control muscle movements. The majority of children with cerebral palsy are born with it, although it may not be detected until months or years later. The early signs of cerebral palsy usually appear before a child reaches 3 years of age. The most common are a lack of muscle coordination when performing voluntary movements (ataxia); stiff or tight muscles and exaggerated reflexes (spasticity); walking with one foot or leg dragging; walking on the toes, a crouched gait, or a "scissored" gait; and muscle tone that is either too stiff or too floppy. A small number of children have cerebral palsy as the result of brain damage in the first few months or years of life, brain infections such as bacterial meningitis or viral encephalitis, or head injury from a motor vehicle accident, a fall, or child abuse. Congenital cerebral palsy results from brain injury during a baby's development in the womb. It is present at birth, although it may not be detected for months. It is responsible for about 70% of children who have cerebral palsy. An additional 20% are diagnosed with congenital cerebral palsy due to a brain injury during the birthing process. Cerebral palsy usually is diagnosed by 3 years of age. About 2 to 3 children in 1,000 are affected. About 800,000 children and adults of all ages in the United States have cerebral palsy. Abstract - Physio - 04 Mitral stenosis and Regurgitation Vijayalaxmi Prabu, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Mitral stenosis (MS) refers to narrowing of the mitral valve orifice, resulting in impedance of filling of the left ventricle in diastole. It is usually caused by rheumatic heart disease. Less common causes include severe calcification of the mitral annulus, infective endocarditis, systemic lupus erythematosus, rheumatoid arthritis, and carcinoid heart disease. The leaflets are fused, are too thick, or there is some other structural defect in the valve leaflets. Sometimes, mitral stenosis occurs as a result of surgery to repair an abnormal mitral valve. As a result, the valve is too narrow, and the heart has to work harder to pump blood through the valve. Mitral regurgitation (MR) is leakage of blood from the left ventricle into the left atrium during systole. It is caused by various mechanisms related to structural or functional abnormalities of the mitral apparatus, adjacent myocardium, or both. The most common causes of mitral regurgitation in the United States are myxomatous degeneration, chordal rupture, rheumatic heart disease, infective endocarditis, coronary artery disease, and cardiomyopathy. The valve doesn't close completely and allows blood to leak back (regurgitate) into the atrium (upper chamber) from the ventricle (lower chamber). Common causes of mitral valve insufficiency/regurgitation include rheumatic fever, mitral valve prolapse, mitral annulus calcification, infective endocarditis (an infection that affects the lining of the heart's chambers and the heart valves), congenital causes, a weakened heart muscle caused by a heart attack, rheumatic heart disease, infections of the heart valve, and weakness of the heart muscle that has dilated due to primary heart muscle disease. Rheumatic fever in childhood is by far the most common cause of mitral stenosis in adulthood. It can damage the heart valve and cause scarring, which results in problems later in life, usually in young adulthood. More rarely, mitral stenosis can occur from congenital heart disease or from calcium deposits that accumulate over years. Diagnosis is based on the medical history including symptoms, existence of a characteristic murmur upon examination of the heart, and echocardiography (an ultrasound study of the heart valves and muscle). Treatment of mitral stenosis depends on factors that include the patient's symptoms, severity of the stenosis, and health of the patient. Surgical repair of mitral valve stenosis is called commissurotomy. Abstract - Physio – 05 Rheumatic diseases Samuel Thomas, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Rheumatism or rheumatic disorder is a non-specific term for medical problems affecting the joints and connective tissue. The study of, and therapeutic interventions in, such disorders is called rheumatology. Rheumatic diseases (rheumatism) are painful conditions usually caused by inflammation, swelling, and pain in the joints or muscles. Some rheumatic diseases like osteoarthritis are the result of "wear and tear" to the joints. Other rheumatic diseases, such as rheumatoid arthritis, happen when the immune system becomes hyperactive; the immune system attacks the linings of joints, causing joint pain, swelling, and destruction. Almost any joint can be affected in rheumatic disease. There are more than 100 rheumatic diseases but we'll focus on some of the common types. More than 100 diseases are classified as rheumatic diseases, including many types of arthritis. Arthritic conditions are distinguished by red, swollen joints and inflamed connective tissues such as cartilage, synovial tissue, and tendons. Other rheumatic diseases are considered autoimmune diseases, meaning that the body's own immune system is turning on parts of the body. There are roughly 46 million people in the United States living with rheumatic diseases, conditions that affect the joints and bones and cause chronic joint pain, swelling, and stiffness. Some rheumatic diseases also affect other areas of the body, including the heart, kidneys, lungs, and skin. More than 100 conditions fall under the category of rheumatic diseases, including gout, pseudogout, ankylosing spondylitis, reactive arthritis, Reiter's syndrome, enteropathic arthritis, Lyme disease, and infectious arthritis. Our immune system is an amazing network of cells that function from very basic to highly complex levels. The purpose of this system is to protect us from our environment and watch for any early damage in our own cells. Sometimes, however, the system goes awry and misreads signals. As a result, our defenses do not recognize our own body at work, and begin "attacking" cells. This leads to illnesses called autoimmune (self-immune) diseases such as rheumatoid arthritis (inflammation of the joints),systemic lupus erythematosus (commonly known as "lupus," an inflammatory disease of connective tissue), and vasculitis(inflammation of a vessel of the body). Abstract - Physio - 06 Respiratory function test Shilipa sharma, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Respiratory Function Tests (RFTs) are a series of tests of lung capacity and function which help to classify the type of respiratory disease in an individual. Components include: Forced Vital Capacity (FVC), Forced Expiratory Volume in 1 second (FEV1), FEV1/FVC ratio, pre- and post-bronchodilator measurements. Respiratory Function Tests (RFTs) involve breathing into a mouthpiece, which is connected to a small machine via some tubing. You will be required to breathe in and out as deeply as possible, and then as fast and as forcefully as possible. The test may make you feel temporarily short of breath, but is otherwise harmless. More sophisticated testing such as gas transfer tests require the patient to breathe into a closed system, via a tightfitting face mask. Pulmonary function tests (PFTs) are noninvasive diagnostic tests that provide measurable feedback about the function of the lungs. By assessing lung volumes, capacities, rates of flow, and gas exchange, PFTs provide information that, when evaluated by your doctor, can help diagnosis certain lung disorders. A normally-functioning pulmonary system operates on many different levels to ensure adequate balance. One of the primary functions of the pulmonary system is ventilation, the movement of air into and out of the lungs. Some medical conditions may interfere with ventilation. These conditions may lead to chronic lung disease. Conditions that interfere with normal ventilation are categorized as restrictive or obstructive. An obstructive condition occurs when air has difficulty flowing out of the lungs due to resistance, causing a decreased flow of air. A restrictive condition occurs when the chest muscles are unable to expand adequately, creating a disruption in air flow. Pulmonary Function testing measures the function of lung capacity and lung and chest wall mechanics to determine whether or not the patient has a lung problem. Pulmonary Function Tests are commonly referred to as "PFTs". When a patient is referred for PFT's, it means that a battery of tests may be carried-out including: simple screening spirometry, static lung volume measurement, diffusing capacity for carbon monoxide, airways resistance, respiratory muscle strength and arterial blood gases. Spirometry measures airflow. By measuring how much air you exhale, and how quickly, spirometry can evaluate a broad range of lung diseases. In a spirometry test, while you are sitting, you breathe into a mouthpiece that is connected to an instrument called a spirometer. The spirometer records the amount and the rate of air that you breathe in and out over a period of time. th th Abstract - Physio - 07 Growing your own replacement teeth Subathra.J, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Growing a replacement tooth from your own cells may be a step closer, according to new research. It is still too early for use in people, but the technique involves taking stem cells and growing more of them to produce a very small, immature tooth, similar to what a tooth would look like when it starts to grow in an embryo. These are transplanted directly into the mouth where they get their blood supply, and they start to grow and gradually form a complete tooth. Although the technique is unlikely to allow scientists to grow a specific type of tooth, dentists would be able to shape the tooth crown according to its position in the jaw. Sharpe's team from the Dental Institute at King's College combined human gum cells with the cells in mice responsible for growing teeth. They transplanted this combination of cells into the mice. The result was hybrid human/mouse teeth with roots. The ability to make a tooth replacement with roots would be a major step forward in dental surgery. Replacing missing or damaged teeth currently involves fixed or removable dental implants. Although implants work well, the impact from chewing can wear down the implant. This is not a problem with natural teeth because they have soft tissue at the root that acts as a shock absorber. The latest advance made by Sharpe and his team brings the prospect of bioengineered teeth with their own root system a step closer. The next step will be finding enough adult sources of human cells to make this new technique a viable alternative to dental implants. When people lose teeth, they have several options - few of them dignified, and most expensive - but scientists hope to persuade the body to 'grow its own' replacements. The scientists are studying pufferfish - a delicacy in Japan, where the fish have to be prepared carefully, or they are deadly poison. Pufferfish have four teeth which are constantly renewed every few weeks throughout the creature's life. Scientists have developed a new method of replacing missing teeth with a bioengineered material generated from a person's own gum cells. Current implant-based methods of whole tooth replacement fail to reproduce a natural root structure and as a consequence of the friction from eating and other jaw movement, loss of jaw bone can occur around the implant. Abstract - Physio - 08 Telomeres as an aging factor S.Subhiksha, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Age is the dominant risk factor for cardiovascular diseases. Average telomere length (TL) acts as a biomarker for biological aging and cardiovascular disease (CVD) in particular. We therefore sought to provide baseline TL information and assess the association of prevalent CVD risk factors with TL in subjects free of overt CVD within a small age range. We measured mean telomere restriction fragment length of peripheral blood leukocytes in a large, representative Asklepios study cohort of 2509 community-dwelling, Caucasian female and male volunteers aged approximately 35–55 years and free of overt CVD. We found manifest age-dependent telomere attrition, at a significantly faster rate in men as compared to women. No significant associations were established with classical CVD risk factors such as cholesterol status and blood pressure, yet shorter TL was associated with increased levels of several inflammation and oxidative stress markers. Importantly, shorter telomere length was associated with an increasingly unhealthy lifestyle, particularly in men. All findings were age and gender adjusted where appropriate. With these cross-sectional results we show that TL of peripheral blood leukocytes primarily reflects the burden of increased oxidative stress and inflammation, whether or not determined by an increasingly unhealthy lifestyle, while the association with classical CVD risk factors is limited. This further clarifies the added value of TL as a biomarker for biological aging and might improve our understanding of how TL is associated with CVD. Ageassociated telomere damage, diminution of telomere 'capping' function and associated p53 activation have emerged as prime instigators of a functional decline of tissue stem cells and of mitochondrial dysfunction that adversely affect renewal and bioenergetic support in diverse tissues. Constructing a model of how telomeres, stem cells and mitochondria interact with key molecules governing genome integrity, 'stemness' and metabolism provides a framework for how diverse factors contribute to ageing and age-related disorders. Abstract - Physio – 09 Wrinkles and grey hair Fazlathunisha & Jayashree, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Skin and hair phenotypes are powerful cues in human communication. They impart much information, not least about our racial, ethnic, health, gender and age status. The hair follicle pigmentary unit is perhaps one of our most visible, accessible and potent aging sensors, with marked dilution of pigment intensity occurring long before even subtle changes are seen in the epidermis. This dichotomy is of interest as both skin compartments contain melanocyte subpopulations of similar embryologic (i.e., neural crest) origin. Whether some follicular melanocyte subpopulations are affected, like epidermal melanocytes, by UV irradiation is not yet clear. A particular target of research into hair graying or canities is the nature of the melanocyte stem compartment and whether this is depleted due to reactive oxygen species-associated damage, coupled with an impaired antioxidant status, and a failure of melanocyte stem cell renewal. Over the last few years, we and others have developed advanced in vitro models and assay systems for isolated hair follicle melanocytes and for intact anagen hair follicle organ culture which may provide research tools to elucidate the regulatory mechanisms of hair follicle pigmentation. Hair pigmentation is one of the most conspicuous phenotypes in humans ranging from black, brown, and blonde to red. Premature graying of hair occurs more commonly without any underlying pathology but is said to be inherited in autosomal dominant pattern. Premature graying has been shown to be associated with a few of the autoimmune disorders. One particular fruitful topic for future study will be to elucidate the function of the amelanotic melanocytes distributed in the outer root sheath of human scalp hair follicles. It will be important to determine if these cells are indeed progeny of so-called stem cells from the bulge area of the hair follicle, and if so, whether they retain some stem cell characteristics themselves. The recruitment of these immature outer root sheath melanocytes for re-pigmentation of the hair follicle (and even the overlying epidermis, especially after wounding) may offer significant clinical gains. Alternatively, these nonpigmenting follicular melanocytes may represent a subpopulation of transient or migrating melanocytes that can only differentiate when in a permissive microenvironment, e.g., melanogenic zone close to the follicular dermal papilla. The reversal of canities after some types of therapy, e.g., radiation/drug, may involve a cytokine-induced activation of these outer root sheath melanocytes. th th Abstract - Physio - 10 Physiological effect of Pranayama Subango Chakrobarthy, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Different types of pranayama produce different physiological cardiovascular responses in normal young individuals. The significant decrease in resting pulse rate, systolic and diastolic blood pressure after the yoga practice in the present study is in accordance with the findings of other studies on physiological effects of yoga practice in healthy individuals. Similar reduction in resting PR and blood pressure after yoga practice was also reported in hypertensive patients, in asthmatic patients and in diabetic patients. In the present study a highly significant reduction in PR, SBP, and DBP can be attributed to modulation of autonomic activity with parasympathetic predominance and relatively reduced sympathetic tone. This autonomic modulation in yoga is mediated through modification of breathing patterns which triggers various central and autonomic mechanisms as well as mechanical and hemodynamic adjustments causing both tonic and phasic changes in cardiovascular functioning. As respiratory and cardiovascular systems have similar control mechanisms, alteration in one system will modify the functioning of the other. During slow and deep breathing lung inflates to the maximum. This stimulates pulmonary stretch receptors which bring about withdrawal of sympathetic tone in skeletal muscle blood vessels leading to widespread vasodilatation and decrease in peripheral resistance and thus decrease diastolic blood pressure. While practicing pranayama one concentrates on the act of breathing which removes attention from worries and "de-stresses" him. This stress-free state of mind evokes relaxed responses in which parasympathetic nerve activity overrides sympathetic activity. Meditation by modifying the state of anxiety reduces stress-induced sympathetic over activity thereby decreasing arterial tone and peripheral resistance resulting in lowering of diastolic blood pressure and heart rate. Regular practice of yoga has showed improvement in baroreflex sensitivity and decrease in the sympathetic tone thereby restoring blood pressure to normal level in patients of essential hypertension. The stress and stress-induced disorders like hypertension and angina are fast growing epidemics and bane of "modern" society. The holistic science of yoga is the best method for prevention as well as management of stress and stressinduced disorders. Numerous studies have shown yoga to have an immediate down-regulating effect on both the HPA axis responses to stress. Abstract - Physio - 1 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF PHYSIOLOGY POSTER PRESENTATION Effects of smoking on systemic organs Pavithra.R & Saranya Rajkumar, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Cigarettes contain more than 4000 chemical compounds and at least 400 toxic substances. When you inhale, a cigarette burns at 700°C at the tip and around 60°C in the core. This heat breaks down the tobacco to produce various toxins. As a cigarette burns, the residues are concentrated towards the butt. The products that are most damaging are: tar, a carcinogen (substance that causes cancer), nicotine is addictive and increases cholesterol levels in your body, carbon monoxide reduces oxygen in the body, components of the gas and particulate phases cause chronic obstructive pulmonary disorder (COPD). Cardiovascular disease is the main cause of death due to smoking. Hardening of the arteries is a process that develops over years, when cholesterol and other fats deposit in the arteries, leaving them narrow, blocked or rigid. When the arteries narrow (atherosclerosis), blood clots are likely to form. Smoking accelerates the hardening and narrowing process in your arteries: it starts earlier and blood clots are two to four times more likely. Cardiovasular disease can take many forms depending on which blood vessels are involved, and all of them are more common in people who smoke. It's a leading cause for coronary thrombosis. The vessels to the brain can become blocked, which can lead to collapse, stroke and paralysis. Damage to the brain's blood supply is also an important cause of dementia. If the kidney arteries are affected, then high blood pressure or kidney failure results. Blockage to the vascular supply to the legs may lead to gangrene and amputation. Smokers tend to develop coronary thrombosis 10 years earlier than non-smokers, and make up 9 out of 10 heart bypass patients. Smoking raises blood pressure, which can cause hypertension (high blood pressure) – a risk factor for heart attacks and stroke. Couples who smoke are more likely to have fertility problems than couples who are non-smokers. Heavy smokers are twice as likely to get macular degeneration, resulting in the gradual loss of eyesight. Smokers run an increased risk of cataracts. Smokers take 25 per cent more sick days year than non-smokers. Smoking stains your teeth and gums. It also causes an acid taste in the mouth and contributes to the development of ulcers. Abstract - Physio - 2 Edema G. Devi & R. Keerthiha, Saveetha Dental College and Hospital, Saveetha University, Chennai - 600077 Edema is the medical term for swelling. It is a general response of the body to injury or inflammation. It can be isolated to a small area or affect the entire body. Medications, infections, pregnancy, and many medical problems can cause edema. Edema results whenever small blood vessels become "leaky" and release fluid into nearby tissues. The extra fluid accumulates, causing the tissue to swell. Edema is a normal response of the body to inflammation or injury. Increased fluid from the blood vessels allows more infection-fighting white blood cells to enter the affected area. Edema can also result from medical conditions or problems in the balance of substances normally present in blood. Albumin and other proteins in the blood act like sponges to keep fluid in the blood vessels. Low albumin may contribute to edema, but isn't usually the sole cause. Edema is a usual component of most allergic reactions. In response to the allergic exposure, the body allows nearby blood vessels to leak fluid into the affected area. If the drainage of fluid from a body part is blocked, fluid can back up. A blood clot in the deep veins of the leg can result in leg edema. A tumor blocking lymph or blood flow will cause edema in the affected area. Burns, life-threatening infections, or other critical illnesses can cause a wholebody reaction that allows fluid to leak into tissues almost everywhere. Widespread edema throughout the body can result. When the heart weakens and pumps blood less effectively, fluid can slowly build up, creating leg edema. If fluid buildup occurs rapidly, fluid in the lungs (pulmonary edema) can develop. Severe liver disease (cirrhosis) results in an increase in fluid retention. Cirrhosis also leads to low levels of albumin and other proteins in the blood. Fluid leaks into the abdomen (called ascites), and can also produce leg edema. A kidney condition called nephrotic syndrome can result in severe leg edema, and sometimes whole-body edema (anasarca). Due to an increase in blood volume during pregnancy and pressure from the growing womb, mild leg edema is common during pregnancy. However, serious complications of pregnancy such as deep vein thrombosis and preeclampsia can also cause edema. Swelling in the brain can be caused by head trauma, low blood sodium (hyponatremia), high altitude, brain tumors, or an obstruction to fluid drainage (hydrocephalus). Headaches, confusion, and unconsciousness or coma can be symptoms of cerebral edema. Proceedings of National B.D.S.Students seminar on Basic Medical Sciences th th Abstract - Pharma - 01 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF PHARMACOLOGY ORAL PRESENTATION Phamacotherapy Of Alzheimer's Disease Sharmila Surenderan Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Alzheimer's disease (AD) is the most common cause of memory impairmentand dementia in the elderly. AD is pathologically characterized byextracellular deposits of beta-amyloid (Aβ) peptide, neurofibrillarytangles (NFTs) composed of hyperphosphorylated tau, neuronal loss, and neurotransmitter dysfunction.Clinically, AD is characterized byprogressive cognitive decline that usually starts with memoryimpairment and progresses to cause a more generalized cognitive dysfunction, behavioral dysregulation, and neuropsychiatric symptoms.These symptoms collectively lead to a progressive and relentlessdecline in the ability to perform functions of daily living,eventually leading to total incapacitation. The incidence andprevalence of AD are expected to exponentially increase with the agingof the population. These drugs, known as acetylcholinesterase inhibitors(AChEIs), were first approved by the U.S. Food and Drug Administration(FDA) in 1995 based on clinical trials showing modest symptomaticbenefit on cognitive, behavioral, and global measures. In 2004 the FDAapproved memantine, an NMDA antagonist, for treating dementia symptoms in moderate to severe AD cases. In clinical practice, memantine may beco-administered with an AChEI, although neither drug individually orin combination affects the underlying pathophysiology of dementia.Dementia in AD results from progressive synaptic loss and neuronaldeath. As knowledge of the mechanisms responsible forneurodegeneration in AD increases, it is anticipated thatneuroprotective drugs to slow or prevent neuronal dysfunction and death will be developed to complement current symptomatic treatments.This review summarises the pharmacological properties of the mainclasses of drugs in current use for the symptomatic treatment ofAlzheimer's disease. However, a number of drugs are indevelopment which are designed to block the neurotoxic action ofamyloid beta peptide and thereby reverse the underlying pathological processes. These include the gamma secretase inhibitors and vaccinesagainst amyloid beta peptide. The limitations of these novelapproaches are discussed. Abstract - Pharma - 02 Geriatric Pharmacology Saima Nasreen Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 The rate of medication errors is high, and these errors can cause adverse drug reactions. Elderly individuals are most vulnerable to adverse drug reactions. One cause of medication errors is the lack of drug knowledge on the part of different health professionals. Adults >65 years old Fastest growing population in US 20% of hospitalizations for those >65 are due to medications they're taking.The geriatric dosing axiom, "start low and go slow" is based on pharmacokinetic considerations and concern for adverse drug reactions, not from clinical trial data. In the absence of generalizable dosage guidelines, individualization via effect titration is required. Adverse drug reactions and polypharmacy represent major linkages to avoidable morbidity and mortality. This, combined with a deficient therapeutic evidence base, suggests that extrapolation of risk-benefit ratios of geriatric populations is not necessarily valid.Pharmacological constitution and regimen for older people is an important topic, one that is related to changing and differing physiology and psychology.Changes in physiology with aging may alter the absorption, the effectiveness and the side effect profile of many drugs. These changes may occur in oral protective reflexes (dryness of the mouth caused by diminished salivary glands), in the gastrointestinal system (such as with delayed emptying of solids and liquids possibly restricting speed of absorption), and in the distribution of drugs with changes in body fat and muscle and drug elimination. Psychological considerations include the fact that elderly persons (in particular, those experiencing substantial memory loss or other types of cognitive impairment) are unlikely to be able to adequately monitor and adhere to their own scheduled pharmacological administration. One study found that 25% of participants studied admitted to skipping doses or cutting them in half. Self-reported noncompliance with adherence to a medication schedule was reported by a striking one-third of the participants. Further development of methods that might possibly help monitor and regulate dosage administration and scheduling is an area that deserves attention.Another important area is the potential for improper administration and use of potentially inappropriate medications, and the possibility of errors that could result in dangerous drug interactions. Polypharmacy is often a predictive factor. Research done on home/community health care found that "nearly 1 of 3 medical regimens contain a potential medication error".The possible care to be taken for the treatment of geriatric patients are presented in this paper. Abstract - Pharma - 03 Steroid In Health And Disease Sujatha K Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077. Steroids are commonly prescribed to help reduce inflammation (anti-inflammatory) suppress the immune system (immunosuppressant) replace hormones that are not being produced by the body due to a health condition (replacement therapy)Inflammation occurs when the immune system tries to prevent an infection from spreading. The immune system is the body's natural defence against infection and illness. It sends special chemicals to the site of the infection, causing it to become inflamed and swollen.Corticosteroids are also used to treat a number of allergic skin conditions.Corticosteroid creams and lotions are often used to treat these types of skin conditions, although steroid tablets may be needed if your symptoms are particularly severe.Some people with COPD have periods where their lungs and airways become very inflamed, often as a result of infection. Corticosteroid tablets are routinely prescribed to help reduce the inflammation and improve breathing.Sometimes, joints, muscles and tendons can become persistently inflamed as a result of injury or over-use. In such cases, a corticosteroid injection may be recommended to help reduce the inflammation. In some illnesses, the immune system malfunctions and attacks healthy tissue. These are known as autoimmune conditions.Corticosteroids are similar to the natural hormones produced by the adrenal gland (located above the kidneys). These hormones play an important role in regulating the body's metabolism (the process of converting food into energy).Corticosteroids are often used to treat Addison's disease. This is where the adrenal glands do not produce the correct amount of hormones.Anabolic steroids, technically known as anabolic-androgenic steroids (AAS), are drugs that are structurally related to the cyclic steroid ring system and have similar effects to testosterone in the body. Conditions pertaining to hormonal imbalances such as gynecomastia and testicular atrophy may also be caused by anabolic steroids. Abstract - Pharma - 04 Pediatric Pharmacology Siva Kumar Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 In the field of pediatrics, it is vital to understand the developmental pharmacology of infants. This is due to the fact that the pharmacodynamics and pharmacokinetics differ between the adults and pediatric population. Failure to appreciate these differences can result in preventable serious morbidity or even mortality. Many of these differences are particularly important in the neonatal or premature neonatal group. Therefore Scaling adult doses to infants based on body weight or surface area does not account for developmental changes that affect drug disposition or tissue/organ sensitivity. The first year of life is associated with major changes in the processes affecting the absorption, distribution, metabolism and excretion of drugs. Drug absorption by the oral route is affected by reduced gastric emptying so that this route is unreliable in the neonate. The intramuscular route is also unreliable but transdermal absorption is often greater, with risks of toxicity. The volume of distribution of many drugs is often markedly increased in the neonate, partly because of reduced plasma protein binding but also because of an increased volume of extracellular fluid relative to total body water. Many clinical monitoring parameters used in adults for assessing medication efficacy or toxicity are also used in the critically ill child. However, normal values for infants and children may differ. One must be aware of these differences in laboratory parameters and normal vital signs in order to adequately monitor pharmacotherapy in PICU patients. For example, children, especially neonates and young infants, have lower blood pressures and higher respiratory and heart rates, compared to adults. Proper references should be consulted for the normal values for age when providing clinical care to critically ill children.Drug distribution is dependent upon the physicochemical properties of the drug (molecular weight, degree of ioniza- tion, solubility in water and lipids) and various patient- specific physiologic factors. These factors include: the composition and size of body compartments (e.g., total body water, intracellular and extracelJular water, and adipose tissue), membrane permeability, pH, protein binding, and hemodynamic variables such as cardiac output, tissue perfusion and regional blood flow. 16 Many of these factors, especially body composition and protein binding, are age related and can be influenced by various disease states observed in PICU patients. Abstract - Pharma - 05 Cosmoceuticals Preethi Padma Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Cosmeceuticals represent one of the most promising, yet challenging treatment options available to physicians. They are the fastest growth segment in the skin-care market, and a number of topical cosmeceutical treatments for conditions such as photoaging, hyperpigmentation, and wrinkles have come into widespread use. This comprehensive review attempts to examine the current literature of the more commonly encountered cosmeceutical agents in order to determine their utility in treating various dermatologic conditions, as well as their potential use in the area of wound healing. Each section, dealing with a different agent, provides a brief chemical background, a review of the published research studies, and ﬁnally concludes with a prediction about its potential role in skin regeneration. Although further research needs to be conducted, adjuvant cosmeceutical therapy may help in prevention of skin cancer, photoaging, and the rejuvenation of skin during wound healing.Almost all the major cosmetic manufacturers use novel delivery systems in their products. The worldwide cosmetics and perfume industry currently generates an estimated annual turnover of US$170 billion (according to Eurostaf-May 2007). L'Oreal has a number of nanotechnology-relatedproducts in the market and ranks 6th in US, which devotes about $600 million of its annual $17 billion revenues to research in the number of nanotech related patents. These products cross female and male markets, and male grooming is one of the fastest growing markets.There are number of innovative cosmetic delivery systems used in cosmetic products. A cosmetic delivery system is a composition or a process that can enhance perceptual or measured performance of cosmetic product.One of the reasons for the widespread use of liposomes in the cosmetic industry is their ease of preparation and the ability to improve the absorption of active ingredients by skin. Liposomes are generally utilised in aqueous systems. Recently, water-sensitive 20 to 30 micron-size microspheres of polymer structure have been developed for the delivery of fragrances, botanicals, and vitamins from anhydrous formulations, such as lipsticks, deodorants, antiperspirants and body sprays. Liposomes are unstable due to their susceptibility to oxidation and the breakdown of liposomal structure; it is overcome by optimising the storage conditions and adding chelators and antioxidants. th th Abstract - Pharma - 06 Drug Administration Through Nanotechnology Rajesh Sardana Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Nanomaterials often have chemical, physical, or biological properties that are different from those of their larger-scale counterparts. Such differences may include altered magnetic, electrical, or optical properties, structural integrity, and chemical or biological activity. Because of researchers' ability to engineer such properties, nanoscale materials have great potential for use in a vast array of products, including FDA-regulated products intended to protect and promote public health. Also, because of some of their special properties, nanomaterials may pose different issues for toxicological, safety, and effectiveness assessments. There is a growing need for scientific information and tools to help better predict or detect potential impacts of such changes on human health. FDA nanotechnology investments have focused on enabling the agency to characterize nanotechnology-based products; develop models for safety and efficacy assessment; and study the behavior of nanomaterials in biological systems and their effects on human health.FDA has long encountered the combination of promise, risk, and uncertainty that accompanies emerging technologies. Nanotechnology is not unique in this regard. The very changes in biological, chemical and other properties that can make nanotechnology applications so exciting also may merit examination to determine any effects on product safety, effectiveness, or other attributes. Understanding nanotechnology remains a top FDA priority. FDA is monitoring the evolving science and has a robust research agenda to help assess the safety and effectiveness of products using nanotechnology.Strong science is critical to FDA's ongoing review of the products it regulates. In general, FDA considers the current framework for safety assessments sufficiently robust and flexible to be appropriate for a variety of materials, including nanomaterials. When a drug enters the body there are certain biological barriers that the drug molecule must first pass to get to its target organ. For example, when a drug is taken orally it must pass barriers in the stomach, the small intestine, the blood and the liver before it reaches the target organ. Barriers which must be overcome in these regions are cell membranes, metabolic enzymes, efflux transporters and binding proteins. Needless to say, there are many criteria which a drug must possess in order to reach its target region.. th th Abstract - Pharma - 07 Poisonings And Antidotes R. Divya Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 The antidotes for some particular toxins are manufactured by injecting the toxin into an animal in small doses and extracting the resulting antibodies from the host animals' blood. This results in an antivenom that can be used to counteract poison produced by certain species of snakes, spiders, and other venomous animals. A number of venoms lack a viable antivenom, and a bite or sting from an animal producing such a toxin often results in death.[citation needed] Some animal venoms, especially those produced by arthropods (e.g. certain spiders, scorpions, bees, etc.) are only potentially lethal when they provoke allergic reactions and induce anaphylactic shock; as such, there is no "antidote" for these venoms because it is not a form of poisoning and anaphylactic shock can be treated (e.g., by the use of epinephrine).Under the head of poisons, it is intended to include all those substances which exercise pernicious, as distinguished from medicinal, effects upon the human body, tending to disturb its action or organization injuriously, and if not remedied to possibly cause death. Such substances may be swallowed, or taken in by the breath, absorbed through the skin, or the thinner and more delicate mucous membranes, or implanted by bites, stings, or other punctured wounds.In many cases persons are aware almost immediately after the act that they have swallowed a poison; but in many others, also, no suspicion is entertained at first. In a general way, it may be stated that it is reasonable to surmise a person has swallowed some poisonous substance, if, shortly after taking food or drink, he is seized with violent pain in the stomach, with vomiting and purging, especially if convulsions or paralysis are present, or if the individual suffer from marked giddiness or delirium, or should there be a great tendency to sleep. The antidote is required to be adapted to the poison, and therefore an effort should be made, instantly after the emetic is given, to find out what kind of a noxious substance has been swallowed, and the proper remedy should be administered in accordance with the following suggestions.The object of most antidotes is to render the active poison an inert substance, after which treatment may be instituted with a view to remedy the mischief which it has previously done. Antidotes, therefore, are generally chemical agents, which attack or combine with the poison in such a way as to render it insoluble, and so inert. th th Abstract - Pharma - 08 Drug Resistance And Management A.K.DEEPIKA Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Drug resistance is the reduction in effectiveness of a drug such as an antimicrobial or an antineoplastic in curing a disease or condition. When the drug is not intended to kill or inhibit a pathogen, then the term is equivalent to dosage failure or drug tolerance. More commonly, the term is used in the context of resistance that pathogens have "acquired", that is, resistance has evolved.The development of antibiotic resistance in particular stems from the drugs targeting only specific bacterial proteins. Because the drug is so specific, any mutation in these proteins will interfere with or negate its destructive effect, resulting in antibiotic resistance.Resistance to chemicals is only one aspect of the problem, another being resistance to physical factors such as temperature, pressure, sound, radiation and magnetism, and not discussed in this article, but found at Physical factors affecting microbial life.Bacteria and other disease-causing microorganisms have a remarkable ability to mutate and acquire resistant genes from other organisms and thereby develop resistance to antimicrobial agents. When an antimicrobial agent is used, the selective pressure exerted by the agent favors the growth of organisms that are resistant to the agent's action. The inappropriate use of antimicrobial drugs has resulted in drug resistance that threatens to reverse the achievements of the last half century.Staphylococcus aureus (S. aureus) is an important cause of health-care associated infections. The organism can cause mild skin infections to potentially fatal systemic infections. During the 1980s, the bacteria became increasingly resistant to semisynthetic penicillin, leading to the reliance on vancomycin for treatment when this resistant pattern was noted. Currently, S. aureus susceptibility to vancomycin may no longer be assumed. Antimicrobial agents are very important tools for treating infectious diseases. Their proper use is essential for patients to recover from the infectious process, as well as to avoid potential toxic effects, reduce associated costs, and reduce the emergence of resistance. Studies suggest that inappropriate antimicrobial use generally precedes the emergence of antimicrobial resistance. Therefore, it is essential to address this issue as the cornerstone of a program designed to prevent the emergence of MDRO.Antimicrobial management involves a multidisciplinary team approach. This team ideally includes the physician, pharmacist, microbiologist, and infection control practitioner. Additionally, each facility is encouraged to develop guidelines that outline and assist in the appropriate use of antimicrobials, based on national standards and local experience. Proceedings of National B.D.S.Students seminar on Basic Medical Sciences Abstract - Pharma - 09 Teratogenecity associated cleft palate A.Agnas Sophia Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 One in every 250 newborns is exposed to antiepileptic drugs in utero. Various studies have attributed a teratogenic effect to these drugs mainly consisting of major malformations, minor anomalies, intrauterine or postnatal growth failure, and psychomotor retardation. Barbiturates and phenytoin are particularly associated with congenital heart malformations, facial clefts, and some other malformations. Cleft lip, with or without cleft palate, is a congenital malformation that affects about 1 in every 700 live human births in the United States each year. Clefts occur more frequently among Asians (about 1:400) and certain American Indians than Europeans. Clefts are relatively less common among Africans and African Americans (about 1:1500).Generally, facial clefting results when medial, lateral, and maxillary nasal processes on either left, right or both sides of the forming craniofacial complex do not fuse completely. Early embryonic changes during the fourth and tenth weeks of gestation, may result in clefting. Suspected causes include environmental insults like maternal diseases, chemotherapy, radiation, alcohol, excess retinoic acid and anticonvulsant medications; or genetic factors.Ultrasound, amniocentesis and molecular genetic techniques can be used to detect common congenital malformations, including cleft lip, early. Advances in surgical techniques and growth factors also help correct problems associated with cleft lip or cleft palate. Cleft lip is usually less serious than cleft palate. About 22 percent of facial clefting has a genetic origin. Again, most cleft lips with or without cleft palate are produced by environmental insults (teratogens such as alcohol, retinoic acid, maternal illness, protein/calorie malnutrition during pregnancy) interacting with one or more genes. There is increased risk for congenital malformations because of maternal age at the time of pregnancy.Additional risk factors include lack of prenatal care during pregnancy, cigarette smoking, lack of a balanced diet and the chronic use of non- prescribed drugs or substance abuse. If parents without a cleft have a child with a cleft, the chance that a subsequent baby will have a cleft is only two to four percent. If either parent has a cleft, the relative risks become about four to five percent for having a baby with a cleft. If both parents have clefts, the risks are much greater .In addition to the required tissue repair, children with cleft lip and palate may have difficulty hearing or speaking clearly. So ,in this paper teratogenicity and cleft palate are high lighted. Abstract - Pharma - 10 Immunomodulators A.Priyanka Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 The recent development of inhibitors of key immune response proteins has revolutionized the therapy of autoimmune diseases; these immunomodulator agents include monoclonal antibodies and receptor antagonists.The active agents of immunotherapy are collectively called immunomodulators. Some of these substances, such as granulocyte colony-stimulating factor (GCSF), interferons, imiquimod and cellular membrane fractions from bacteria . Others including IL-2, IL-7, IL-12, various chemokines, synthetic cytosine phosphate-guanosine (CpG) oligodeoxynucleotides and glucans are currently being investigated extensively in clinical and preclinical studies. Immunomodulatory regimens offer an attractive approach as they often have fewer side effects than existing drugs, including less potential for creating resistance in microbial diseases.A substance that alters the immune response by augmenting or reducing the ability of the immune system to produce antibodies or sensitized cells that recognize and react with the antigen that initiated their production. Immunomodulators include corticosteroids, cytotoxic agents, thymosin, and immunoglobulins. Some immunomodulators are naturally present in the body, and certain of these are available in pharmacologic preparations.The first two immunomodulators to be used widely in IBD are azathioprine and 6-mercaptopurine , drugs that are chemically quite similar. They are used to maintain remission in Crohn's disease and ulcerative colitis. Both have a slow onset of action . Accordingly, they are usually given along with another faster-acting drug (such as corticosteroids).Otherimmunomodulators to treat IBD are cyclosporine A and tacrolimus (Prograf, both used for organ transplantation as well. Cyclosporine A has a more rapid onset of action (one to two weeks) than azathioprine and 6-MP. It is useful in people with active Crohn's disease, but only when given intravenously and at high doses. Both cyclosporine A and tacrolimus have been more effective in treating people with severe ulcerative colitis, and are generally given until one of the slower-acting immunomodulators begins to work or until the patient undergoes curative surgery. Tacrolimus can be used in Crohn's disease when corticosteroids are not effective or when fistulas develop. Tacrolimus may be applied topically for Crohn's disease that affects the mouth or perineal area. Topical tacrolimus is also used to treat pyodermagangrenosum, an ulcerating skin disorder often associated with IBD.Methotrexate works more rapidly than azathioprine or 6-MP, and is given by weekly injections. th th Abstract - Pharma - 11 Nsaid Induced Peptic Ulcer And Management Pradeep.S Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Peptic ulcer disease (PUD) refers to a disruption of the mucosal integrity of the stomach, duodenum, or both, caused by local inflammation, which leads to a well-defined mucosal defect.This results from an imbalance between the damaging effects of noxious substances and the ability of the mucosa to defend against them Non-steroidal anti-inflammatory drugs (NSAIDs) is the major cause of peptic ulcer.Gnawing pain, burning discomfort, and tenderness in the epigastric area are the symptoms and signs most commonly associated with peptic ulcer.Diagnostic procedures and tests used in evaluating peptic ulcer.Pharmacologic treatment of involves acid-neutralizing drugs in the form of H2-receptor antagonists proton pump inhibitors (PPIs), and antacids and Cytoprotective agents. It involves the use of at least two antibiotics for 10 to 14 days. Ulcer risk reduction after H. pylori eradication therapy appears to be more marked in patients beginning NSAID therapy than in patients already receiving and tolerating NSAID therapy. Nonpharmacologic therapy includes endoscopic treatment. Gastroduodenal ulceration and bleeding are the major limitations to the use of non-steroidal anti-inflammatory drugs (NSAIDs). The development of safer NSAIDs or of effective therapies for the prevention of the adverse effects of existing NSAIDs requires a better understanding of the pathogenesis of NSAID-induced ulcer disease. NSAIDs can cause damage to the gastroduodenal mucosa. The presence of acid in the lumen of the stomach also contributes to the pathogenesis of NSAIDinduced ulcers and bleeding, by impairing the restitution process, interfering with haemostasis and inactivating several growth factors that are important in mucosal defence and repair. In recent years, a fuller understanding of the pathogenesis of NSAID-induced ulcer disease has facilitated some new, very promising approaches to the development of stomach-sparing NSAIDs.The various treatment modalities of peptic ulcer using H2 , Proton pump inhibitors and other medications are explained in this paper th th Abstract - Pharma - 12 Myocardial Infarction P.Jesline Rupa Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Myocardial infarction is a major cause of death and disability worldwide. Coronary atherosclerosis is a chronic disease with stable and unstable periods. Myocardial infarction may be a minor event in a lifelong chronic disease, it may even go undetected, but it may also be a major catastrophic event leading to sudden death or severe hemodynamic deterioration. A myocardial infarction may be the first manifestation of coronary artery disease. There are a number of imaging tests that are used in the setting of acute myocardial infarction and acute coronary syndrome. It is clear that there is a definite role for imaging. Furthermore, the term myocardial infarction has major psychological and legal implications for the individual and society. It is an indicator of one of the leading health problems in the world, and it is an outcome measure in clinical trials and observational studies. With these perspectives, myocardial infarction may be defined from a number of different clinical, electrocardiographic, biochemical, imaging, and pathological characteristics. Although aspirin is an effective, inexpensive, and safe treatment of acute myocardial infarction. The term myocardial infarction pathologically denotes the death of cardiac myocytes due to extended ischemia, which may be caused by an increase in perfusion demand or a decrease in blood flow. AMI falls in the spectrum of acute coronary syndromes (ACS), which includes unstable angina (UA), non–ST-elevation myocardial infarction (NSTEMI), and ST-elevation myocardial infarction (STEMI)Persistent elevation of the ST-segment on ECG signifies total occlusion of a coronary artery that causes necrosis of the myocardial tissue. This condition is STEMI. ACS without ST-segment elevation may either be NSTEMI or UA.NSTEMI is more severe than UA. In this condition, the ischemia in the cardiac tissue is extensive enough to release cardiac biomarkers (troponin I or T) into the blood, but the occlusion is not as complete enough to cause elevation of the ST-segment. th th Abstract - Pharma - 13 Drug Interactions Of Antimicrobials Praveen.S Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 As new classes of antimicrobial drugs have become available, and new uses found for older drugs, pharmacokinetic drug interactions with antimicrobials have become more common. Macrolides, fluoroquinolones, rifamycins, azoles and other agents can interact adversely with commonly used drugs, usually by altering their hepatic metabolism. The mechanisms by which antimicrobial agents alter the biotransformation of other drugs is increasingly understood to reflect inhibition or induction of specific cytochrome P450 enzymes.Macrolides inhibit cytochrome P450IIIA4 (CYP3A4), which appears to be the most common metabolic enzyme in the human liver and is involved in the metabolism of many drugs, including cyclosporin, warfarin and terfenadine. Some quinolones preferentially inhibit CYP1A2, which is partially responsible for methylxanthine metabolism. Azoles appear to be broad spectrum inhibitors of cytochromes P450. Within each of these antibiotic classes, there is a rank order of inhibitory potency towards specific cytochrome P450 enzymes. By contrast, rifampicin (rifampin) and rifabutin induce several cytochromes P450, including CYP3A4, and hence can enhance the metabolism of many other drugs.By using in vitro preparations of human enzymes it is increasingly possible to predict those antibiotics that will adversely affect the metabolism of other drugs. In addition, between-patient variability in frequency of interaction may relate to differences in the activities of these enzymes. Although the mechanisms and scope of these interactions are becoming well characterised, the remaining challenge is how to best inform the clinician so that the undesirable consequences of interactions may be prevented. th th Abstract - Pharma - 14 Management Of Hypertension In Dental Practice R. Ram Mohan Kumar Saveetha Dental College and Hospital, Saveetha University, Velappanchavadi, Chennai-600077 Dentistry has played an important role in the detection of patients with hypertension. Patients found to have high blood pressure at or beyond defined levels should be referred for a medical diagnosis and indicated treatment. Once the hypertensive condition is under control, oral and dental evaluation and treatment can be initiated. A significant number of patients with undetected high blood pressure or uncontrolled hypertension today are seeking dental treatment. These patients are at high risk for significant complications such as stroke, heart disease, kidney disease, and retinal disease. Those with very high blood pressure are at great risk for acute medical problems when receiving dental treatment. For those reasons, dentistry must continue to place an emphasis on the detection and referral of patients with high blood pressure. In addition, increased numbers of medically compromised patients are seeking dental treatment who should have their blood pressure monitored during the more stressful dental procedures, such as oral surgery, periodontal surgery, and placement of dental implants. This article reviews the recent advances in the dental and medical management of hypertension. It is important for dentists to be aware of hypertension in relation to the practice of dentistry. The first step in managing the patient with medical problems is acquiring a thorough health history; the second step is for the clinician to fully understand the significance of the disease that may be endorsed by the patient. Each identified condition can affect dental care in a unique manner. For example, medication prescribed for a medical condition might produce a problem during the administration of a local anesthetic, or it could interact with pain medication prescribed post intervention. The dental clinician needs to understand the potential complications that can occur as a consequence of dental treatment of a medically compromised patient and when pretreatment or post-treatment medication or emergency care is indicated. Dental management of the medically compromised patient requires acquisition of a complete health history of the patient. This should include documentation via questionnaire as well as a verbal history. A comprehensive health history questionnaire should include questions about the patients cardiovascular, hematologic, neural and sensory, gastrointestinal, respiratory, dermal, mucocutaneous, and musculoskeletal, endocrine, and urinary systems as well as questions related to sexually transmitted diseases, drug use (eg, alcohol, tobacco), allergies, x-ray exposure or treatment, medications, and hospitalizations. th th Abstract - Pharma - 15 Pharmacological Approach To Migraine Lavanya Chellam And Aparna Saveetha Dental College and Hospital, Saveetha University, Velappanchavadi, Chennai-600077 Migraine is a common episodic disorder, the hallmark of which is a disabling headache generally associated with nausea, and or light and sound sensitivity.The abortive (symptomatic) therapy of migraine ranges from the use of simple analgesics such as nonsteroidal antiinflammatory drugs (NSAIDs) or acetaminophen to triptans, antiemetics, or the less commonly used dihydroergotamine. Abortive treatments are usually more effective if they are given early in the course of the headache; a large single dose tends to work better than repetitive small doses. Many oral agents are ineffective because of poor absorption secondary to migraine-induced gastric stasis. A wide variety of agents are available for the symptomatic treatment of migraine headache, including over-the-counter analgesics, nonsteroidal anti-inflammatory drugs (NSAIDs), combination products, opiates, ergot alkaloids, corticosteroids, dopamine antagonists, and triptans. In the stepped-care approach, simple analgesics and NSAIDs are the recommended first step for the treatment of mild-to-moderate migraine headaches. Patients who do not respond to first-step treatments may be given ergots, combination products, dopamine antagonists, or triptans as the second step. Corticosteroids or opiates may be used as rescue treatment in patients who do not respond to second-step treatment. A stratified approach to care individualizes treatment based on the severity of the headache and other patient-specific factors. In a stratified approach, dihydroergotamine or triptans may be the first-step treatment for patients who present with a history of severe migraines that have responded poorly to previous treatments. Sumatriptan was the first triptan approved for the symptomatic treatment of migraine headache; newer triptans include zolmitriptan, naratriptan, and rizatriptan. Since sumatriptan is rapidly absorbed by the subcutaneous route, its time to onset of effect is shortest. Among triptan drugs that are administered orally, the relative time to onset may be shorter with rizatriptan than sumatriptan. Naratriptan has a longer time to onset but is associated with a lower rate of migraine recurrence than other triptans. Abstract - Pharma - 16 Gene Therapy Rim Jim Saveetha Dental College and Hospital, Saveetha University, Velappanchavadi, Chennai-600077 Gene therapy is an experimental technique that uses genes to treat or prevent disease. In the future, this technique may allow doctors to treat a disorder by inserting a gene into a patient's cells instead of using drugs or surgery. Researchers are testing several approaches to gene therapy, including replacing a mutated gene that causes disease with a healthy copy of the gene ,inactivating, or "knocking out," a mutated gene that is functioning improperly ,introducing a new gene into the body to help fight a disease.Although gene therapy is a promising treatment option for a number of diseases (including inherited disorders, some types of cancer, and certain viral infections), the technique remains risky and is still under study to make sure that it will be safe and effective. Gene therapy is currently only being tested for the treatment of diseases that have no other cures. Gene therapy is a treatment that involves altering the genes inside your body's cells to stop disease.Genes contain DNA the code that controls much of your body's form and function. Genes that don't work properly can cause disease.Gene therapy replaces a faulty gene or adds a new gene in an attempt to cure disease or improve your body's ability to fight disease. Gene therapy holds promise for treating a wide range of diseases, including cancer, cystic fibrosis, heart disease, diabetes, hemophilia and AIDS.The significance and various uses of genetherapy is explained in this paper. th th Abstact - Pharma - 17 Drug Interaction Of Antimicrobials PRAVEEN Saveetha Dental College and Hospital, Saveetha University, Velappanchavadi, Chennai-600077 Antibiotics can sometimes interact with other medicines or other substances. This means that the effects of one of the medicines can be altered by the other.Some antibiotics, such as rifampicin and rifabutin (which can be used to treat tuberculosis and meningitis) can reduce the effectiveness of the combined oral contraceptive pill. Penicillin at the same time as a medication called methotrexate, which is used to treat some types of cancers and severe autoimmune conditions such as the skin condition psoriasis. This is because combining the two medications can cause a range of unpleasant and sometimes serious side effects.Cephalosporins may not be suitable to take with blood-thinning medications such as heparin and warfarin. Aminoglycosides with antifungals ,cyclosporin ,diuretics,muscle relaxants can risk of kidney and hearing damage has to be balanced against the benefits of using aminoglycosides to treat lifethreatening conditions such as meningitis. Taking a tetracycline medications vitamin A supplements ,retinoids such as acitretin, isotretinoin and tretinoin ,blood-thinning medication ,diuretics ,kaolin-pectin and bismuth subsalicylate , insulin ,atovaquone ,sucralfate used to treat ulcers lithium, methotrexate. Macrolide with simvastatin, terfenadine, astemizole and mizolastine.Fluoroquinolones with theophylline, ibuprofen ,ciclosporin,glibenclamide .Some fluoroquinolones can intensify the effects of caffeine (a stimulant found in coffee, tea and cola), which could make you feel irritable, restless and cause problems falling asleep (insomnia).Need to avoid taking medication that contains high levels of minerals or iron as this can block the beneficial effects of fluoroquinolones. The various antibiotics and their interactions are included in this paper. th th Abstract - Pharma - 1 International Journal of Pharma and Bio Sciences ISSN 0975 - 6299 DEPARTMENT OF PHARMACOLOGY POSTER PRESENTATION Hallucinogenic Drugs Yuvarani.s and. Venkatesan. Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Hallucinogens are a type of drug that change a person's perception of reality. Also known as 'psychedelic drugs', hallucinogens make a person see, feel and hear things that aren't real, or distort their interpretation of what's going on around them. Some are quick acting, others take longer to take effect.Some hallucinogens are synthetically manufactured, like LSD (lysergic acid diethylamide), PCP (phencyclidine, or 'angel dust') and ketamine. Naturally occurring compounds found in particular plants. For example the peyote cactus produces the hallucinogen mescaline, while psilocybin is found in certain mushrooms, known as 'magic mushrooms'. They target specific centres of the brain to alter the interpretations of sensory input. For instance, a person might be looking at a blank wall, but their hallucinating brain will interpret the blank wall as moving and swirling, or perhaps covered in insects. The effects of hallucinogens depend on the type of drug, the strength of the dose, the physiology of the person taking them and their state of mind.Some of the common effects of hallucinogens include hallucinations of sight, sound, taste and touch a blurring of the senses, such as sounds being 'felt' or colours being 'heard' feeling detached from the body distortions of time, direction and distance, relaxation, accelerated heart rate, dilated pupils, nausea and loss of appetite. Like many other drugs, it is possible to build up a tolerance to hallucinogens. This means larger and larger doses need to be taken to achieve the same effect. Physical dependance on hallucinogens like PCP or ketamine is possible. If a person stops taking the drug, they may experience withdrawal symptoms.There is no safe level of drug use. Use of any drug always carries some risk. It's important to be careful when taking any type of drug.Hallucinogens affect everyone differently, based on: Size, weight and health,Whether the person is used to taking it,Whether other drugs are taken around the same time,The amount taken,The strength of the drug (varies from batch to batch).The effects of hallucinogens can last for 4 to 12 hours and can be different depending on which type of hallucinogen is used. The following may be experienced during this time:Feeling happy and relaxed,Seeing and hearing things that aren't there,Confusion and trouble concentrating, Dizziness,Blurredvision,Clumsiness,Fast or irregular heart beat ,Breathing quickly ,Vomiting ,Sweating and chills. Common hallucinogens and complications are highlighted in this poster Proceedings of National B.D.S.Students seminar on Basic Medical Sciences Abstract - Pharma - 2 Newer Trends In Insulin Administration Vikram V & Augustian Thomas Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Insulin therapy is effective at lowering blood glucose in patients with diabetes mellitus (DM)]. Insulin is a key player in the control of hyperglycemia for type 1diabetes patients while it is required at later stage or in selective individuals in patients of type 2 diabetes. The major advances achieved in this area include the synthesis of human insulin analogues by recombinant technology. Insulin delivery systems that are currently available for the administration of insulin include insulin syringes, insulin infusion pumps, jet injectors and pens. The traditional and most predictable method for the administration of insulin is by subcutaneous injections. The ultimate goal would be to eliminate the need to deliver insulin exogenously and regain the ability of patients to produce and use their own insulin.The major drawback of current forms of insulin therapy is their invasive nature. In type 1 diabetes, good glycemic control usually requires at least three or more daily insulin injections. To decrease the suffering and improve the adherence in insulin regimens, the use of supersonic injectors, infusion pumps, sharp needles and pens has been adopted.. The newer methods explored include the artificial pancreas with closed- loop system, transdermal insulin, and buccal, oral, pulmonary, nasal, ocular and rectal routes. This review focuses on the new concepts that are being explored for use in future.Use of syringes for insulin delivery is the most common method in use and it offers a wide choice of products that are easy to read and operate glycated haemoglobin, in adult patients without a higher rate of hypoglycaemia.Insulin pens more discreet compared with vials and syringes. Insulin pens combine the insulin container and the syringe into a single modular unit. Insulin pens eliminate the inconvenience of carrying insulin vials and syringes and are more accurate and less painful. Insulin pens are user-friendly, with decreased discomfort of injection, ease of cartridge replacement, insulin-dose setting dial use and prominence of audible clicks can all affect overall dose accuracy. These are the advantages over syringes and needles.The various insulin prepations are explained in a brief way in this paper. . th th Abstract - Pharma - 3 Drug Abuse And Drug Addiction With Reference To Alcohol Teena Sayan And Reshma F Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 The goal of treatment for alcoholism is abstinence. Among alcoholics with otherwise good health, social support, and motivation, the likelihood of recovery is good. Approximately 50% to 60% remain abstinent at the end of a year's treatment and a majority of those stay dry permanently. Those with poor social support, poor motivation, or psychiatric disorders tend to relapse within a few years of treatment. For these people, success is measured by longer periods of abstinence, reduced use of alcohol, better health, and improved social functioning.Treatment for alcoholism can begin only when the alcoholic accepts that the problem exists and agrees to stop drinking. He or she must understand that alcoholism is curable and must be motivated to change. Treatment has three stages:Detoxification may be needed immediately after discontinuing alcohol use and can be a medical emergency, as detox can result in withdrawal seizures, hallucinations, delirium tremens , and in some cases may result in death.Rehabilitation: This involves counseling and medications to give the recovering alcoholic the skills needed for maintaining sobriety. This step in treatment can be done inpatient or outpatient. Both are equally effective.Maintenance of sobriety: This step's success requires an alcoholic to be self-driven. The key to maintenance is support, which often includes regular Alcoholics Anonymous (AA) meetings and getting a sponsor.Because detoxification does not stop the craving for alcohol, recovery is often difficult to maintain. For a person in an early stage of alcoholism, discontinuing alcohol use may result in some withdrawal symptoms, including anxiety and poor sleep. Withdrawal from long-term dependence may bring the uncontrollable shaking, spasms, panic, and hallucinations . Treatment may involve one or more medications. Benzodiazepines are antianxiety drugs used to treat withdrawal symptoms such as anxiety and poor sleep and to prevent seizures and delirium. These are the most frequently used medications during the detox phase, at which time they are usually tapered and then discontinued. They must be used with care, since they may be addictive.There are several medicines used to help people in recovery from alcoholism maintain abstinence and sobriety. One drug, disulfiram may be used once the detox phase is complete and the person is abstinent. It interferes with alcohol metabolism so that drinking a small amount will cause nausea, vomiting, blurred vision, confusion, and breathing difficulty. This medication is most appropriate for alcoholics who are highly motivated to stop drinking or whose medication use is supervised, because the drug does not affect the motivation to drink. th th Abstract - Pharma - 4 Oral Manifestations Of Poisoning Khatija Khan & Irfana Tabasum Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Poisons are harmful substances to our body. They can be found in everyday products such as medicines (if overdosed), carbon monoxide and household cleaning products. The symptoms of poisoning are varied and their severity depends on the type, the amount and how the poison was taken.Poisons (also called toxins) are substances that can harm your body. They can be swallowed, inhaled, absorbed or injected. Accidental poisoning may be caused by household or environmental accidents, exposure to harmful substances, or accidentally overdosing on a harmful substance, such as paracetamol. Different poisons affect your body in different ways and can take effect quickly or over time. As such, the range of symptoms can be broad and varied. If someone suddenly becomes ill for no apparent reason and has unexplained symptoms, you should consider poisoning a possibility. It's particularly likely if you find him or her near a potentially poisonous substance.Symptoms of poisoning can include feeling sick or vomiting, sometimes vomiting blood ,abdominal (tummy) pain, diarrhoea,dizziness, weakness or drowsiness,fever or chills (shivering),fast or irregular pulse,headache, confusion or irritability,pain or burning around or on the affected area double or blurred vision,seizures (fits),stupor (being sleepy or unresponsive) or unconsciousnesThe purpose of this paper is to describe the variety of chemical agents and medicines which can produce oral manifestations following poisoning. Rapid diagnosis is essential in covert cases to ensure early treatment. Furthermore, oral care is an important part of the general management of many poisoned patients. Abstract - Pharma - 5 Teratogenicity Jerin Joseph Chetalan And Neethu Johnson Saveetha Dental College and Hospital, Saveetha University , Velappanchavadi, Chennai-600077 Teratogenicity is the ability to cause developmental anomalies in a fetus. Things that can cause developmental abnormalities are known as teratogens, and they include things like viruses, chemicals, and radiation. Their study is known as teratology; all of these words share a Greek root meaning "monster," a reference to the fact that some developmental abnormalities were viewed as monstrosities or marvels historically.Substances with teratogenic effects can damage the DNA of a developing fetus. They may cause anything from abnormal development of a limb to malformation of an organ, and the effects for the developing fetus can vary depending on the teratogen, the gestational age of the fetus, and other factors. Sometimes, prenatal exposure to teratogenic substances causes the death of the fetus, while in other instances, someone may be born with relatively mild anomalies like extra fingers or toes.Substances with known teratogenicity must be handled carefully. Pregnant women are encouraged to avoid exposure to such substances, and they are tightly controlled to minimize the risk of inadvertent release. As researchers have learned, however, sometimes the danger of a substance is not known until it is too late. Thalidomide, for example, was widely used in pregnant women until medical experts realized that it was causing developmental abnormalities. The absolute risk of 7-10% is about 35% higher than that in the general population. Barbiturates and phenytoin are particularly associated with congenital heart malformations, facial clefts, and some other malformations. Valproate and carbamazepine are associated predominantly with spina bifida aperta and hypospadias. Genetic predisposition to the teratogenic side effects of AEDs plays a role, codetermining the recurrence risk if the woman has previously given birth to a child with a major malformation. th th
How Spirituality is Relevant to Mental Healthcare and Ethical Concerns Professor Chris Cook Introduction What is spirituality? There are numerous and diverse definitions in the literature which vary according to context and authorship. For some, these all seem far too unscientific or, worse, they represent a dangerous crossing of professional boundaries. In response to such concerns the concept would perhaps better be discarded or avoided in clinical practice and research, at least insofar as this is possible. For others, the term spirituality is simply too confusing to be useful and would better be replaced by a number of different concepts (e.g. those of meaning and purpose in life, forgiveness, and acknowledgement of a transcendent or sacred dimension). However, despite these concerns, and for a variety of reasons, some of which will be considered further here, the concept persists in ordinary conversation, in clinical practice and in academic literature. So, what does it mean? In a review of 263 papers in the addictions literature up to the turn of the millennium, I identified 13 components to definitions and descriptions of spirituality employed by clinicians, researchers, service users and others (Cook, 2004). Amongst these, relationship, transcendence, and meaning and purpose in life stand out from those that seem to be particularly important, and commonly encountered in practice. For some, it has also seemed important to distinguish (or even define) spirituality as not being concerned with religion, but for others it has seemed impossible to speak about spirituality apart from religion. (Religion is also difficult to define, but might here be considered as beliefs, practices and rituals concerned with the Sacred.) Religion is sometimes characterised as concerned with dogma, institution and hierarchy, perhaps as being more concerned with the social and less with the subjective and experiential. However, there is much overlap and inter-relationship, and it is perhaps best here simply to acknowledge that the two concepts are related in complex and various ways, but that they also need to be distinguished. Not all people are religious. This is evident. However, it can be argued (whilst acknowledging that not all people self-identify as spiritual) that there is a universal dimension of human life that might be labelled spirituality. In a pluralistic and secular society, a universal domain of this kind can provide a space within which to address various matters which concern us all. A definition of spirituality adopted within the Royal College of Psychiatrists position statement on spirituality and religion (Cook, 2011b) is as follows: Spirituality is a distinctive, potentially creative and universal dimension of human experience arising both within the inner subjective awareness of individuals and within communities, social groups and traditions. It may be experienced as relationship with that which is intimately 'inner', immanent and personal, within the self and others, and/or as relationship with that which is wholly 'other', transcendent and beyond the self. It is experienced as being of fundamental or ultimate importance and is thus concerned with matters of meaning and purpose in life, truth and values. (Cook, 2004) It is not to be imagined that this is an entirely satisfactory definition. It is too long and it lacks clarity and precision. However, it does focus on some of the key issues, it incorporates something of the present debate, and it is sufficiently inclusive of people of all faiths and none to have a degree of utility in practice. Perhaps it can be seen as defining an area of conversation, rather than a concept as such. How Spirituality is Relevant to Mental Healthcare But why bother with spirituality at all? In mental healthcare, the answer to this question primarily concerns the needs and wishes of service users. Whilst many psychiatrists may not be spiritual or religious, many patients are (Cook, 2011a). Furthermore, spirituality and religion provide important coping resources during times of ill health and adversity, and the evidence base in support of the value of these resources is growing (Pargament, 2011). Moreover, users of mental health services often find themselves isolated from the support that is usually provided by their faith community – either as a result of hospitalisation, or else as a result of stigma and shame. There is thus a need to assist them in re-engaging with the resources and supports of which they have been deprived. Spirituality and religious faith also impact upon compliance with treatment. People who identify as spiritual or religious often do not feel that they should need to 'rely' on supports such as those provided by pharmacology or (secular) psychotherapies. Usually, this is a matter of ignorance or misunderstanding, but sometimes (notably in the cases of Scientology or the so-called 'Christian Scientists') it is a matter of the official teaching and beliefs of the group concerned. Faith based organisations are also now providers of mental health care, and psychiatrists need to be aware of the context within which their patients may previously or presently be receiving such care (Koenig, 2005). Not least, spirituality and religion are now the focus of a huge empirical research literature (Koenig et al., 2001, Koenig et al., 2012). Whilst there is on-going debate about the quality and proper interpretation of this evidence base (Sloan et al., 1999, Sloan, 2006), and whilst more research is still needed, it is not something that can be ignored. Arguments in support of the protective effect of spirituality and religion in relation to much mental morbidity, and in respect of apparently improved outcomes associated with spirituality/religion, are important considerations in research and clinical practice, about which all psychiatrists should be aware. Furthermore, specifically spiritual practices incorporated into treatment (e.g. mindfulness, compassion focussed therapy, twelve-step programmes for addiction, etc.) are now also gaining an evidence base and are increasingly available within the context of the NHS. In addition to all of these important, but often indirect, considerations, there is also the matter of identifying and addressing the spiritual needs of users of mental health services as a proper part of comprehensive and holistic care. There have been a variety of approaches to describing and classifying spiritual needs, but a helpful scheme is provided by John Swinton (2001): * Belief and meaning * Authority and guidance * Experience and emotion * Fellowship * Ritual and practice * Courage (hope) and growth * Vocation and consequences Whilst these are clearly matters that will receive attention from healthcare chaplains, they are also important concerns for all healthcare professionals and all patients – including those who will never see a chaplain. They are thus matters about which all clinical staff should be aware, and to which all such staff should also be ready, when necessary, to respond. Ethical Concerns Finally, it must be acknowledged that there are important ethical concerns to be addressed in relation to spirituality in psychiatry. There has been a significant debate about the possible dangers of introducing more attention to spirituality in psychiatric practice (Cook, 2013) and this has been concerned with identifying and respecting proper ethical boundaries and professional good practice, gaining appropriate consent, and the provision of safe clinical 'space' within which patients can be sure that they will not be subject to proselytising or other undue pressure to adopt the values and beliefs of the professional. The General Medical Council have recently revised their guidance relevant to these matters: Paragraph 54 of Good Medical Practice states: You must not express your personal beliefs (including political, religious and moral beliefs) to patients in ways that exploit their vulnerability or are likely to cause them distress (General Medical Council, 2013a) In Personal Beliefs and Medical Practice, the following guidance is given: 29. In assessing a patient's conditions and taking a history, you should take account of spiritual, religious, social and cultural factors, as well as their clinical history and symptoms (see Good medical practice paragraph 15a). It may therefore be appropriate to ask a patient about their personal beliefs. However, you must not put pressure on a patient to discuss or justify their beliefs, or the absence of them. 30. During a consultation, you should keep the discussion relevant to the patient's care and treatment. If you disclose any personal information to a patient, including talking to a patient about personal beliefs, you must be very careful not to breach the professional boundary 1 that exists between you. These boundaries are essential to maintaining a relationship of trust between a doctor and a patient. 31. You may talk about your own personal beliefs only if a patient asks you directly about them, or indicates they would welcome such a discussion. You must not impose your beliefs and values on patients, or cause distress by the inappropriate or insensitive expression of them. (General Medical Council, 2013b) In 2011, the Royal College of Psychiatrists published a Position Statement (PS03/2011), Recommendations for Psychiatrists on Spirituality and Religion (Cook, 2011b). Within this paper it is pointed out that in any clinical encounter with a patient or colleague, we may find ourselves working with someone who could fall into any one of four groups with regard to spirituality/religion: * Identification with a particular social or historical tradition (or traditions) * Adoption of a personally defined, or personal but undefined, spirituality * Disinterest in spirituality and/or religion * Antagonism towards spiritual and/or religious matters Behaviour towards such colleagues and patients will therefore need to be professional and ethical regardless of which of these categories they might identify with. The reader is encouraged to refer to the full Position Statement for further guidance. However, in summary, its seven main recommendations are as follows: 1. Assessment: tactful and sensitive, routinely considered, sometimes essential 2. Respect and sensitivity to spiritual/religious beliefs and practices (or lack of them) of patients, families & carers 3. Psychiatrists should not use their professional position for proselytizing or undermining faith 4. Psychiatrists should work to develop appropriate organisational policies 5. Psychiatrists, whatever their personal beliefs, should be willing to work with leaders/members of faith communities, chaplains and pastoral workers… 6. Psychiatrists should always respect and be sensitive to spiritual and religious beliefs, or lack of them, among their colleagues. 7. Training & CPD The core principles, then, are those of awareness, understanding and respect for both colleagues and service users. 1 A footnote here states: "You must follow our guidance on maintaining a professional boundary between you and your patient. General Medical Council (2013) Maintaining a professional boundary between you and your patient London, GMC. " Summary It is proposed here that spirituality is highly relevant to clinical practice in psychiatry, that good practice in psychiatry requires that it be given careful attention, and that ethical concerns are not best served by avoiding the subject. Rather, positive attention needs to be given to defining and developing good professional practice in such ways as adequately to address the spiritual needs and concerns that patients express. References COOK, C. C. H. 2004. Addiction and spirituality. Addiction, 99, 539-551. , COOK, C. C. H. 2011a. The Faith of the Psychiatrist. Mental Health, Religion & Culture, 14 9-17. COOK, C. C. H. 2011b. Recommendations for Psychiatrists on Spirituality & Religion, London, Royal College of Psychiatrists. COOK, C. C. H. 2013. Controversies on the place of spirituality and religion in psychiatric practice. In: COOK, C. C. H. (ed.) Spirituality, Theology and Mental Health. London: SCM. GENERAL MEDICAL COUNCIL 2013a. Good medical practice, London, General Medical Council. GENERAL MEDICAL COUNCIL 2013b. Personal beliefs and medical practice, London, General Medical Council. KOENIG, H. G. 2005. Faith and mental health, Philadelphia, Templeton Foundation Press. KOENIG, H. G., KING, D. E. & CARSON, V. B. 2012. Handbook of Religion and Health, New York, Oxford University Press. KOENIG, H. G., MCCULLOUGH, M. E. & LARSON, D. B. 2001. Handbook of religion and health, New York, Oxford. PARGAMENT, K. I. 2011. Spiritually Integrated Psychotherapy, New York, Guilford. SLOAN, R. P. 2006. Blind Faith: The Unholy Alliance of Religion and Medicine, New York, St Martin's Press. SLOAN, R. P., BAGIELLA, E. & POWELL, T. 1999. Religion, spirituality and medicine. Lancet, 353, 664-667. SWINTON, J. 2001. Spirituality and mental health care, London, Jessica Kingsley.
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Posttraumatic Stress Hyperarousal Symptoms Mediate the Relationship Between Childhood Exposure to Violence and Subsequent Alcohol Misuse in Mi'kmaq Youth Marc Zahradnik, Sherry H. Stewart, and Simon B. Sherry Dalhousie University Doreen Stevens Mount Saint Vincent University Christine Wekerle McMaster University This study was part of a school-based collaborative research project with a Canadian Mi'kmaq community that examined the potential role of posttraumatic stress (PTS) symptom clusters in mediating the relationship between childhood exposure to violence (EV) and alcohol misuse in a sample of Mi'kmaq adolescents (N = 166). The study employed a cross-sectional design and used several well-validated self-report questionnaires. Path analytic results showed that when each PTS symptom cluster was independently investigated for mediating effects while controlling for depressive symptoms, age, and gender, only the PTS hyperarousal symptom cluster fully mediated the EV–alcohol misuse relationship. Results are discussed within the context of previous theory and research on the topic of PTS as a mediator between EV and alcohol misuse. Interpersonal violence, whether experienced directly or indirectly, especially during childhood, can either precipitate the onset of posttraumatic stress disorder (PTSD) or act as a risk factor that later increases the odds of developing PTSD after subsequent traumas (Brewin, Andrews, & Valentine, 2000). Unfortunately, youth exposure to violence (EV) is not rare. Two American studies (Finkelhor, Ormrod, Turnery, & Hamby, 2005; Hanson et al., Marc Zahradnik, Department of Psychology, Dalhousie University; Sherry H. Stewart, Departments of Psychology, Psychiatry, and Community Health and Epidemiology, Dalhousie University; Simon B. Sherry, Departments of Psychology and Psychiatry, Dalhousie University; Doreen Stevens, Department of Education, Mount Saint Vincent University; Christine Wekerle, Department of Pediatrics, McMaster University. This project was supported in part by a Canadian Institutes of Health Research New Emerging Team (CIHR NET) grant held by Christine Wekerle and Sherry Stewart, a CIHR-Institute of Aboriginal Peoples Health (CIHR-IAPH)-funded Aboriginal Capacity and a Developmental Research Environment (ACADRE) research allowance held by Marc Zahradnik. Marc Zahradnik was also funded by an Atlantic Aboriginal Health Research Program (AAHRP) graduate student award followed by a Nova Scotia Health Research Foundation (NSHRF) graduate student award. Sherry Stewart was supported through a Killam Research Professorship from the Dalhousie University Faculty of Science at the time this research was conducted. Christine Wekerle is supported through an Ontario Women's Health Council/CIHR Mid-Career Award. 2008) using nationally representative samples of youth suggest that one ﬁfth to one half of all children and adolescents have experienced a physical assault, a little over one third have witnessed violence perpetrated toward another, and almost one tenth have been sexually victimized. These ﬁgures are particularly alarming because EV increases the risk of developing PTSD over-and-above other types of traumatic events (Kessler, Sonnega, Bromet, Hughes, & Nelson, 1995; Kilpatrick et al., 2000). Furthermore, not only is EV more likely to result in PTSD or become a risk factor for the later onset of PTSD after a subsequent trauma, but EV is also more likely to predict the development of PTSD with comorbid substance misuse (Wekerle & Wall, 2002). This study refers to both posttraumatic stress disorder (PTSD) and posttraumatic stress (PTS) symptoms of PTSD. The term PTSD is used when referring to the literature that employed this diagnostic label, but as we did not measure diagnostic status in this study, we employ the term PTS when referring to the construct we have measured. Correspondence concerning this article should be addressed to Sherry Stewart, Department of Psychology, Dalhousie University; Halifax, Nova Scotia; B3H 4J1, Canada. E-mail: email@example.com C ⃝ 2011 International Society for Traumatic Stress Studies. View this article online at wileyonlinelibrary.com DOI: 10.1002/jts.20677 There are well-documented relationships between childhood maltreatment and both PTSD and alcohol abuse/dependence (Langeland, Draijer, Nel, & van den Brink, 2004). Moreover, much of the research indicates that PTSD symptoms and alcohol misuse are commonly "comorbid" (Stewart, 1996)—that is, they occur together in the same individuals far more commonly than can be explained by chance. Studies show that the lifetime prevalence rate of having an alcohol-use disorder (abuse or dependence) for those with PTSD ranges from 21.6 to 51.9% but only from 8.1 to 34.4% for those without PTSD (Breslau, Davis, Peterson, & Schultz, 1997; Kessler et al., 1995). Although there are a number of possible explanations for the comorbidity of PTSD and alcohol abuse/dependence, many researchers suggest that those with PTSD misuse alcohol (or other substances) to self-medicate their PTSD symptoms (De Bellis, 2002; Chilcoat & Breslau, 1998; Stewart, Mitchell, Wright, & Loba, 2004). The self-medication theory argues that central nervous system depressants like alcohol may help attenuate certain fear/startle responses as well as the intrusive memories that are characteristic of PTSD (Jacobsen, Southwick, & Kosten, 2001). The relationship between PTSD symptoms and alcohol misuse can become further complicated by a process known as mutual maintenance (Stewart, Pihl, Conrod, & Dongier, 1998). Although an individual receives initial PTSD symptom relief immediately following the consumption of alcohol, once its effects have worn off the PTSD symptoms return. Some of those symptoms, particularly hyperarousal, can return with even greater severity, largely due to the physiological arousal relating to withdrawal from central nervous system depressants like alcohol (Jacobsen et al., 2001). This maintenance or intensiﬁcation of PTSD symptoms then resets the stage for continued alcohol misuse, potentially causing further dysregulation of biological stress response systems (De Bellis, 2002), and interfering with the body's natural habituation to traumatic memories. In this way, alcohol misuse can actually serve to maintain PTSD symptoms in the longer term creating a vicious cycle between PTSD symptoms and alcohol misuse. In essence, the self-medication/mutual maintenance theories suggest that PTSD acts as a mediating variable, that is, a variable that intervenes and helps explain the relationship between trauma exposure and subsequent alcohol misuse. Previous studies that attempted to show the role of PTSD as a mediator between a traumatic event and later alcohol misuse have shown weak to moderate support (Epstein, Saunders, Kilpatrick, & Resnick, 1998; White & Widom, 2008; Zlotnick et al., 2006) though a couple have shown no support (Prigerson, Maciejewski, & Rosenheck, 2002; Ullman, Filipas, Townsend, & Starzynski; 2005). However, none of these studies examined the potential mediating role of the individual PTSD symptom clusters. In light of the relationships between the PTSD symptom clusters of hyperarousal (McFall, MacKay, & Donovan, 1992; Stewart, Conrod, Pihl, & Dongier, 1999; Stewart et al., 2004), reexperiencing (McFall et al., 1992; Read, Brown, & Kahler, 2004; Simons, Gaher, Jacobs, Meyer, & Johnson-Jimenez, 2005) and avoidance and numbing (Sullivan & Holt, 2008; Taft et al., 2007) with alcohol misuse, it is important to examine the potential mediating role of each PTSD symptom cluster because the self-medication model would predict that individuals exposed to violence might be drinking to cope with any of these symptoms (Stewart, 1996). An important variable to control for in the trauma–alcohol misuse relationship is depressive symptoms, however, because of the strong relationships found between depressive symptoms and EV, depressive symptoms and alcohol misuse, and depressive symptoms and PTSD (Kessler, Davis, & Kendler, 1997; Kilpatrick et al., 2003). The present study is also novel in that this is the ﬁrst attempt we know of to address this issue in both an adolescent sample and in partnership with an Aboriginal community. Although the literature is scant, there is evidence to attest to the fact that some North American Aboriginal communities are facing severe issues that involve high rates of EV, PTSD, depressive symptoms, and alcohol misuse. For example, the Canadian Aboriginal People's Survey reported that 73% of Aboriginal respondents reported that alcohol was a problem in their community (Statistics Canada, 1991). From the same survey, 44% of respondents indicated that family violence was a problem in their community, while just over half indicated that both physical and sexual abuse were problems as well (Statistics Canada, 1991). Another study showed that approximately 40% of a sample of 234 American Indians reported exposure to severe child maltreatment, which was most strongly associated with PTSD over other psychological disorders (Duran et al., 2004). Boyd-Ball, Manson, Noonan, and Beals (2006) examined the relationship between trauma exposure and alcohol-use disorders in a sample of American Indian adolescents and young adults. Compared to nontraumatized youth, youth that reported three or more severe traumas were 3.6 times more likely to have a lifetime diagnosis of an alcohol-use disorder, and that interpersonal violence compared to other traumas was more predictive of having a lifetime diagnosis of an alcohol-use disorder (BoydBall et al., 2006); however, they did not examine the potential inﬂuence of PTSD. Other studies with American Indian populations have linked both childhood physical and sexual assault to both depressive symptoms and subsequent alcohol misuse (Libby et al., 2004, 2005). With respect to alcohol consumption, a recent literature review concluded that rates of alcohol use among American Indians and Alaskan Natives are higher than in the general population for both adults and adolescents, and that Native adolescents experience more negative consequences of their drinking than other adolescents (Szlemko, Wood, & Jumper-Thurman, 2006). Thus, by working in partnership with a Mi'kmaq community (see Zahradnik et al., 2007), we attempted to address the question of PTS mediation with a community that is not alone in struggling with the issues highlighted. We hypothesized that adolescents with higher amounts of EV would be more likely to develop PTS symptoms, and these PTS symptoms would in turn more likely lead to alcohol misuse, even after controlling for the inﬂuence of depressive symptoms. Consistent with current studies on how best to organize PTSD symptom clusters (Asmundson et al., 2000; King, Leskin, King, & Weathers, 1998; Stewart et al., 1999) we speciﬁed four separate path models—hyperarousal, reexperiencing, numbing, and avoidance—in which it was predicted that in each model EV would be indirectly related to alcohol misuse through one of our four PTS symptom clusters. See Figure 1 for an example of the hypothesized mediational model for PTS hyperarousal. METHOD Participants and Procedure Violence Questionnaire (CEVQ; Walsh, MacMillan, Trocm´e, Jamieson, & Boyle, 2008), an 18-item self-report measure of childhood EV for use with children/youth 12–18 years. The CEVQ collects information about whether abuse has been experienced and if so, about the severity (measured continuously), onset, and duration of abuse experienced. The reliability coefﬁcient for this measure in our sample was high (α = .92). There are approximately 25,000 Mi'kmaq living in Nova Scotia. The Mi'kmaq makeup about 2.6% of the provincial population and there are 35 reserves administered by 13 self-governing communities. The community of focus in the current study is one of the larger communities; but given this community's request for anonymity, identifying information cannot be provided. A more general description of the community and the steps involved in acquiring community consent and participation in the research process is available (Zahradnik et al., 2007; Zahradnik et al., 2010). The sample was drawn from the community's school-attending youth, and data were collected in both the spring and the fall of 2006. Across the two schools, 166 students participated in the study, which is just over half of those that were eligible to participate. With respect to gender, there were 91 female students and 75 male students. Ages ranged from 14 to 18 years (M = 16.69, SD = 1.39), with most students (77.7%) being 16 years of age or older, the age at which according to Nova Scotian law (Children and Family Services Act, 1990) a child can choose whether she or he wishes to report a case of abuse where she or he alone was the victim. The self-reported education level ranged from Grades 8–12 (M = 9.91, SD = 1.05). Measures Physical, sexual, and emotional abuse/exposure to domestic violence was measured with the Childhood Experience of Posttraumatic stress symptoms were measured with the Child PTSD Symptom scale (CPSS; Foa, Johnson, Feeny, & Treadwell, 2001). The CPSS is a 17-item self-report measure designed to tap each of the three symptom clusters of PTSD according to the Diagnostic and Statistical Manual of Mental Disorders (4th ed.; DSM-IV; American Psychiatric Association, 1994)— reexperiencing, avoidance/numbing, and hyperarousal—in children/youth from ages 8–18 years. In this sample, two of the CPSS subscales (Numbing and Reexperiencing) had unacceptably low Cronbach's α (below .60) because of three problematic items: two items from the Numbing subscale (Item 8: traumatic episode-related memory problems, and Item 12: having a sense of a foreshortened future), and one item from the Reexperiencing subscale (Item 4: emotional reactivity to triggers). We did not include these items in our subscale totals. Research on PTSD has identiﬁed these two numbing items as problematic (King et al., 1998). Thus, it is not unusual for some researchers to also drop these items from their studies (Palyo, Clapp, Beck, Grant, & Marques, 2008). Furthermore, we felt it was justiﬁed to drop the reexperiencing item because its low internal consistency can be interpreted within the context of other ﬁndings that suggest that First Nations people are more likely to experience their anxiety somatically than emotionally (Barker-Collo, 1999). Thus, our four subscales were as follows: Reexperiencing (four items; e.g., nightmares; α = .72), Hyperarousal (ﬁve items; e.g., exaggerated startle response; α = .63), Avoidance (two items; e.g., avoiding thinking about the trauma; α = .71), and Emotional Numbing (three items; e.g., feeling emotionally numb; α = .73). The 20-item Centre for Epidemiological Studies Depression Scale (CESD; Radloff, 1977) was used to measure depressive symptoms. The CESD has been used previously with adolescents (Radloff, 1991). Summing all items yields one overall score ranging from 20 to 80 that reﬂects depressive symptom severity (present sample α = .84). This scale has been well-validated in different samples of Aboriginal adolescents (Manson, Ackerson, Dick, Bar´on, & Fleming, 1990; Thrane, Witbeck, Hoyt, & Shelley, 2004). Evidence suggests measuring the problems that arise as direct consequences of alcohol consumption is a good indicator of alcohol-use disorders in youth (White & Labouvie, 1989); therefore, the Rutgers Alcohol Problem Index (RAPI; White & Labouvie, 1989) was used to measure alcohol misuse. The RAPI is a well-validated 23-item self-report measure that assesses adolescent problem drinking symptoms. It has been validated in community, clinical, and First Nations samples (Noel et al., 2010; White & Labouvie, 1989; Winters, 1999). Responses were summed across the 23 items (α = .97), as recommended by the authors of the RAPI, to yield a composite score that takes problem frequency into account (cf. Winters, 1999). Forty percent of the participants reported not drinking and were given a score of zero for this measure. Analysis Path analysis was conducted with AMOS 7.0 (Arbuckle, 2006). Goodness-of-ﬁt of structural models was evaluated via multiple indices. Adequate ﬁt is indicated by a chi-square-to-degrees of freedom ratio (χ 2 /df ) around 2, an incremental ﬁt index (IFI) and a comparative ﬁt index (CFI) around .95, and a root-mean-square error of approximation (RMSEA) around .08 (Kline, 2005). The RMSEA values are reported with 95% conﬁdence intervals (95% CIs). Given concerns about multivariate nonnormality in our data, we used bootstrapping to address the possible effect of multivariate nonnormality in our path models (Schumacker & Lomax, 2010). All paths in each of the four path models examining the potential mediating role of the PTS symptom clusters were reexamined using bootstrapping procedures. Paths generated using bootstrapping were virtually identical to the results shown in Figure 1 and summarized in text, suggesting multivariate nonnormality had little or no inﬂuence on the results. Bootstrapping estimates are not presented in the main text because such estimates are excessively strict if signiﬁcant deviations from multivariate normality are not present (Nevitt & Hancock, 2001). In sum, bootstrapping procedures suggested the results were not unduly inﬂuenced by possible deviations from multivariate normality. Mallinckrodt, Abraham, Wei, and Russell (2006) assert that a signiﬁcant indirect effect suggests mediation has occurred. The signiﬁcance levels of all indirect effects were tested using random sampling with replacement to generate 20,000 (n = 166) bootstrap samples. Bootstrapping allowed us to estimate bias-corrected standard errors for our indirect effects. Conﬁdence intervals were also calculated, and indirect effects were considered signiﬁcant ( p < .05) if the 95% CI for these indirect effects did not contain zero. RESULTS With respect to EV, based on the CEVQ's more stringent deﬁnitions of physical and sexual abuse (Walsh et al., 2008), 47% of the sample reported physical abuse, 34.3% of the sample reported sexual abuse, and 57.8% of the sample reported either physical or sexual abuse. Exposure to violence was moderately correlated with all four PTS symptoms, depressive symptoms, and alcohol misuse (see Table 1 for correlations, means, and standard deviations). Furthermore, both depressive symptoms and all four PTS symptoms were correlated with alcohol misuse. Age correlated with EV, PTS hyperarousal, PTS avoidance and alcohol misuse, and gender correlated with PTS reexperiencing and Table 1. Bivariate Correlations Among Variables, Means, and Standard Deviations Note. N = 166 with 91 males and 75 females. EV = Exposure to violence; PTS = posttraumatic stress. ∗ p < .05. ∗∗ p < .01. ∗∗∗ p < .001. Table 2. Model Fit Indices for Structural Models Testing the Indirect Effects of Exposure to Violence on Alcohol Misuse Through PTS Symptoms Note. PTS = Posttraumatic stress; IFI = incremental ﬁt index; CFI = comparative ﬁt index; RMSEA = root-mean-square error of approximation; CI = conﬁdence interval. depressive symptoms. To account for their potential inﬂuence, age, gender, and depressive symptoms were included as covariates in all structural models involving PTS symptom clusters as potential mediators. DISCUSSION Fit indices for path models appear in Table 2. All four models ﬁt the data reasonably well. However, when controlling for the effects of depressive symptoms in each of the four models, only one of the models, the PTS hyperarousal model, resulted in a signiﬁcant relationship between the potential mediator and the outcome variable (β = .27, p = .06; see Figure 1). For each of the other three models there were no signiﬁcant relationships between the PTS symptom cluster and alcohol misuse once depressive symptoms were controlled for: reexperiencing (β = −.02, p = .85), avoidance (β = −.06, p = .17), and numbing (β = −.04, p = .681). In contrast, the pathways from depressive symptoms to alcohol misuse were signiﬁcant in these models (βs = .35, .36, and .37, respectively). Consequently, only the indirect effect of EV on alcohol misuse through PTS hyperarousal was signiﬁcant (see Table 3. Although prior studies have examined the role of PTSD as a mediating variable between some form of EV and alcohol misuse (Epstein et al., 1998; White & Widom, 2008; Zlotnick et al., 2006), this is the ﬁrst study of which we are aware to examine the contribution of speciﬁc PTS symptom dimensions while controlling for depressive symptoms, which are known to be related to all three aforementioned variables (Kilpatrick et al., 2003). It is also the ﬁrst study we know of to provide support for the PTS-speciﬁc self-medication hypothesis by demonstrating mediation in a sample of Mi'kmaq (First Nation) adolescents. Our ﬁndings supported an indirect relationship of EV to alcohol misuse through PTS hyperarousal symptoms, but not any of the other PTS symptoms. In summary, all four of the PTS symptom cluster models adequately ﬁt the data. As hypothesized, PTS hyperarousal symptoms involved a signiﬁcant indirect effect; however, indirect effects were not observed for the three other PTS symptom cluster models. That hyperarousal symptoms fully mediated the relation between EV and alcohol misuse is consistent with research linking PTSD hyperarousal symptoms to alcohol misuse (McFall et al., 1992, Simons et al., 2005, Stewart et al., 1999). With respect to the other PTS symptoms, although at the univariate level of analysis these symptom clusters were related to alcohol misuse, contrary to our hypothesis, they did not explain the relationship between EV and alcohol misuse after controlling for the inﬂuence of depressive symptoms. Although these null results were contrary Table 3. Bootstrap Analyses for Indirect Effects of PTS Symptoms Between Exposure to Violence and Alcohol Misuse ∗ Note. PTS= = = ∗ Conﬁdence intervals excluding zero are signiﬁcant (i.e., p < .05). Posttraumatic stress; CI conﬁdence interval; SE bias-corrected standard error. to our hypothesis, we note not all studies examining the relationships between the PTSD symptoms and alcohol misuse report a signiﬁcant univariate relationship (Stewart et al., 1999), let alone a multivariate one. Alternatively, other PTS symptoms, like reexperiencing symptoms, might better explain why EV can lead to misuse of drugs other than alcohol (McFall et al., 1992). Thus, future research might also use illicit drug use and/or misuse of prescription medications as outcomes, but researchers are cautioned not to group arousal-enhancing and arousal-dampening drugs together as mediation ﬁndings may be speciﬁc to arousal-dampening drugs (Stewart & Conrod, 2008). The results of our study are consistent with other research in this area. For example, our sample had comparable but higher rates of abuse to a large community-based study of high risk adolescents that examined the impact of abuse before age 10 on subsequent drinking, and found that abuse increased the risk of ever using alcohol, preteen-ﬁrst-age alcoholic drink, and binge drinking (Hamburger, Leeb, & Swahn, 2008). This study also makes several novel contributions. Our study is the ﬁrst we know to examine the mediating effects of speciﬁc PTS symptom clusters, as opposed to examining the PTS construct as a whole (Prigerson et al., 2002; Ullman et al., 2005; White & Widom, 2008; Zlotnick et al., 2006). Furthermore, we show that even when controlling for the role of depressive symptoms—a construct with strong associations to alcohol misuse—PTS hyperarousal symptoms better explain the link between EV and alcohol misuse. In other words, those youth with a history of EV were more likely to misuse alcohol in relation to their hyperarousal symptoms (i.e., perhaps to dampen these symptoms) regardless of whether or not they would meet all the necessary criteria for a diagnosis of PTSD. Our results are also consistent with the theory of mutual maintenance in which bouts of alcohol consumption, used to dampen hyperarousal symptoms, can actually, by way of alcohol withdrawal, increase the severity of these very symptoms (Jacobsen et al., 2001); however, our design cannot make causal assertions. Our study found support for mediation effects of PTS symptoms in a sample of adolescents, and it is rare to examine this question in a First Nations community. This is important because it is common for First Nations' communities, and North American Aboriginal communities more generally, given their history of colonization and cultural discontinuity (Kirmayer, Brass, & Tait, 2000), to be struggling with a variety of social issues (e.g., suicide, fetal alcohol syndrome, community violence, and child maltreatment) that are related to problematic alcohol use. The results of this study might be of interest to Aboriginal communities looking to better understand a speciﬁc pathway that can lead to problematic alcohol use in their youth. The results of this study, however, must be understood and interpreted within the greater socioeconomic determinants of problematic alcohol use in Aboriginal communities, determinants that include poverty, unemployment, poor health, low educational levels, and low or absent community economic development (Health Canada, 1998). A limitation of our study was that it was a school-based study that used a nonrandom sample. Consequently, the sample is not representative of the whole community and may not generalize to those youth who are not enrolled in school, and who may be dealing with more severe sequelae of EV. Another important caveat is that this study relied on a cross-sectional design. Thus, inferences made about mediation and causation, given the lack of information about temporal sequencing, are not dispositive. This being said, most empirical evidence suggests trauma and PTS symptoms precede alcohol misuse in the majority of comorbid cases (Bremner, Southwick, Darnell, & Charney, 1996; Chilcoat & Menard, 2003). Also of note, stressful life events are common in many First Nations communities (e.g., youth suicides or motor vehicle accidents). Thus, the expression of PTS symptoms as they were captured in this study may not be solely attributable to EV. Although face-to-face interviews are an ideal way to disentangle the chronologies of multiple traumas as they relate to the development of PTS, our use of anonymous self-report measures made this impossible. Furthermore, our sample size precluded us from examining the models with pure cases of one form of abuse (e.g., sexual abuse alone); however, two separate studies have now conﬁrmed that the relationship to alcohol use from both childhood sexual abuse (Epstein et al., 1998) and physical abuse (Zlotnick et al., 2006) is mediated by PTSD. Our sample size also limited our ability to examine all four PTS symptoms and covariates simultaneously within the same path model. Given the strong relationship between these four variables, such an analysis is recommended in the future. Another limitation is that we measured depressive symptoms with the CES-D, which some argue is better conceived of as a measure of general distress, given research showing the CES-D measures anxious in addition to depressive symptoms (FechnerBates, Coyne, & Schwenk, 1994). Thus, future inquiries into this topic might use a purer measure of depressive symptoms. Also of note, White and Widom (2008) suggest that stressful life events, and not PTSD symptoms, fully mediate the relationship between early abuse/neglect and subsequent alcohol problems. Thus, future studies should examine the interplay between factors that contribute to stressful life events (e.g., chaotic interpersonal relationships at home) and PTS symptoms. We were also not able to control for parental alcohol use, a variable that is strongly related to problematic drinking in adolescents (Shin, Edwards, & Heeren, 2009). The literature on adolescent misuse of alcohol, however, also suggests childhood maltreatment is related to adolescent problem drinking even after controlling for parental alcoholism (Harter, 2000; Shin et al., 2009). Finally, our study did not directly measure motivations to consume alcohol, and measuring explicit motivation is important because drinking to cope (Cooper, 1994) is strongly related to PTSD and alcohol misuse (Dixon, Leen-Feldner, Ham, Faldner, Lewis, & 2009; Kaysen et al., 2007). Measuring a construct like drinking motives could provide more direct evidence of intentional self-medication, particularly because self-medication is a dynamic process and researchers are only beginning to analyze the ﬂuctuating interplay between both sets of symptoms across time (Ouimette, Read, Wade, & Tirone, 2010). Ultimately then, future studies would be strengthened by using a prospective design with a direct measure of drinking motives, and with a sample large enough to evaluate all symptoms simultaneously, and to explore the model for both genders and speciﬁc types of abuse, while controlling for parental alcohol consumption and the potential mediating role of stressful life events. The results nonetheless have important clinical implications. For individuals with both PTS hyperarousal symptoms and alcohol-use problems, clinicians should give consideration to whether or not a trauma-speciﬁc therapy that reduces hyperarousal symptoms should be used as an adjunct to treatment for the alcohol misuse. A treatment like imaginal exposure therapy might be useful because it has been demonstrated to decrease all three DSMIV symptom domains (Robertson, Humphreys, & Ray, 2004). In keeping with best practice guidelines, individuals who meet the diagnostic criteria for both PTSD and an alcohol-use disorder should receive an integrated treatment approach (Health Canada, Centre for Addiction and Mental Health, 2002) that targets the functional relationship between both disorders (Zahradnik & Stewart, 2008). An integrated treatment approach to treating PTSD-alcohol use comorbidity is important given that unremitted PTSD is implicated in deleterious substance use disorder outcomes (Read et al., 2004). As such, treatments that only focus on the alcohol/substance use disorder and not the PTSD symptoms will likely be less effective in the long term. Therefore, individuals with both disorders will likely beneﬁt from services in which mental health and addiction services are working together. Overall, this study offers support for a more speciﬁc version of the trauma-PTS/PTSD-alcohol self-medication model by highlighting the importance of hyperarousal symptoms. After controlling for age, gender, and depressive symptoms, our results suggest that for these Mi'kmaq adolescents, it is hyperarousal symptoms, and hyperarousal symptoms alone, that explain the relationship between EV and alcohol misuse. 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FINANCIAL REPORT FISCAL YEAR ENDED JUNE 30, 2012 TABLE OF CONTENTS INTRODUCTORY SECTION TABLE OF CONTENTS (Continued) FINANCIAL SECTION (Continued) Other Supplementary Information INTRODUCTORY SECTION DIRECTORY OF PRINCIPAL OFFICIALS June 30, 2012 CITY COUNCIL Clarence M. Mitchell, Jr., Mayor Willie T. Greene, Sr., Vice-Mayor William T. Webb John U. Garner Sharon Plichta Dr. Robert L. Lazo Margo Crouse CITY SCHOOL BOARD Raymond E. Kohl, Chairman Stewart Merdian Dr. James G. Adams, Jr., Vice-Chairman Helen Kyle Donna Garland CITY SOCIAL SERVICES BOARD Keith Barker, Chairman Dr. Thomas Whartenby Dr. Robert Pryor Sharon Plichta Rita Reeves Liza Sutherland OTHER OFFICIALS City Manager Director of Finance Commissioner of Revenue Director of Social Services Superintendent of Schools City Attorney Chief of Police Keith Barker Judy Taylor-Gallimore David Hankley Susan Clark Bill Sturgill James Cornwell Rick Clark INDEPENDENT AUDITOR'S REPORT To the Honorable Members of City Council City of Galax, Virginia We have audited the accompanying financial statements of the governmental activities, business-type activities, the aggregate discretely presented component units, each major fund, and the aggregate remaining fund information of the City of Galax, Virginia, as of and for the year ended June 30, 2012, which collectively comprise the City's basic financial statements as listed in the table of contents. These financial statements are the responsibility of the City's management. Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and the Specifications for Audits of Counties, Cities, and Towns and Specifications for Audits of Authorities, Boards, and Commissions issued by the Auditor of Public Accounts of the Commonwealth of Virginia. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinions. In our opinion, the financial statements referred to above present fairly, in all material respects, the respective financial position of the governmental activities, business type activities, the aggregate discretely presented component units, each major fund, and the aggregate remaining fund information of the City of Galax, Virginia, as of June 30, 2012, and the respective changes in financial position, and where applicable cash flows thereof for the year then ended in conformity with accounting principles generally accepted in the United States of America. In accordance with Government Auditing Standards, we have also issued our report dated November 28, 2012 on our consideration of the City's internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, and other matters. The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards and should be considered in assessing the results of our audit. 1 319 McClanahan Street, S.W. • P.O. Box 12388 • Roanoke, VA 24025-2388 • 540-345-0936 • Fax: 540-342-6181 • www.BEcpas.com The City has not presented a management discussion and analysis that accounting principles generally accepted in the United States of America require to be present to supplement the financial statements. Such missing information, although not a part of financial statements, is required by the Governmental Accounting Standards Board, who considers it to be an essential part of financial reporting for placing the financial statements in an appropriate operational, economic, or historical context. Our opinion on the financial statements is not effected by the omitted information. In addition, accounting principles generally accepted in the United States of America require that the schedule of funding progress for the defined benefit pension plan and other post-employment benefits and budgetary comparison information as listed in the table of contents, be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board, who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management's responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise the City's financial statements as a whole. The introductory section, combining fund statement, and schedules listed in the table of contents as other supplementary information, and the other information section are presented for purposes of additional analysis and are not a required part of the basic financial statements. The accompanying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by U.S. Office of Management and Budget Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, and is also not a required part of the City's basic financial statements. The other supplementary information and the schedule of expenditures of federal awards are the responsibility of management and were derived from and relate directly to the underlying accounting and other records used to prepare the financial statements. The information has been subjected to the auditing procedures applied in the audit of the financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the information is fairly stated in all material respects in relation to the financial statements as a whole. The introductory and other information sections have not been subjected to the auditing procedures applied in the audit of the basic financial statements and, accordingly, we do not express an opinion or provide any assurance on them. CERTIFIED PUBLIC ACCOUNTANTS Roanoke, Virginia November 28, 2012 BASIC FINANCIAL STATEMENTS STATEMENT OF NET ASSETS June 30, 2012 Primary Government: Public safety Public works Health and welfare Education Water and sewer Component Units: School Board CITY OF GALAX, VIRGINIA STATEMENT OF ACTIVITIES Year Ended June 30, 2012 Net (Expense) Revenue and Total (1,386,025) (618,300) (1,973,404) (40,501) (452,216) (3,700,277) (1,160,920) (576,759) (235,567) (10,143,969) 152,428 152,428 (9,991,541) (3,485,937) (58,583) (3,544,520) 4,107,727 2,034,823 184,173 935,310 1,147,192 435,963 465,184 96,069 139,414 3,207,103 - 12,752,958 (783,103) 21,951,673 21,168,570 BALANCE SHEET GOVERNMENTAL FUND June 30, 2012 STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCE – GOVERNMENTAL FUND Year Ended June 30, 2012 General Fund (Continued) The Notes to Financial Statements are an integral part of this statement. STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCE – GOVERNMENTAL FUND Year Ended June 30, 2012 Reconciliation of the Statement of Revenues, Expenditures, and Changes in Fund Balance of the Governmental Fund to the Statement of Activities: Net change in fund balance – governmental fund (271,000) $ Governmental funds report capital outlays as expenditures; however, in the Statement of Activities, the cost of those assets are allocated over their estimated useful lives and reported as depreciation expense. STATEMENT OF NET ASSETS PROPRIETARY FUND June 30, 2012 STATEMENT OF REVENUES, EXPENSES, AND CHANGES IN FUND NET ASSETS – PROPRIETARY FUND For the Year Ended June 30, 2012 STATEMENT OF CASH FLOWS PROPRIETARY FUND For the Year Ended June 30, 2012 STATEMENT OF NET ASSETS – FIDUCIARY FUND June 30, 2012 EXHIBIT 8 NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies A. Financial Reporting Entity The City of Galax, Virginia (the "City") is a political subdivision of the Commonwealth of Virginia governed by an elected seven-member City Council. The City engages in a comprehensive range of municipal services, including general government administration, judicial administration, public safety, public works, health and welfare, education, recreation and cultural activities, community development, and water and sewer services. Discretely Presented Component Units: Discretely presented component units are entities that are legally separate from the City, but for which the City is financially accountable, or whose relationship with the City is such that exclusion would cause the City's financial statements to be misleading or incomplete. They are reported in separate columns in the government-wide financial statements to emphasize that they are legally separate from the City. Galax City School Board The Galax City School Board (the "School Board") is responsible for elementary and secondary education within the City's jurisdiction. The Board is comprised of five members appointed by City Council. The School Board is fiscally dependent upon the City because City Council approves the School Board budget, levies the necessary taxes to finance operations, and approves the borrowing of money and issuance of debt. The School Board does not issue separate financial statements. Galax City Industrial Development Authority The Galax City Industrial Development Authority (the "IDA") was created to encourage and provide financing for industrial development in the City. The IDA's directors are appointed by City Council, and the City is financially accountable for the IDA in that it provides local funding for the IDA's activities. It is authorized to acquire, own, lease, and dispose of properties to the extent that such activities foster and stimulate industrial development. The IDA is presented as a proprietary fund type and does not issue separate financial statements. Jointly Governed Organizations: The following entities are excluded from the accompanying financial statements: Galax–Carroll Regional Library The Galax-Carroll Regional Library was created by the City and the County of Carroll. The governing body of this organization is appointed by the respective governing bodies of the participating jurisdictions. The City contributed $226,716 to the Library for the current year. The City acts as fiscal agent for this organization. Twin County E-911 Commission The City, in conjunction with the counties of Carroll and Grayson, participates in supporting the Twin County E-911 Commission. The governing body of this organization is appointed by the respective governing bodies of the participating jurisdictions. The City contributed $104,709 to the Commission for the current year. The City acts as fiscal agent for this organization. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) A. Financial Reporting Entity (Continued) Galax-Grayson Ambulance Service The City and the County of Grayson participate in supporting the Galax-Grayson Ambulance Service. The governing body of this organization is appointed by the respective governing bodies of the participating jurisdictions. The organization's activities are primarily supported by user charges. The City acts as fiscal agent for this organization. Carroll – Grayson – Galax Regional Solid Waste Authority The City and the Counties of Carroll and Grayson participate in the Regional Solid Waste Authority. The governing body of this organization is appointed by the respective governing bodies of the participating jurisdictions. Each jurisdiction provides collection of solid waste and recyclables from within its jurisdiction and delivers the collected materials to the Waste Authority. Operations are financed by tipping fees and the individual jurisdictions are required to fund any annual deficit incurred. The City paid $143,048 in tipping fees during the current year. The Wired Road Authority The City and the Counties of Carroll and Grayson participate in The Wired Road Authority. The governing body of this organization is appointed by the respective governing bodies of the participating jurisdictions. The primary purpose of the Authority is to develop and construct broadband infrastructure in the participating localities and then lease that infrastructure to third parties. The organization's activities are to be primarily supported by lease revenue. The City acts as fiscal agent for this organization. Twin County Airport Commission The City and the Counties of Carroll and Grayson participate in the Twin County Airport Commission (the "Commission"). The governing body of this organization is appointed by the respective governing bodies of the participating jurisdictions. The Commission is charged with operating the Twin County Regional Airport. During the current year the City contributed $23,000 in support to the Commission. The City has also entered into an agreement with The Twin County Airport Commission to be responsible for a one-third share of the debt service for hanger construction. During the current year the payment for debt was $10,000. The commitment could be reduced based on potential revenue from rental revenues. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) A. Financial Reporting Entity (Continued) Blue Ridge Crossroads Blue Ridge Crossroads Economic Development Authority (BRCEDA) is the regional industrial facilities authority that represents Galax, Carroll, and Grayson Counties. Each jurisdiction appoints two members and an alternate member. During the current year the City contributed $118,865 to BRECDA. A moral obligation for debt service is currently in place for a regional project known as Wildwood. The City's remaining portion of the obligation is $1.8 million and the contributions to BRCEDA during the current year were $118,865. It is the hope of BRCEDA that this park project will be a catalyst for economic development in the region. B. Government-wide and Fund Financial Statements Government-wide financial statements consist of a Statement of Net Assets and a Statement of Activities that report information on all of the non-fiduciary activities of the primary government and its component units. For the most part, the effect of inter-fund activity has been removed from these statements. Governmental activities, which normally are supported by taxes and intergovernmental revenues, are reported separately from business-type activities, which rely to a significant extent on fees and charges for support. Likewise, the primary government is reported separately from certain legally separate component units for which the primary government is financially accountable. The Statement of Activities demonstrates the degree to which the direct expenses of a given function or segment is offset by program revenues. Direct expenses are those that are clearly identifiable with a specific function or segment. Program revenues include (1) charges to customers or applicants who purchase, use, or directly benefit from goods, services, or privileges provided by a given function or segment and (2) grants and contributions that are restricted to meeting the operational or capital requirements of a particular function or segment. Taxes and other items not properly included among program revenues are reported instead as general revenues. Separate financial statements are provided for governmental funds, proprietary funds, and fiduciary funds, even though the latter are excluded from the government-wide statements. Major individual governmental and major individual enterprise funds are reported as separate columns in the fund financial statements. C. Measurement Focus, Basis of Accounting, and Financial Statement Presentation The government-wide financial statements are reported using the economic resources measurement focus and the accrual basis of accounting, as are the proprietary fund financial statements. Revenues are recorded when earned and expenses are recorded when a liability is incurred, regardless of the timing of related cash flows. Property taxes are recognized as revenues in the year for which they are levied. Grants and similar items are recognized as revenue as soon as all eligibility requirements imposed by the provider have been met. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) C. Measurement Focus, Basis of Accounting, and Financial Statement Presentation (Continued) Agency funds, a type of fiduciary fund, report only assets and liabilities; therefore, they do not have a measurement focus. Agency funds use the accrual basis of accounting to recognize assets and liabilities. Governmental fund financial statements use the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized when they become both measurable and available. Accordingly, real and personal property taxes are recorded as deferred revenue and receivables when levied, net of allowances for uncollectible amounts. Real and personal property taxes recorded at June 30 and received within the first 60 days after year end are included in tax revenues. Sales and utility taxes are recognized as revenues and amounts receivable when the underlying exchange transaction occurs. Licenses, permits, fines, and rents are recorded as revenues when received. Intergovernmental revenues, consisting primarily of federal, state, and other grants for the purpose of specific funding are recognized when earned or at the time of the specific reimbursable expenditure. Revenues from general-purpose grants are recognized in the period in which the grant applies. All other revenue items are considered to be measurable and available only when the government receives cash. Expenditures are generally recognized under the modified accrual basis of accounting when the related fund liability is incurred. However, debt service expenditures as well as expenditures related to compensated absences, other postemployment benefits, landfill postclosure, and claims and judgments are recorded only when payment is due. The City reports the following major governmental fund: General Fund – This is the government's primary operating fund. It accounts for all financial resources of the general government not required to be accounted for in other funds. Proprietary Funds are used to account for the reporting entity's ongoing organizations and activities similar to those often found in the private sector. The City reports the following major proprietary fund: Water and Sewer Fund – The Water and Sewer fund accounts for the activities of the City's water and sewer system, which includes water distribution and sewage collection systems throughout the City. Additionally, the City reports the following fund category: Fiduciary Funds – Fiduciary funds are used to account for assets held by the City in a purely custodial capacity. The Special Welfare Fund, Galax Futures, Smart Beginnings, and Twin County Drug Task Force are reported as agency funds. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) C. Measurement Focus, Basis of Accounting, and Financial Statement Presentation (Continued) Private-sector standards of accounting and financial reporting issued prior to December 1, 1989, generally are followed in both the government-wide and proprietary fund financial statements to the extent that those standards do not conflict or contradict guidance of the Governmental Accounting Standards Board. Governments also have the option of following subsequent private-sector guidance for their business-type activities and enterprise funds, subject to this same limitation. The government has elected not to follow subsequent private-sector guidance. As a general rule, the effect of interfund activity has been eliminated from the government-wide financial statements. Exceptions to this general rule are charges between the government's proprietary funds and various other functions of the government. Elimination of these charges would distort the direct costs and program revenues reported for the various functions concerned. Amounts reported as program revenues include charges to customers or applicants for goods, services or privileges provided, operating grants and contributions, and capital grants and contributions. General revenues include all taxes, grants and contributions not restricted to specific programs, and other revenues not meeting the definition of program revenues. Operating revenues and expenses in the proprietary fund result from providing goods and services in connection with their principal ongoing operations. The principal operating revenues of the City's proprietary fund are charges for services. The proprietary fund also recognizes as operating revenue the portion of tap fees intended to recover the cost of connecting new customers to the system. Operating expenses for the enterprise fund include the cost of sales and services, purchases, administrative expenses, contractual services, and depreciation on capital assets. All revenues and expenses not meeting this definition are reported as nonoperating revenues and expenses. D. Assets, Liabilities, and Net Assets or Equity Cash and Cash Equivalents Cash and cash equivalents include cash on hand, amounts in demand deposits, as well as short-term investments with a maturity date within three months of the date acquired. Receivables All account and property tax receivables are shown net of an allowance for uncollectibles. The allowance for uncollectible accounts is calculated using historical collection data, specific account analysis, and management's judgment. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) D. Assets, Liabilities, and Net Assets or Equity (Continued) Inventories Inventories consist of commodities received from the U.S. Department of Agriculture, which are valued at market in the school operating fund. Inventories of governmental funds are recorded as expenditures when consumed rather than when purchased. Capital Assets Capital assets which include property, plant, equipment, and infrastructure assets are reported in the applicable governmental or business-type activities columns in the government-wide financial statements. Capital assets are defined as items with an initial individual cost of more than $5,000 and an estimated useful life in excess of one year. Such assets are recorded at historical cost or estimated historical cost if purchased or constructed. Donated capital assets are recorded at estimated fair market value at the date of donation. The costs of normal maintenance and repairs that do not add to the value of the asset or materially extend assets' lives are not capitalized. Major outlays for capital assets and improvements are capitalized as projects are constructed. Interest incurred during the construction phase of capital assets of business type activities is included as part of the capitalized value of the assets constructed. Capital assets are depreciated using the straight-line method over the following estimated useful lives: Compensated Absences City and School Board employees are granted a specified number of days of leave with pay each year. The accumulated vacation and sick leave pay is accounted for as a liability in the government-wide financial statements. A liability for these amounts is reported in the governmental funds when the amounts have become due and payable. Deferred Revenues Deferred revenue consists primarily of property taxes not collected within 60 days of year end and property taxes collected that are not yet due. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) D. Assets, Liabilities, and Net Assets or Equity (Continued) Long-term Obligations In the government-wide financial statements (and proprietary fund types in the fund financial statements), long-term debt and other long-term obligations are reported as liabilities in the applicable governmental activities or proprietary fund type statement of net assets. Bond premiums and discounts, as well as bond issuance costs, are deferred and amortized over the life of the bonds using the effective interest method or bonds outstanding method. Bonds payable are reported net of the applicable bond premium or discount. In the fund financial statements, governmental fund types recognize bond premiums and discounts, as well as bond issuance costs, during the current period. The face amount of debt issued is reported as other financing sources. Premiums received on debt issuances are reported as other financing sources while discounts on debt issuances are reported as other financing uses. Repayments and issuance costs are reported as debt service expenditures. Encumbrances Encumbrance accounting, under which purchase orders, contracts, and other commitments for the expenditure of monies are recorded in order to reserve that portion of the appropriation, is employed as an extension of formal budgetary integration in the governmental funds. Significant encumbrances as of June 30, 2012 total $85,847 in the general fund and $278,000 in the School Operating Fund. Estimates Management uses estimates and assumptions in preparing its financial statements. Those estimates and assumptions affect the reported amounts of assets and liabilities, the disclosure of contingent liabilities, and reported revenues, expenditures, and expenses. Actual results could differ from those estimates. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) D. Assets, Liabilities, and Net Assets or Equity (Continued) Fund Equity Fund balance is divided into five classifications based primarily on the extent to which the City is bound to observe constraints imposed upon the use of the resources in the governmental funds. The classifications are as follows: - Nonspendable – Amounts that cannot be spent because they are not in spendable form, or legally or contractually required to be maintained intact. The "not in spendable form" criterion includes items that are not expected to be converted to cash, such as prepaid expenditures and inventory. It also includes the long-term amount of interfund loans. - Restricted – Amounts constrained to specific purposes by their providers (such as grantors, bondholders, and higher levels of government), through constitutional provisions, or by enabling legislation. - Committed – Amounts constrained to specific purposes by City Council, using its highest level of decision making authority; to be reported as committed, amounts cannot be used for any other purposes unless the same highest level of action is taken to remove or change the constraint. - Assigned – Amounts the City intends to use for a specified purpose; intent can be expressed by the governing body or by the City Manager who has been designated this authority. - Unassigned – Amounts that are available for any purpose; positive amounts are reported only in the general fund. City Council establishes fund balance commitments by passage of an ordinance or resolution. This is typically done through adoption and amendment of the budget. Assigned fund balance is established by Council through adoption or amendment of the budget as intended for specific purpose (such as the purchase of capital assets, construction, debt service, or for other purposes). The City applies restricted resources first when expenditures are incurred for purposes for which either restricted or unrestricted (committed, assigned, and unassigned) amounts are available. Similarly, within unrestricted fund balance, committed amounts are reduced first followed by assigned, and then unassigned amounts when expenditures are incurred for purposes for which amounts in any of the unrestricted fund balance classifications could be used. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 1. Summary of Significant Accounting Policies (Continued) D. Assets, Liabilities, and Net Assets or Equity (Continued) Pass Through Financing Leases and Installment Sales in IDA The principal activities of the IDA represent pass through leases or installment sales. These agreements provide for periodic payments in amounts which are equal to the principal and interest payments due to project bond holders. The IDA has assigned all rights to such payments to the trustees, agents, or the holders of the bonds, and the lessees or purchasers have assumed responsibility for all operating costs such as utilities, repairs, and property taxes. In such cases, the IDA neither receives nor disburses funds. Although title to these properties may rest with the IDA, bargain purchase options or other provisions eliminate any equity interest that would otherwise be retained in the lease transactions. Deeds of trust secure outstanding bond obligations, and title will pass to the lessee or purchaser at such time as the bonds are fully paid. Although the IDA provides a conduit to execute such transactions, it does not retain either the benefits of asset ownership or the liability for bond liquidation. Accordingly, the IDA does not recognize associated assets, liabilities, rental income, or interest expense in its financial statements. Economic Incentive Grants Payable Economic incentive grants payable are recorded when, in management's opinion, failure by the grantee to meet the performance criteria is unlikely. Refunds of these incentives are reflected as revenues when collection is determined to be likely. Note 2. Deposits and Investments Deposits Deposits with banks are covered by the Federal Deposit Insurance Corporation (FDIC) and collateralized in accordance with the Virginia Security for Public Deposits Act (the "Act") Section 2.2-4400 et. seq. of the Code of Virginia. Under the Act, banks and savings institutions holding public deposits in excess of the amount insured by the FDIC must pledge collateral to the Commonwealth of Virginia Treasury Board. Financial institutions may choose between two collateralization methodologies and depending upon that choice, will pledge collateral that ranges in the amounts from 50% to 130% of excess deposits. Accordingly, all deposits are considered fully collateralized. Investments Investment Policy: In accordance with the Code and other applicable law, including regulations, the City's investment policy (Policy) permits investments in obligations of the United States or agencies thereof, prime quality commercial paper, non-negotiable certificates of deposit and time deposits of Virginia banks, negotiable certificates of deposit of domestic banks, banker's acceptances with domestic banks, Commonwealth of Virginia and Virginia Local Government Obligations, repurchase agreements collateralized by the U. S. Treasury/Agency securities, the Virginia State Non-Arbitrage Program or other authorized Arbitrage Investment Management programs, and the State Treasurer's Local Government Investment Pool (the Virginia LGIP, a 2a-7 like pool). NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 2. Deposits and Investments (Continued) Investments (Continued) Investment Policy: (Continued) Pursuant to Sec. 2.1-234.7 of the Code, the Treasury Board of the Commonwealth sponsors the LGIP and has delegated certain functions to the State Treasurer. The LGIP reports to the Treasury Board at their regularly scheduled monthly meetings and the fair value of the position in LGIP is the same as the value of the pool shares (i.e., the LGIP maintains a stable net asset value of $1 per share). The Policy limits investment maturities to five years maximum maturity for any negotiable certificate of deposit or any sovereign government obligation excluding those of the United States, to 15 years for any single corporate security, and five years for any single asset-backed security. Credit Risk: As required by state statute, the Policy requires that commercial paper have a short-term debt rating of no less than "A-1" (or its equivalent) from at least two of the following: Moody's Investors Service, Standard and Poor's, and Fitch Investor's Service, provided that the issuing corporation has a net worth of at least $50 million and its long-term debt is rated "A" or better by Moody's and Standard and Poor's. Banker's acceptances and Certificates of Deposit maturing in less than one year must have a short-term debt rating of at least "A-1" by Standard and Poor's and "P-1" by Moody's Investor Service. As of June 30, 100% of the portfolio was invested in "AAAm" rated obligations. Credit ratings presented in this paragraph are Standard and Poor's credit ratings. Concentration of credit risk: The City has not adopted an investment policy for credit risk, which places limits on the amount that they may invest in any one issuer. Interest rate risk: The carrying values of investments were as follows: Percentage of Concentration of Credit Risk: The City has not adopted an investment policy for credit risk, which places limits on the amount it may invest in any one issuer. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 2. Deposits and Investments (Continued) Investments (Continued) Custodial credit risk: (Continued) The above items are reflected in the financial statements as follows: Component Units Restricted amounts: Restricted cash and cash equivalents at the Primary Government consist of accounts for unspent bond proceeds $200,000, Museum $3,124, Blue Ridge Post 145 Book $14,507, Veterans Memorial $38,620, Police Narcotics $14,045, DARE $10,543, Anthem Stock $251,726, and Jeff Matthews Museum $44,990. The Anthem Stock relates to amounts that are restricted by state legislation for specified purposes. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 3. Receivables, Deferred Revenue, and Property Taxes Receivables are as follows: Property taxes: The City levies real estate taxes on all real property within its boundaries, except that exempted by statute, at a rate enacted by City Council on the assessed value of property (except public utility property) as determined by the Commissioner of Revenue. Public utility property is assessed by the Commonwealth. All real property is assessed at 100 percent of fair market value and reassessed every four years as of January 1. The Commissioner of Revenue, by authority of City ordinance, prorates billings for property incomplete as of January 1, but completed during the year. Real estate taxes are billed in annual installments due December 5. Property taxes attach an enforceable lien on property as of January 1. Any uncollected amounts from previous years' levies are incorporated in the taxes receivable balance. The real estate tax rate was $0.62 per $100 of assessed value. Personal property tax assessments on all motor vehicles is $1.68 per $100 assessed value. Personal property tax on business machinery and tools is $1.42 per $100 of assessed value. Personal property taxes for the calendar year are due on December 5. Personal property taxes do not create a lien of property. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 4. Due from/Due to Other Governments Amounts due from other governments consist of the following: Component Amounts due to other governments consist of the following: NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 5. Interfund Activity During the year, the water and sewer fund transferred $293,307 to the general fund. They also transferred an asset with a net book value of $8,907 to governmental activities. Total transfers out by the water and sewer fund for the current year were $302,214. These transfers represented a return of funds previously transferred by the general fund. Note 6. Capital Assets Capital asset activity for the year was as follows: Primary Government NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 6. Capital Assets (Continued) Primary Government (Continued) This amount generally agrees to increase in accumulated depreciation under Primary Government, however during the current year there was a transfer from the Business-Type Activities which is included in the Primary Government Additions line. This asset had prior accumulated depreciation of $17,403 which caused the difference noted here. See note 5 for details of the transfer. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 6. Capital Assets (Continued) Construction Commitments As of June 30, the City has active commitments with contractors as listed below: Discretely Presented Component Unit – School Board Capital asset activity for the year was as follows: NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 7. Long-term Liabilities The following is a summary of changes in long-term liabilities: Debt service requirements of general obligation bonds, literary fund loans, capital leases, compensated absences, other post-employment benefits, and landfill post-closure for Governmental Activities are paid by the General Fund. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 7. Long-term Liabilities (Continued) The primary government's annual debt service requirements to maturity are as follows: Business-type Activities General Obligation Bonds NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 7. Long-term Liabilities (Continued) Details of long-term indebtedness are as follows: Final NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 8. Landfill Post-closure Care Costs The City closed its former landfill site in 1994. In accordance with federal and state laws, the City placed a final cover on this site and was required to perform certain maintenance and monitoring functions for a minimum of ten years after closure. The presence of certain contaminants has been detected in the groundwater, which thereby extends the monitoring period in excess of the initial requirement. The estimated liability is based on the Virginia Department of Environmental Quality (DEQ) accepting the active remedy proposed by the City as discussed below. If the DEQ does not accept the active remedy, the actual costs may increase. Also, actual costs may be higher due to inflation, changes in technology, changes in regulations, or other unforeseen circumstances. The cumulative amount of estimated postclosure care and corrective costs to date for this site, less cash paid for such costs to date, totals $712,000. This amount is included in the long-term liabilities in the primary government. The City's current plan of remediation is monitored natural attenuation. This remedy consists of monitoring wells on the site for what is expected to be approximately thirty years beginning in the year 2010. It is the City and its external engineer's belief that during the thirty years, the groundwater contaminants will decrease to an acceptable level and the City will be released by the DEQ from all other monitoring requirements. The City uses the financial test method of demonstrating assurance for postclosure care and corrective action costs. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 9. Fund Balance/Net Assets Fund balance is classified based primarily on the extent to which the City is bound to observe constraints imposed upon the use of the resources in the government funds. The constraints placed on fund balance for the major governmental funds and all other governmental funds are presented below: General Fund NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 10. Significant Transactions of the City and Component Unit – School Board Certain transactions between the City and School Board are explained here in detail to provide a more informed understanding of the operational relationship of the two entities and how such transactions are presented in the financial statements. 1. The School Board can neither levy taxes nor incur debt under Virginia law. Therefore, the City issues debt "on behalf" of the School Board. The debt obligation is recorded as a liability of the City. The proceeds from the debt issued "on behalf" of the School Board are recorded in the City's General Fund. This fund then accounts for capital expenditures relating to major school construction projects. 2. Debt service payments for school bonded debt are reported as part of the City in the Statement of Revenues, Expenditures, and Changes in Fund Balance – Governmental Fund. 3. Local governments in Virginia have a "tenancy in common" with the School Board whenever the locality incurs a financial obligation for school property which is payable over more than one year. In order to match the capital assets with the related debt, the legislation permits the primary government to report the portion of the school property related to the financial obligation as "jointly owned" assets. When the debt related to a particular capital asset is completely retired, the related capital asset, net of accumulated depreciation, is removed from the City's financial statements and reported in the School Board's financial statements. The School Board retains authority and responsibility over the operation and control of this property. 4. If all economic resources associated with school activities were reported with the School Board, its total expenditures would be as follows: Expenditures of School Board – Component Unit (Exhibit B-2) Principal and other debt service expenses included in primary government (Exhibit 4) $ 12,964,163 388,101 Total expenditures for school activities $ 13,352,264 Note 11. Significant Transactions of the City and Component Unit – Industrial Development Authority The City provides personnel and office space to the IDA at no charge. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 12. Defined Benefit Pension Plan Plan Description The City and School Board contributes to the Virginia Retirement System (VRS), an agent and cost-sharing multiple-employer defined benefit pension plan administered by the Virginia Retirement System (the "System"). All full-time, salaried permanent (professional) employees of public school divisions and participating employers are automatically covered by VRS upon employment. Benefits vest after five years of service credit. Members earn one month of service credit for each month they are employed and their employer is paying into the VRS. Members are eligible to purchase prior public service, active duty military service, certain periods of leave and previously refunded VRS service as credit in their plan. VRS administers two defined benefit plans for local government employees – Plan 1 and Plan 2: - Members hired before July 1, 2010 and who have service credits before July 1, 2010 are covered under Plan 1. Non-hazardous duty members are eligible for an unreduced retirement benefit beginning at age 65 with at least five years of service credit or age 50 with at least 30 years of service credit. They may retire with a reduced benefit as early as age 50 with at least 10 years of service credit or age 55 with at least five years of service credit. - Members hired or rehired on or after July 1, 2010 and who have no service credits before July 1, 2010 are covered under Plan 2. Non-hazardous duty members are eligible for an unreduced benefit beginning at their normal Social Security retirement age with at least five years of service credit or when the sum of their age and service equals 90. They may retire with a reduced benefit as early as age 60 with at least five years of service credit. - Eligible hazardous duty members in Plan 1 and Plan 2 are eligible for an unreduced benefit beginning at age 60 with at least 5 years of service credit or age 50 with at least 25 years of service credit. These members include sheriffs, deputy sheriffs, and hazardous duty employees of political subdivisions that have elected to provide enhanced coverage for hazardous duty service. They may retire with a reduced benefit as early as age 50 with at least five years of service credit. All other provisions of the member's plan apply. The VRS Basic Benefit is a lifetime monthly benefit based on a retirement multiplier as a percentage of the member's average final compensation multiplied by the member's total service credit. Under Plan 1, average final compensation is the average of the member's 36 consecutive months of highest compensation. Under Plan 2, average final compensation is the average of the member's 60 consecutive months of highest compensation. The retirement multiplier for non-hazardous duty members is 1.70%. The retirement multiplier for sheriffs and regional jail superintendents is 1.85%. The retirement multiplier for eligible political subdivision hazardous duty employees other than sheriffs and jail superintendents is 1.70% or 1.85% as elected by the employer. At retirement, members can elect the Basic Benefit, the Survivor Option, a Partial Lump-Sum Option Payment (PLOP), or the Advance Pension Option. A retirement reduction factor is applied to the Basic Benefit amount for members electing the Survivor Option, PLOP, or Advance Pension Option or those retiring with a reduced benefit. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 12. Defined Benefit Pension Plan (Continued) Plan Description (Continued) Retirees are eligible for an annual cost-of-living adjustment (COLA) effective July 1 of the second calendar year of retirement. Under Plan 1, the COLA cannot exceed 5.00%; under Plan 2, the COLA cannot exceed 6.00%. During years of no inflation or deflation, the COLA is -0-%. The VRS also provides death and disability benefits. Title 51.1 of the Code of Virginia (1950), as amended, assigns the authority to establish and amend benefit provisions to the General Assembly of Virginia. The system issues a publicly available comprehensive annual financial report that includes financial statements and required supplementary information for the plans administered by VRS. A copy of the report may be obtained from the VRS Web site at http://www.varetire.org/Pdf/Publications/2010annual-report.pdf or by writing to the System's Chief Financial Officer at P.O. Box 2500, Richmond, VA, 23218-2500. Funding Policy Plan members are required by Title 51.1 of the Code of Virginia (1950), as amended, to contribute 5% of their annual salary to the VRS. The City may and has assumed this 5% member contribution. In addition, the City and School Board are required to contribute the remaining amounts necessary to fund its participation in the VRS using the actuarial basis specified by the Code of Virginia and approved by the VRS Board of Trustees. The City's contribution rate for 2011 was 11.98% of annual covered payroll. The School Board's contribution rates for 2011 were 13.88% for professional employees and 10.63% for non-professional employees. For the three years ended June 30, 2012, 2011, and 2010, total employer contributions made to the VRS statewide teacher pool for professional employees by the School Board were $703,226, $568,397, and $782,520, respectively, and represented 13.88%, 8.27%, and 11.83% of annual covered payroll, respectively, and 100% of the required contributions for 2012, 2011, and 2010, respectively. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 12. Defined Benefit Pension Plan (Continued) Annual Pension Cost For 2011, the City's and School Board's annual pension costs, including the employee share assumed by the City, of $760,480 and $71,998, respectively, were equal to their required and actual contributions. The required contribution was determined as part of the June 30, 2009 actuarial valuation using the entry age normal actuarial cost method. The actuarial assumptions included (a) 7.50% investment rate of return, (b) projected salary increases ranging from 3.75% to 5.60% per year, and (c) 2.50% per year cost-of-living adjustments. Both (a) and (b) included an inflation component of 2.50%. The actuarial value of the City and School Board assets is equal to the modified market value of assets. This method uses techniques that smooth the effects of short-term volatility in the market value of assets over a five-year period. The City and School Board's unfunded actuarial accrued liabilities are being amortized as a level percentage of payroll on an open basis within a period of 20 years. Three-Year Trend Information for City of Galax Three-Year Trend Information for the City of Galax School Board – Non-Professional NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 12. Defined Benefit Pension Plan (Continued) Funded Status and Funding Progress As of June 30, 2011, the most recent actuarial valuation date, the plan was 78.71% funded for the City and 76.62% funded for the School Board. The actuarial accrued liability for benefits was $22,932,374 for the City and $1,767,909 for the School Board and the actuarial value of assets was $18,050,756 for the City and $1,354,573 for the School Board, resulting in an unfunded actuarial accrued liability (UAAL) of $4,881,618 for the City and $413,336 for the School Board. The covered payroll (annual payroll of active employees covered by the plan) was $5,164,454 for the City and $510,780 for the School Board, and the ratio of the UAAL to the covered payroll was 94.52% for the City and 80.92% for the School Board. The schedule of funding progress, presented as Required Supplementary Information following the notes to the financial statements, presents multiyear trend information about whether the actuarial value of plan assets is increasing or decreasing over time relative to the actuarial accrued liability for benefits. Note 13. Other Post-employment Benefits Plan Description The City and School Board provide post-employment medical coverage for retired employees through a single-employer defined benefit plan. The plan is established under the authority of City Council and the School Board, which may also amend the plan as deemed appropriate. Participants in the City's and School Board's OPEB plans must have attained 15 years and 10 years of full-time consecutive service, respectively, to be eligible and may remain on the policy until the participant is eligible for Medicare benefits or becomes employed by another employer. Health benefits include medical insurance. Participating retirees pay 100% of monthly premiums to continue with the insurance plans. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 13. Other Post-employment Benefits (Continued) Plan Description (Continued) The number of participants at July 1, 2010, the date of valuation, was as follows: Funding Policy The City and School Board currently fund post-employment health care benefits on a pay-as-you-go basis. Annual Other Post-employment Benefit Cost and Net OPEB Obligation For 2012, the City and School Board's OPEB costs were equal to the Annual Required Contribution (ARC). NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 13. Other Post-employment Benefits (Continued) Annual Other Post-employment Benefit Cost and Net OPEB Obligation (Continued) The City and School Board's annual OPEB cost, the percentage of annual OPEB cost contributed to the plan, and the net OPEB obligation are as follows. City: Schools: Percentage of Annual OPEB Funding Status and Funding Progress The funding status of the plan as of July 1, 2010 was as follows: Actuarial valuations of an ongoing plan involve estimates of the value of reported amounts and assumptions about the probability of occurrence of events far into the future. Examples include assumptions about future employment, mortality, and healthcare cost trends. Amounts determined regarding the funded status of the plan and the annual required contributions of the employer are subject to continual revision as actual results are compared with past expectations and new estimates are made about the future. The schedule of funding progress, presented as required supplementary information following the notes to the financial statements, presents multiyear trend information about whether the actuarial value of plan assets is increasing or decreasing over time relative to the actuarial accrued liabilities for benefits. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 13. Other Post-employment Benefits (Continued) Actuarial Methods and Assumptions Projections of benefits for financial reporting purposes are based on the substantive plan (the plan as understood by the employer and the plan members) and include the type of benefits provided at the time of each valuation and the historical pattern of sharing of benefit costs between the employer and plan members to that point. The actuarial methods and assumptions used include techniques that are designed to reduce the effects of short-term volatility in actuarial accrued liabilities and the actuarial value of assets, consistent with the long-term perspective of the calculations. In the July 1, 2010, actuarial valuation, the projected unit credit actuarial cost method, was used to determine liabilities. Under this method, the postretirement health costs are assumed to be earned ratably from the date of hire to the participant's full eligibility age. The actuarial assumptions used a 4% discount rate and a medical trend rate of 6.5%. The unfunded accrued liability is being amortized over 30 years, commencing with the 2010 liability. Note 14. Risk Management General liability and other insurance: The City and its component units are exposed to various risks of loss related to torts; theft of, damage to, and destruction of assets; error and omissions; workers' compensation claims and natural disasters. The City participates with other localities in a public entity risk pool for its coverage of workers compensation, excess liability, and public official's liability insurance with the Virginia Municipal Liability Pool. Each member of the risk pool jointly and severally agrees to assume, pay, and discharge any liability. The City pays contributions and assessments based upon classification and defined rates into a designated cash reserve fund held by the Virginia Municipal Group. Claims, awards, and expenses of the pool are paid from this reserve fund. In the event of a loss deficit and depletion of all available excess insurance, the pool may assess all members in the proportion in which the premium of each bears to the total premiums of all members in the year in which such deficit occurs. The City and its component unit – School Board continue to carry commercial insurance for all other risks of loss. The property coverage is for specific amounts based on values assigned to the insured properties. Settled claims resulting from these risks have not exceeded commercial insurance coverage in any of the past three fiscal years. Unemployment insurance: The City and School Board are fully self-insured for unemployment claims. The Virginia Employment Commission bills the City and School Board for all unemployment claims. Healthcare insurance: The City and School Board provide coverage for employees through policies with Anthem. The City and School Board contribute 85% and 100%, respectively of the required premium amount for single coverage for each employee. Dependents of employees are also covered by the policy provided they pay the additional premium to the City and School Board. Total premiums for 2012 paid by the City and School Board (including employee contributions) were approximately $1,166,206 and $1,018,000, respectively. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 15. Commitments and Contingencies Primary Government Special purpose grants: Special purpose grants are subject to audit to determine compliance with their requirements. City officials believe that if any refunds are required they will be immaterial. Consent order: During 2003, a final consent decree was ordered against the City which requires an implementation of measures to eliminate sources of inflow and infiltration and overflows from its sanitary sewer collection system. The City began to implement these measures in 2003 to correct the issues and continues to meet requirements of the consent decree at an estimated cost exceeding $3.0 million. The City has completed several major projects in 2011 and 2012 with funding assistance from general obligation debt through the Virginia Resources Authority in the amount of $1.85 million and a Southern Rivers Grant amount of approximately $967,000. Wired Road Authority: During 2009, the Wired Road Authority entered a lease agreement and received a loan in the amount of $260,000 to complete the broadband infrastructure project. The Authority is responsible for the debt service on the loan. The City has a non-binding commitment to make the debt service payments for the Authority. The balance remaining on the lease at the end of the year is $191,781. Shared Service Fees: The City shares services with Carroll County and Grayson County for costs incurred for the localities courts and sheriff offices. Due to the nature of these services the final amount due to each County is not known until after the financial statement audit has been completed. It is management's policy to record a liability and expenditure during the current period that is equal to the amount paid during the prior year to account for unbilled shared service fees. Any difference caused during the true-up after year end is recorded in the year the bill is paid. During the current year, the shared service liability due to Carroll County and Grayson County is estimated at $521,335. The true-up amount recorded during the current year for 2011 actual cost was $66,314. Pending Litigation: The City has been named a defendant in a civil suit pertaining to a citizen injury incurred on or around a water meter cover. Management estimates that the outcome of the suit will either be favorable or fully covered by insurance. Note 16. Subsequent Events Grant Awards: Subsequent to year end the City was awarded a grant from the Department of Housing and Community Development in the amount of $800,000. This money will be used on the Bottom Area Project. An additional $600,000 will be made available in the future after some portions of the project have been completed. The City was also awarded a grant in the amount of $43,500 from the Department of Conservation and Recreation to develop a storm water control program. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 16. Subsequent Events (Continued) Emergency Medical Services Deed of Trust: Council approved a motion to issue a Deed of Trust in the amount of $125,000 to secure a loan for Galax-Grayson Emergency medical Services for the construction of a new building. Galax-Grayson Emergency Medical Services will be responsible for loan payments to Mount Rogers Planning Disrict Commission. Note 17. Contribution Agreement In 2010, the City contributed approximately $194,000 to the IDA, which the IDA loaned to Galax Partners, LP ("LP") to rehabilitate the Galax Art School. The City may, from time to time, demand any loan repayments received by the IDA be contributed back to the City. At June 30, 2012, $599,991 was outstanding on this note receivable along with $3,541 in accrued interest. The IDA is leasing the rehabilitated facility from the City for a nominal annual rent for a term of 40 years, and subleases the facility to the LP under similar terms. Note 18. New Accounting Standards The Governmental Accounting Standards Board (GASB) has issued the following statements which are not yet effective. GASB Statement No. 60, Accounting and Financial Reporting for Service Concession Arrangements, was issued to address service concession arrangements, which are a type of publicprivate or public-public partnership. The statement defines a service concession arrangement in which (1) the transferor conveys to an operator the right and related obligation to provide services through the use of infrastructure or another public asset in exchange for significant consideration and (2) the operator collects and is compensated by fees from third parties. The requirements of this statement establish recognition, measurement, and disclosure requirements for these types of arrangements. This statement will be effective for the year ending June 30, 2013. GASB Statement No. 61, The Financial Reporting Entity: Omnibus – an amendment of GASB Statements No. 14 and No. 34, modifies certain requirements for the inclusion of component units in the financial reporting entity. For organizations that previously were required to be included as component units by meeting the fiscal dependency criterion, a financial benefit or burden relationship also would need to be present to be included as a component unit. The statement also amends the criteria for reporting of blended component units. For component units that are blended based on the "substantively the same governing body" criterion, it additionally requires that a financial benefit or financial burden relationship exist or that management of the primary government have operational responsibility for the activities of the component unit. The statement also clarifies the reporting of equity interests in legally separate organizations. It requires a primary government to report its equity interest in a component unit as an asset. This statement will be effective for the year ending June 30, 2013. NOTES TO FINANCIAL STATEMENTS June 30, 2012 Note 18. New Accounting Standards (Continued) GASB Statement No. 63, Financial Reporting of Deferred Outflows of Resources, Deferred Inflow of Resources, and Net Position, is intended to improve financial reporting by standardizing the presentation of deferred outflows of resources and deferred inflows of resources and their effects on a government's net position. It alleviates uncertainty about reporting those financial statement elements by providing guidance where none previously existed. This statement will be effective for the year ending June 30, 2013. GASB Statement No. 65, Items Previously Reported as Assets and Liabilities, establishes standards for reclassification of certain items as deferred outflows and inflows of resources that were previously reported as assets and liabilities. The standard limits the items that should be reported as deferred outflows and inflows of resources to items specifically identified in authoritative pronouncements. Additionally, the standard requires that debt issuance costs be recognized as an expense in the period incurred except any portion related to prepaid insurance costs. Prospective application is required. The statement will be effective for the year ending June 30, 2014. GASB Statement No. 66, Technical Corrections – 2012 – an amendment of GASB Statements No. 10 and No. 62, was issued to resolve conflicting guidance that resulted from the issuance of two pronouncements. The statement amends GASB Statement No. 10 by removing the provision that limits fund-based reporting of an entity's risk financing activities to the general fund and the internal service fund type. The fund classification should be determined based on the nature of the activity to be reported. The statement also amends GASB Statement No. 62 by modifying the specific guidance on accounting for (1) operating lease payments that vary from a straight-line basis, (2) the difference between the initial investment (purchase price) and the principal amount of a purchased loan or group of loans, and (3) servicing fees related to mortgage loans that are sold when the stated service fee rate differs significantly from a normal servicing fee rate. The statement will be effective for the year ending June 30, 2014. GASB Statement No. 67, Financial Reporting for Pension Plans replaces the requirements of GASB Statements No. 25 and No. 50 as they relate to pension plans that are administered through trusts or similar arrangements meeting certain criteria. The statement enhances note disclosures and RSI for both defined benefit and defined contribution pension plans. The statement also requires the presentation of new information about annual money-weighted rates of return in the notes to the financial statements and in 10-year RSI schedules. This statement will be effective for the year ending June 30, 2014. GASB Statement No. 68, Accounting and Financial Reporting for Pension Plans replaces the requirements of GASB Statements No. 27 and No. 50 as they relate to governments that provide pensions through pension plans administered as trusts or similar arrangements that meet certain criteria. The statement requires governments providing defined benefit pensions to recognize the long-term obligation for pension benefits as a liability for the first time, and to more comprehensively and comparably measure the annual costs of pension benefits. The statement also enhances accountability and transparency through revised and new note disclosures and required supplementary information, including disclosing descriptive information about the types of benefits provided, how contributions to the pension plan are determined, and assumptions and methods used to calculate the pension liability. This statement will be effective for the year ending June 30, 2015. Management has not yet evaluated the effects, if any, of adopting these standards. REQUIRED SUPPLEMENTARY INFORMATION SCHEDULE OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCE – BUDGET AND ACTUAL GENERAL FUND Year Ended June 30, 2012 SCHEDULE OF FUNDING PROGRESS FOR DEFINED BENEFIT PENSION PLAN AND OTHER POST-EMPLOYMENT BENEFITS As of June 30, 2011 47 NOTE TO REQUIRED SUPPLEMENTARY INFORMATION June 30, 2012 Note 1. Budgetary Information The City follows these procedures in establishing the budgetary data reflected in the financial statements: Prior to May 1, the City Manager submits to City Council a proposed operating and capital budget for the fiscal year commencing the following July 1. The operating and capital budget includes proposed expenditures and the related financing. The following funds have legally adopted budgets: General Fund and the School Operating Fund. Public hearings are conducted to obtain citizen comments. Prior to June 30, the budget is legally enacted through passage of an Appropriations Resolution. The Appropriations Resolution places legal restrictions on expenditures at the function level. Only City Council can revise the appropriation for each category. The City Manager is authorized to transfer budgeted amounts within general government departments, and the School Board is authorized to transfer budgeted amounts within the school system's categories. Formal budgetary integration is employed as a management control device during the year for the General Fund. The School Fund is integrated only at the level of legal adoption. All budgets are adopted on a basis which is consistent with generally accepted accounting principles (GAAP). Appropriations lapse on June 30 for all City units. All budget data presented in the accompanying financial statements includes the original and revised budgets as of June 30. OTHER SUPPLEMENTARY INFORMATION FIDUCIARY FUNDS June 30, 2012 COMBINING STATEMENT OF NET ASSETS - FIDUCIARY FUND AGENCY FUNDS EXHIBIT A-1 DISCRETELY PRESENTED COMPONENT UNIT – SCHOOL BOARD School Operating Fund – This fund accounts for the operations of the School Board's elementary, middle, and high schools. DISCRETELY PRESENTED COMPONENT UNIT – SCHOOL BOARD BALANCE SHEET June 30, 2012 DISCRETELY PRESENTED COMPONENT UNIT – SCHOOL BOARD STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCE Year Ended June 30, 2012 DISCRETELY PRESENTED COMPONENT UNIT – SCHOOL BOARD STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES Year Ended June 30, 2012 IN FUND BALANCE – BUDGET AND ACTUAL – SCHOOL OPERATING FUND The amounts related to these budget items are transferred to the City at year-end. DISCRETELY PRESENTED COMPONENT UNIT – CITY OF GALAX INDUSTRIAL DEVELOPMENT AUTHORITY June 30, 2012 DISCRETELY PRESENTED COMPONENT UNIT CITY OF GALAX INDUSTRIAL DEVELOPMENT AUTHORITY STATEMENT OF NET ASSETS – PROPRIETARY FUND DISCRETELY PRESENTED COMPONENT UNIT STATEMENT OF REVENUES, EXPENSES, AND CHANGES IN FUND NET ASSETS – PROPRIETARY FUND CITY OF GALAX INDUSTRIAL DEVELOPMENT AUTHORITY Year Ended June 30, 2012 STATEMENT OF CASH FLOWS – PROPRIETARY FUND DISCRETELY PRESENTED COMPONENT UNIT CITY OF GALAX INDUSTRIAL DEVELOPMENT AUTHORITY Year Ended June 30, 2012 SUPPORTING SCHEDULE SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS June 30, 2011 Note 2. CITY OF GALAX, VIRGINIA SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS June 30, 2011 Federal Note 1. Basis of Accounting This schedule was prepared on the modified accrual basis. Nonmonetary Assistance Nonmonetary assistance is reported in the Schedule of Federal Awards at the fair market value of the food commodities. At June 30, 2011, the School Board had food commodities totaling $52,444 in inventory. OTHER INFORMATION SECTION FINANCIAL TRENDS INFORMATION UNAUDITED (accrual basis of accounting) GOVERNMENT-WIDE EXPENSES BY FUNCTION Last Ten Fiscal Years General Parks, Interest on Note: The City implemented GASB 34 on during 2003. TABLE 1 FINANCIAL TRENDS INFORMATION GOVERNMENT-WIDE REVENUES Last Ten Fiscal Years (accrual basis of accounting) UNAUDITED Fiscal Year 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 CITY OF GALAX, VIRGINIA FINANCIAL TRENDS INFORMATION UNAUDITED GENERAL GOVERNMENTAL EXPENDITURES BY FUNCTION Last Ten Fiscal Years (1) General Parks, Total Expenditures 29,501,140 27,207,272 29,221,393 29,248,617 34,654,818 21,241,751 23,810,615 22,791,667 21,244,422 18,753,662 Note: Includes General Fund of the Primary Government and Discretely Presented Component Unit - School Board. (1) Reclassifications were made to 2007 amounts due to a change in presentation of recovered costs. Unable to reclassify amounts prior to 2007. TABLE 3 Last Ten Fiscal Years (1) UNAUDITED FINANCIAL TRENDS INFORMATION GENERAL GOVERNMENTAL REVENUES BY SOURCE Permits, Revenue Note: Includes General Fund of the Primary Government and Discretely Presented Component Unit - School Board. (1) Reclassifications were made to 2007 amounts due to a change in presentation of recovered costs. Unable to reclassify amounts prior to 2007. TABLE 4 REVENUE CAPACITY INFORMATION PROPERTY TAX LEVIES AND COLLECTIONS Last Ten Fiscal Years UNAUDITED Collected within the (1) Exclusive of penalties and interest. ASSESSED VALUE OF TAXABLE PROPERTY Last Ten Fiscal Years UNAUDITED REVENUE CAPACITY INFORMATION (1) Assessed at 100% of fair market value. TABLE 6 UNAUDITED PROPERTY TAX RATES Last Ten Fiscal Years (2) Per $100 of assessed value. UNAUDITED DEBT CAPACITY INFORMATION RATIOS OF NET GENERAL BONDED DEBT Last Ten Fiscal Years (1) United States Bureau of the Census. (2) Real Property assessed at 100% of fair market value. (3) Includes all long-term general obligation bonded debt, bonded anticipation notes, and literary fund loans. Excludes revenues bonds, landfill closure/postclosure care liability, capital leases, and compensated absences. UNAUDITED RATIO OF ANNUAL DEBT SERVICE EXPENDITURES FOR GENERAL BONDED DEBT TO TOTAL GENERAL GOVERNMENTAL EXPENDITURES Last Ten Fiscal Years Note: Includes General Fund and Discretely Presented Component Unit - School Board. 72 TABLE 9 COMPLIANCE SECTION REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS Honorable Members of City Council City of Galax, Virginia We have audited the financial statements of the governmental activities, the business-type activities, the aggregate discretely presented component units, each major fund, and the aggregate remaining fund information of the City of Galax, Virginia, as of and for the year ended June 30, 2012, which collectively comprise the City's basic financial statements and have issued our report thereon dated November 28, 2012. We conducted our audit in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; Specifications for Audits of Counties, Cities and Towns, and Specifications for Audits of Authority, Boards and Commissions issued by the Auditor of Public Accounts of the Commonwealth of Virginia. Internal Control over Financial Reporting Management of City of Galax, Virginia, is responsible for establishing and maintaining effective internal control over financial reporting. In planning and performing our audit, we considered the City's internal control over financial reporting as a basis for designing our auditing procedures for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the City's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the City's internal control over financial reporting. Our consideration of internal control over financial reporting was for the limited purpose described in the preceding paragraph and was not designed to identify all deficiencies in internal control over financial reporting that might be significant deficiencies, or material weaknesses and therefore, there can be no assurance that all deficiencies, significant deficiencies, or material weaknesses have been identified. However, as described in the accompanying schedule of findings and questioned costs, we identified certain deficiencies in internal control over financial reporting that we consider to be material weaknesses. 74 Your Success is Our Focus A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. We consider the deficiencies, Items 08-1 and 11-1, described in the accompanying schedule of findings and questioned costs to be material weaknesses. 319 McClanahan Street, S.W. • P.O. Box 12388 • Roanoke, VA 24025-2388 • 540-345-0936 • Fax: 540-342-6181 • www.BEcpas.com Compliance and Other Matters As part of obtaining reasonable assurance about whether the City's financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed instances of noncompliance or other matters that are required to be reported under Government Auditing Standards, which are reported as Items 12-1 and 12-2 in the accompanying schedule of findings and questioned costs. We noted certain other matters that we reported to management of the City in a separate letter dated November 28, 2012. The City's responses to the findings identified in our audit are described in the accompanying schedule of findings and questioned costs. We did not audit the City's responses and, accordingly, we express no opinion on them. This report is intended solely for the information and use of management, others within the entity, state and federal awarding agencies, pass-through entities, and the Galax City Council, and is not intended to be, and should not be, used by anyone other than these specified parties. CERTIFIED PUBLIC ACCOUNTANTS Roanoke, Virginia November 28, 2012 INDEPENDENT AUDITOR'S REPORT ON COMPLIANCE WITH REQUIREMENTS THAT COULD HAVE A DIRECT AND MATERIAL EFFECT ON EACH MAJOR PROGRAM AND ON INTERNAL CONTROL OVER COMPLIANCE IN ACCORDANCE WITH OMB CIRCULAR A-133 Honorable Members of City Council City of Galax, Virginia Compliance We have audited the compliance of the City of Galax, Virginia with the types of compliance requirements described in the OMB Circular A-133 Compliance Supplement that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2012. The City's major federal programs are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs. Compliance with the requirements of laws, regulations, contracts, and grants applicable to each of its major federal programs is the responsibility of the City's management. Our responsibility is to express an opinion on the City's compliance based on our audit. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. Those standards and OMB Circular A-133 require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about the City's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion. Our audit does not provide a legal determination of the City's compliance with those requirements. In our opinion, the City of Galax, Virginia complied, in all material respects, with the compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2012. 319 McClanahan Street, S.W. • P.O. Box 12388 • Roanoke, VA 24025-2388 • 540-345-0936 • Fax: 540-342-6181 • www.BEcpas.com Internal Control over Compliance Management of the City is responsible for establishing and maintaining effective internal control over compliance with the requirements of laws, regulations, contracts, and grants applicable to federal programs. In planning and performing our audit, we considered the City's internal control over compliance with the requirements that could have a direct and material effect on a major federal program to determine the auditing procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with OMB Circular A-133, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the City's internal control over compliance. A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect and correct noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected, on a timely basis. Our consideration of internal control over compliance was for the limited purpose described in the first paragraph of this section and was not designed to identity all deficiencies in internal control over compliance that might be deficiencies, significant deficiencies, or material weaknesses. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses, as defined above. This report is intended for the information and use of management, City Council, others within the entity, and state and federal awarding agencies and pass-through entities and is not intended to be, and should not be, used by anyone other than these specified parties. CERTIFIED PUBLIC ACCOUNTANTS Roanoke, Virginia November 28, 2012 SUMMARY OF COMPLIANCE MATTERS June 30, 2012 As more fully described in the Report on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards, we performed tests of the City's compliance with certain provisions of the laws, regulations, contracts, and grants shown below. STATE COMPLIANCE MATTERS Code of Virginia Budget and Appropriation Laws Cash and Investment Laws Conflicts of Interest Act Local Retirement Systems Debt Provisions Procurement Laws Uniform Disposition of Unclaimed Property Act Comprehensive Services Act Highway Maintenance State Agency Requirements Education FEDERAL COMPLIANCE MATTERS Compliance Supplement for Single Audits of State and Local Governments Provisions and conditions of agreements related to federal programs selected for testing. SCHEDULE OF FINDINGS AND QUESTIONED COSTS Year Ended June 30, 2012 A. SUMMARY OF AUDITOR'S RESULTS 1. The auditor's report expresses an unqualified opinion on the financial statements. 2. Two material weaknesses relating to the audit of the financial statements are reported in the Report on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards. 3. No instances of noncompliance material to the financial statements were disclosed. 4. No significant deficiencies relating to the audit of the major federal award programs were reported in the Independent Auditor's Report on Compliance with Requirements that Could Have a Direct and Material Effect on Each Major Program and on Internal Control over Compliance in Accordance with OMB Circular A-133. 5. The auditor's report on compliance for the major federal award programs expresses an unqualified opinion. 6. The audit disclosed no audit findings relating to major programs. 7. The programs tested as major programs include: 8. The threshold for distinguishing Type A and B programs was $300,000. 9. The City was not determined to be a low-risk auditee. SCHEDULE OF FINDINGS AND QUESTIONED COSTS Year Ended June 30, 2012 B. FINDINGS – FINANCIAL STATEMENT AUDIT 08-1: Segregation of Duties (Material Weakness) Condition: A fundamental concept of internal controls is the separation of duties. No one employee should have access to both physical assets and the related accounting records, or to all phases of a transaction. A proper segregation of duties has not been established in functions related to payroll, accounts payable, accounts receivable, and cash disbursements. Recommendation: Steps should be taken to eliminate performance of conflicting duties where possible or to implement effective compensating controls. Management's Response: Management concurs and will implement controls where possible. 11-1: Audit Adjustments (Material Weakness) Condition: We noted errors in the year end closing process related to cash at the School Board, receivables, due from other governments at Social Services, and other liabilities in the current year indicating controls over these items are not adequate. Recommendation: During the year end closing process, management should implement review procedures to ensure that the propriety and reasonableness of ending balances. Management's Response: Management concurs and will implement procedures to address the issues noted. C. FINDINGS AND QUESTIONED COSTS – MAJOR FEDERAL PROGRAMS AUDIT None. D. FINDINGS AND QUESTIONED COSTS – COMMONWEALTH OF VIRGINIA 12-1: General Fund Budget Appropriations Condition: Expenditures exceeded budget appropriations in six general fund categories and three school operating fund categories. Recommendation: Steps should be taken to ensure that any excess expenditures over budgeted appropriations be approved by City Council and the budget be amended accordingly. Management Response: Management concurs with this finding. (Continued) 80 SCHEDULE OF FINDINGS AND QUESTIONED COSTS Year Ended June 30, 2012 D. FINDINGS AND QUESTIONED COSTS – COMMONWEALTH OF VIRGINIA (Continued) 12-2: Conflicts of Interest Act – Disclosure Forms Condition: We noted that two individuals did not timely submit all applicable forms required by the Code of Virginia. Two were filed after the deadline and one was not submitted. Recommendation: Steps should be taken to ensure timely and complete filing of economic interest disclosure forms by all required parties. Management Response: Management concurs with this finding.
Holy Trinity Orthodox Church Fr. Luke Mihaly 74 Joes Hill Road Danbury, CT 06811 Rectory (203) 748-0671 Cell (203) 482-6223 Welcome to Holy Trinity Parish email@example.com www.holytrinitydanbury.org Diocesan Website: www.acrod.org Camp Nazareth: http://www.campnazareth.org Facebook: https://www.facebook.com/acroddiocese Twitter: https://twitter.com/acrodnews You Tube: https://youtube.com/acroddiocese 2 2 2 2 2 2 3 3 3 3 4 Today is the Twenty-first Sunday after Pentecost. The Epistle is Galatians 2:16-20. The Gospel is from Luke 10:25-37. John Chrysostom. Holy Trinity is a diverse and welcoming parish of the Carpatho Russian Diocese, under the Ecumenical Patriarchate. His Grace, Bishop Gregory of Nyssa, is our diocesan ruling hierarch. Divine Liturgy is offered Sunday at 10 am. As reminder only those Orthodox Christians who are properly prepared are invited to receive Holy Communion. Divine Liturgy for Coffee Hour and Fellowship. Jesus Christ and His Holy Orthodox Church. Come down and meet Fr. Luke and the parishioners. Everyone is invited downstairs following Our parish offers many opportunities to pray, to study and learn more about If you have any questions about the Orthodox Church, our Faith, or our parish please feel free to contact Fr. Luke. He is more than happy to meet with you and talk. Schedule of Services and Events for this week Sunday, November 13, 11:30 AM – Panachida for Marion Fallon Thursday, November 17, 7 PM – St. Nectarios Anointing Service Sunday, November 13, 11:30 AM – Parish Meeting on new parish rectory immediately following Divine Liturgy in the church Sunday, November 13, 11:30 AM – Church School Tuesday, November 15 – The Start of the Advent Fast Wednesday, November 16, 7:30 PM – Adult Catechism Class Sunday, November 20, 11:30 AM – Church School Friday, November 18, 9:30 AM – Old Testament Class Sunday, November 20, 11:30 AM to 1 PM – Thanksgiving Craft & Bake Sale Friday, November 18, 12 noon – set up for Thanksgiving bake and Craft Sale Saturday, November 19, 10 AM to 3 PM – Thanksgiving Craft & Bake Sale Saturday, November 19, 5 PM - Vespers Sunday, November 20, 10 AM – Divine Liturgy Next Sunday, November 20 is the Last Day of the Clothing Drive!!! Readers Schedule 11/13 – Suzanne Molineaux 11/20 – Luke Mihaylo 11/27 – Sandi Fong Coffee Hour 11/13 – Behrend 11/20 – OPEN 11/27 - OPEN Help Re-stock Our Kitchen: We are in need of Paper Towels. Ham and Cheese for Sale--$4 a pound. Available in the kitchen. Rectory/Office and Classroom Fundraising Meeting—There will be a brief update on our Rectory/Office and Classroom on Sunday, Nov. 13 th immediately following liturgy. Parish Family Day Alcoholism and Addiction \| \| Church School Starts The Akathist Service to the Icon of the Inexhaustible Cup has proven to be a great help to all those who know someone or who themselves are struggling with alcoholism and addiction. We at Holy Trinity have quietly started serving the Akathist to the Icon of the Mother of God of the Inexhaustible Cup. If you are interested in attending the service please see Fr. Luke. This service is open to all parishioners. Look here for our next service. Last night we had a bonfire following Vespers for our monthly Family and Youth activity. Parents had the opportunity to meet with Church School Director, Stasia Thompson and learn about the curriculum for the upcoming year. If you missed the meeting, contact Stasia to find out about church school for your children. Our next Family Night will be Saturday Nov. 26 th and then again on Saturday Dec. 3 rd . Church School meets on Sundays. Elementary school students will meet immediately after Divine Liturgy. Fr. Luke will be talking to the parents of the high school students to work on a schedule to meet outside of Sunday. Parents are encouraged to attend the Family Day October 29 th for a meeting to discuss Church School. Woodpecker Food \| Thanksgiving Sale \| Parish Christmas Card Woodpecker Food: Our woodpeckers are running out of food. Donations of suet cakes (regular size) would be greatly appreciated. Thanksgiving Bake Sale—Next Saturday, Nov. 19 th and Sunday Nov 20 th will be our Thanksgiving Bake Sale from 10:00-3:00 on Saturday and Sunday from 11:30-1:00. We will need help in the kitchen, filling orders, manning the Church Store and general help. Please give a few hours to this major parish fundraiser if you are able. Set up will be on Friday, Nov. 18 th following our Old Testament class. Christmas card — It's time to get our annual parish Christmas card together. There will be a sheet going around at coffee hour. Please print your (or your family's) name as you would like it to appear on the Christmas card. Voluntary donations towards the printing and postage are greatly appreciated. Clothing Drive Update \| Rectory/Office and Classroom Fundraising Meeting The final day to accept clothes for the Summer/Fall Clothing Drive is Sunday, November 20. So bring in those bags of clothing. Thank your Ann and the entire Huott Family for this great fundraiser! Rectory/Office and Classroom Fundraising Meeting—There will be a brief update on our Rectory/Office and Classroom on Sunday, Nov. 13 th immediately following liturgy. St. Nicholas Brunch \| Secret Santa \| Bake Sale Cooking and Baking St. Nicholas Brunch—On Sunday, Dec. 4 th we will have our St. Nicholas Brunch. We will have a pot luck coffee hour and enjoy a visit from St. Nicholas. Please sign up to bring a main dish, side dish or dessert. Secret Santa—At our St. Nicholas Brunch we will have a Secret Santa. Everyone who wishes to participate will give their name to Stasia next Sunday, Nov. 20 th and will draw one name of a person to buy a gift for ($15 maximum). Gifts will be exchanged and Secret Santas revealed at the St. Nicholas brunch on Sunday Dec. 4 th . Bake Sale Cooking and Baking Sessions—This week we will be making Stuffed Cabbage on Wednesday morning at 9:00 a.m. and Kolachi Cookies on Thursday following the Akathist Service at 8:30 p.m. All help greatly appreciated. Upcoming Events Rectory/Office and Classroom Fundraising Meeting – Sunday Nov. 13 th following liturgy Council Meeting – Sunday Nov. 13 th following liturgy OYMT Informational Meeting on 2017 Mission Trip to Alaska – Sunday, Nov. 13 th 3:00 p.m. Secret Santa drawing of names – Sunday, November 20 th IOCC Coffee Hour - Sunday, Nov. 20 th Family Outing - Saturday, November 26 th St. Nicholas Brunch and Secret Santa - Sunday, December 4 th Thanksgiving Craft & Bake Sale – Saturday, November 19 and Sunday, November 20 OYMT Fundraiser Kick Off at Holy Trinity Danbury -- th December 4 3:00 Holiday Craft and Bake Sales \| A Christmas Carol Our Thanksgiving Craft and Bake Sale will take place on Nov. 19 and 20 and our Christmas sale will be on Dec. 10. We have begun signing up crafters for our sales. If you would like to reserve a space or you know of any crafter of high-quality, handmade items who would like to participate in our sale, please let Susan Sulich know. Tables are $35. Church School Trip to See "A Christmas Carol"—On Saturday, December 17 th we will be going to see "A Christmas Carol" starring our very own Ava Baroody as the Ghost of Christmas Past. Show time is 7 PM and the cost of tickets range from $26 to $18 for Adults to $12 for kids under 12. Let Stasia or Fr. Luke know if you wish to attend and how many tickets you will need. "A Christmas Carol" – Saturday, December 17 th \| November \| \| \|---\|---\| \| Matthias Robert Paltauf \| 13 \| \| Daniel John Huott \| 13 \| \| Sandy Fong \| 23 \| \| Robert Young \| 27 \| \| Nicholas Gross \| 30 \| Knitting Group: Our knitting group will be meeting certain Sundays, immediately following coffee hour. All ages and experience levels welcome. If you would like to learn to knit, see Suad for a list of supplies to bring and if you have any questions. Holy Trinity Orthodox Church 74 Joes Hill Rd Danbury, CT 06811 "… a place of refuge full of love and joy." We're on the Web! holytrinitydanbury.org For the Children A SAINT WHO GOT IN TROUBLE: SAINT JOHN CHRYSOSTOM Nobody likes getting in trouble. Do you? At home or at school, or anywhere else, you might get punished for it, or you might at least get embarrassed. Today we celebrate one of the best saints of our Church. Saint John Chrysostom was a saint who didn't mind getting in trouble. That's because he was used to it. He also knew it was more important to speak the truth and get in trouble with the rulers, than to keep quiet and live in peace. Saint John wrote many sermons, and lots of times he talked about how we Christians have to help the poor. He built hospitals for poor, sick people, and special kitchens for poor, hungry people. In the great city of Constantinople (where he was the archbishop), the emperor and empress didn't seem to care so much about the poor. They grew richer and richer, and they ignored the poor people in the city. Saint John spoke out against the rulers, and he got in big trouble for it. The empress Eudoxia had a big, expensive statue of herself built, and Saint John spoke out against that too…and he got in even more trouble for that. He was sent away into exile, away from the city, where he couldn't serve as archbishop. He later died there. Saint John had lots of people who loved him (and he still does!). He told them not to think of the bad things that happened to him, but to think of the rewards he won in the contest—and that's life with Jesus Christ forever! We celebrate the feastday of St. John today, November 13th. By Presvytera Alexandra Houck in The Children's Word Incense Donation
Chinese American Food Society (http://www.cafsnet.org) Message from the President Dear CAFS Members: you all enjoyed meeting friends and colleagues at the banquet. It's been two months since I met many of you at the 2011 Annual Banquet in New Orleans. This year's banquet is a great event not only for a huge turnout of 120 members and friends attending the banquet but also for having two sponsorships from COFCO and the Chinese Academy of Agricultural Sciences. Thanks to Dr. Zhongli Pan for his efforts in communicating with COFCO and CAFS's Secretary and Newsletter Editor, Guangwei Huang, for coordinating with the Institute of Agro-Food Science & Technology of Chinese Academy of Agricultural Sciences to make the sponsorships happen. I was very pleased to see many new young faces and hope It has been a successful year for the CAFS family under the great leadership of the President, Albert Hong, and volunteered works from members of Executive Committee and directors of all committees. I sincerely express my appreciation to our Past President and members of the 20102011 Executive Team for their contribution to our organization. I look forward to working with the 2011-2012 team members to expand the CAFS family in the coming year. One critical effort for expanding the CAFS Family is the continuous recruitment of new members in the future. The CAFS Executive Committee is calling for a competition of designing a new CAFS Logo and an eye-catching pamphlet to give the CAFS a new look and a new tool for member recruitment. There will be an award of $250 each to the winners of the two competitions. Please see the announcement in this newsletter and send in your creative design/thinking to publicize our organization. In addition to recruiting new members, the CAFS 2011-2012 Executive Committee will spend tremendous efforts to deal with several issues of the businesses. First, we will convert old CAFS documents, particularly newsletters, to digital files and secure a place for permanent storage. We will also try to post all the past issues of newsletters on our website so every member will have the access to them. Second, we will create links to career opportunities on the CAFS webpage to help our members, particular student members, to check for job opportunities. We will continue to send open positions by email. Please feel free to send open positions to our Newsletter Editor for sharing the opportunities with members through emails. Third, we need to maintain the financial strength of our organization in order to support Student Workshop at IFT Meeting, Student Scholarships, CAFS Awards and operational expenses. This can't be done without your paying membership due on time. The Executive Committee members will continue to seek other supports to our organization through "Corporate Membership", "Scholarship Funds" and "Annual Banquet Sponsorship". Please feel free to contact me or our Treasurer, Dr. Vivian Wu, if your company is interested in the Corporate Membership, making a contribution to Scholarship Funds or sponsoring the 2012 CAFS Banquet in Las Vegas. Finally, I thank you again for taking your precious time during the IFT meeting to attend the banquet and your continuous support to the CAFS family. I wish every member a fruitful coming year. Sincerely, Yi-Cheng Su President 2011 - 2012 Message from Past President Dear CAFS members, First of all, I would like to express my sincere appreciation to all of the 2010-2011 CAFS Officers, Directors, Committee Chairs, and volunteers for their help in making the past year a very successful year. Special thanks go to Drs. Yi-Cheng Su, Yi-Fang Chu, Zhongli Pan, and Guangwei Huang for organizing and soliciting sponsorships for the 2011 CAFS annual meeting in New Orleans. We had about 120 members, students, and guests from around the world participated in this wonderful event. Throughout the 2010-2011, CAFS improved its financial standing by increasing our collection of annual membership dues and by establishing the sponsorship program for our annual meeting. We are in the process of developing a new promotional pamphlet and getting ready for a new membership drive. In addition, we started to post job opportunities in our Newsletters, and to organize ourselves in transition to an electronics document library. I believe our organization is in the good hands under the leadership of our new President, Dr. Yi-Cheng Su, new President-Elect, Dr. Howard Zhang, and the executive team. They will be able to carry these initiatives forward. It was my privilege and honor to serve as CAFS Director, President-Elect, and Present for the last four years. It was a very pleasant and memorable journey. I really cherish all of the new friends and connections I made in the US, China, Taiwan, and Hong Kong through my serving at the CAFS. Very soon, we will call for election for new Officers. Please consider this great opportunity seriously and contact me at firstname.lastname@example.org if you are interested and ready to contribute to our organization. Finally, I want to thank you again for all your help throughout the years and ask for your continuous support to CAFS, our new President, and the executive team. Sincerely yours, Y. C. Albert Hong CAFS President (2010 – 2011) CAFS 2011 Annual Banquet Report and Highlights The 2011 Chinese American Food Society Annual Meeting and Banquet were held at Five Happiness Restaurant in New Orleans, LA on June 13, 2011 from 5:30 to 9:00 pm. About 120 CAFS members and guests attended this exciting gathering. CAFS Executive Committee would like to thank our 2011 annual meeting sponsors: the COFCO Institute of Nutrition and Health, and the Institute of Agro-Food Science & Technology – Chinese Academy of Agricultural Sciences for their generous supports for this great event. The meeting started by introducing our distinguished guests from US and overseas. Among our special guests included Dr. Hongda Chen - one of the newly elected IFT Fellows, Dr. Joseph Jen - Ex USDA Under Secretary for REE, Dr. Baoguo Sun an Academician from the Chinese Academy of Engineering, and delegates from CIFST, COFCO, and Chinese Academy of Agricultural Sciences. Following the brief introduction was the delicious dinner and great opportunities for socializing. Five Happiness Restaurant presented delicious eight-course traditional Chinese banquet, including seafood soup, roasted duck, crispy shrimp, and many more delicious dishes. The restaurant was packed with very pleasant atmosphere and lively conversation. After the dinner, Dr. Baoguo Sun briefly expressed his gratitude of leading the CIFST delegation in participating in this CAFS annual event. Dr. Qingbo Ding from COFCO briefly introduced the history and business of COFCO, and mission/vision for the Institute of Nutrition and Health. Dr. Ding also expressed their strong desires of recruiting experienced food scientists and engineers to join them at newly constructed facility in Beijing. Prof. Qiang Wang also presented the introduction on Institute of AgroFood Science and Technology – CAAS. Following the sponsors' presentations, Dr. Albert Hong, President of CAFS, introduced the current executive members and committee chairs, as wells as reported the key focuses and activities from the past year. He also expressed his sincere appreciation to the current CAFS Officers and Committee Chairs for their diligent service during the last year. Dr. Fur-Chi Chen, Chair of Nomination Committee, announced the election results: CAFS President for 2011 to 2012: Dr. Yi-Cheng Su, President Elect: Dr. Howard Zhang, and newly elected Directors (2011 to 2013): Dr. Yaguang Luo, and Dr. Juming Tang. Dr. Amos Wu announced a competition for designing a CAFS logo and promotional pamphlet. More detailed information will be in this CAFS newsletter. Drs. Martin Lo and Yao-Wen Huang, Chairs for the Workshop and Conference briefly described the activity for the Student Workshop earlier at the convention center. Dr. Hongda Chen, Chair of Award Committee, presented 2011 Student Scholarship. As part of our tradition, a door prize drawing was followed after the CAFS official business. More than 25 prizes were given to many happy winners. After drawing, Dr. Albert Hong welcomed the coming year President, Dr. Yi-Cheng Su to the podium. Yi-Cheng expressed sincere appreciation to Albert for his leadership during the past year. Dr. Su wished everyone could attend the 2012 CAFS Annual Meeting and Banquet in Las Vegas, and the meeting was adjourned on schedule. By Albert Hong Congratulations to CAFS 2011 Student Scholarship Winners Four graduate students received the CAFS 2011 Graduate Student Scholarship Awards at the annual banquet for their outstanding academic records, scholarly achievements, extracurricular activities, leadership and services. They are: 1. Boce Zhang, University of Maryland, Ph.D. level, First place (Advisor: Dr. Qin Wang); 2. Wenjie Liu, North Carolina State University, Ph.D. level, Second place (Advisor: Dr. Tyre C. Lanier); 3. Xuan Li, University of California, Davis, Ph.D. level, Second place (Advisor: Dr. Zhongli Pan); 4. Xiaomeng Wu, University of Georgia, M.S. level (Advisor: Dr. Yao-wen Huang). Each of the winners received a Certificate of Award, and will receive a check of $100 in mail. (Note: The second place awardees will split the cash award.) The graduate student scholarship applications were of extraordinary quality this year. For example, Mr. Boce Zhang's application lists his seven peer-reviewed journal articles with two being the first author since 2008. He also made substantial contributions in discovery and are listed as a co-inventor of two provisional US patent applications. Given such a high quality applicant pool, student applicants who would've otherwise been awarded were unable to receive one this year. I would simply encourage them to apply again next year. CAFS also has established a Professional Achievement Award, a Distinguished Service Award and high school and undergraduate student scholarships. There were no nominations or applications for these awards in 2011. The Professional Achievement Award for 2010 was given to Dr. Faye Dong, Professor and Department Head of Food Science and Human Nutrition, University of Illinois, Urbana-Champagne. The last CAFS Distinguished Service Award was given to Dr. Sherman S. Lin in 2009. Our last high school scholarship winner was Ms. Sonya Liu in 2009, the daughter of Dr. Keshun Liu of USDA/ARS. And the last undergraduate student scholarship winner was Ms. Teresa Leung, also in 2009. I encourage CAFS members to look around and nominate your worthy members and students to be recognized for these prestigious awards. Dr. Howard Zhang and Dr. Hong Zhuang, both with USDA/ARS, have worked diligently to assist me in completing the challenging tasks of selecting the winners this year. I am most grateful for their dedicated service. Finally, I will step aside from this important CAFS task after serving for four years – first two as a member, and last two as the Chair of the Award Committee. I am calling for CAFS members interested in serving on the Award Committee to forward your name to Dr. YiCheng Su, the incoming President (email@example.com). Hongda Chen Chair, CAFS Award Committee CAFS Logo and Promotional Pamphlet Design Competition An exciting event is coming! As announced by the Membership during this year's CAFS Annual Meeting/Banquet, we are going to have a competition for designing new CAFS logo and promotional pamphlet. So, let your creative juice flow, your talent show and if you win ... You will be $250 richer, have a certificate to exhibit, and win a free admission to 2012 CAFS annual banquet! Also, you may see your brainchild being proudly displayed in CAFS publications and events. Here are some of the specifics for the competition: Objective- to create a new CAFS Logo and promotion pamphlet Two categories: 1. Logo 2. Promotional Pamphlet Who is eligible? - Open to all CAFS members and Future members; maximum two entries per person for each category. When? - All entries need to be received by Membership Committee Chair. Dr. Amos Wu ( firstname.lastname@example.org) by January 31, 2012 Rewards 1. First place of each category: $250 cash prize, a certificate, free admission to the 2012 CAFS banquet 2. Second place: a certificate and a free admission to the 2012 CAFS banquet 3. Third place: a certificate and a free admission to the 2012 CAFS banquet Guidelines For the logo design - it should be easily recognizable for its connection with the Chinese American heritage and/or traditional values as well as our expertise in foods and beverages. For the pamphlet - it should contain the following elements in an easy-to-read manner: 1) Cover page with logo and the CAFS name; 2) Brief introduction/history of the organization; 3) Mission statement; 4) Promotion (Why one should join); 5) Activities (What we do); 6) How to register/become a member? and 7) Contact Information (Website, etc). Competition Committee - Membership Director, President, President-elect Judges - Each competition entry will be assigned a number and posted in the CAFS website. Each member can cast one vote to select the three finalists. The first place winner will be determined based on both membership votes (50% weight) and the CAFS Executive Committee votes (50% weight). The Competition Committee will vote for tiebreakers. If there are changes to be made to the design or clarifications are needed, the Competition Committee will contact the author to reach an agreement. Winners will be announced in 2012 spring CAFS Newsletter and winners will be awarded at the 2010 Annual Meeting & Banquet. How will the Logo entry be graded 1. Originality 2. Culture association 3. Artistic How will the Pamphlet be graded 1. Originality 2. Persuasive subject matter 3. Artistic Attachment - Content of the current pamphlet What CAFS Is The Chinese American Food Society (CAFS) was founded in 1975 by Chinese American food science and technology professionals residing in North America. The objective of this society is to bring together professionals interested in food science and technology and in Chinese culture in order to stimulate, encourage, and foster the progress and development of food science and technology. Today, CAFS has more than 250 members who are actively engaged in the various aspects of food science and technology in educational institutions, industries, businesses, and government agencies around the world. As an old Chinese saying indicates, strength and power can only be generated through cooperation. Within CAFS, one can find the spirit of cooperation and of friendship among its members. With your participation and support, the CAFS will continue to grow stronger. Our Missions The purpose of this organization is to promote the advancement and innovations to food science and technology through the unique cultural background and scientific interests of its members. - To promote the advancement of food science and technology, endorse their applications, and encourage the exchange of information with professionals around the world. - To hold or sponsor scientific symposia or conferences in order to stimulate and promote the communication and interaction of its members. - To publish materials related to food science and technology. - To participate in international conferences related to food science and technology and to keep a close contact with other related organizations. - To involve in the establishment of regulation or legislation related to food science and technology. - To increase the interaction among its members and improve communication between the society and communities. What We Do - Newsletters: Provides timely information about the activities in the society, technical advances, matters of common interest, and usual who-what-when-where. - Membership Directory: Facilitates communication and interaction among members. - Annual Meeting, Forum and Workshop: Promotes proactive spirit among the members; provides forums and workshops for exchange of ideas and sharing of experiences. - Employment Service: Provides employment opportunities to all members through emails, newsletters and linked at our website. - Technical Consultation: Provides services to companies or organizations in or outside the U.S. - Awards and Scholarships: Honors outstanding professional and student members for their achievements. JOIN US You can be a member of CAFS, a growing and exciting society for students and professionals in food science and technology related fields, by completing the application form and forwarding it to the designated address. Member- shall be a person holding a Bachelor's degree or equivalent in a field of food science and technology or other related fields; or a person actively engaged in the food science and technology profession for a period of at least 3 years with a college degree in other areas. Student Member - shall be a person who is enrolled in an institution of higher education in the North American and is pursuing programs of study in food science and technology or a closely related field. Associate Member- shall be a person interested in food science and technology or food business and the activities of CAFS but is not classified as a Member or Student Member. \| Prepared by Vivian C.H. Wu \| \| \|---\|---\| \| Total as of Sept. 26, 2010 \| $ 13,169.66 \| \| Interest calculation discrepancy \| \| \| Interest of 9 Mo Risk Free CD earned from the 2009 term \| $7.44 \| \| Interest of 9 Mo Risk Free CD earned in 2010 term \| $67.49 \| \| So, actual additional earning in 2010 team is $67.49 not $74.93 \| \| \| Balance of FY 2010 term \| $ 13,162.22 \| \| 2011 term \| \| \| Expenses \| \| \| Mailing CAFS invoice expense \| $46.00 \| \| Receipt book for banquet \| $18.07 \| \| Subtotal Expense $64.07 \| \| \| Income \| \| \| Mailed in Membership \| \| \| for Sept 01, 10-Aug 31, 2011 \| $ 1,220.00 \| \| Subtotal \| $ 1,220.00 \| \| 9 Mo Risk Free CD from the previous year \| $74.93 \| \| 9 Mo Risk Free CD earned in this term \| $3.20 \| \| Subtotal Income $1,223.20 \| \| \| 2011 A nnual Banquet in: \| \| \| Five Happiness Restaurant \| $4,200.00 \| \| On-Site Registration and membership \| $4,275.00 \| \| Sponsors of CAFS banquet \| $2,488.00 \| \| Scholarship prizes \| \| \| 2011 Scholarship: Graduate Student (Ph.D.) First place \| $ 100.00 \| \| 2011 Scholarship: Graduate Student (Ph.D.) Second place \| $ 50.00 \| \| 2011 Scholarship: Graduate Student (Ph.D.) Second place \| $ 50.00 \| \| 2011 Scholarship: Graduate Student (M.S.) \| $ 100.00 \| \| Subtotal $2,263.00 \| \| \| Balance of FY 2011 term \| $ 16,584.35 \| Chinese American Food Society Membership Application / Renewal / Update You are using this form for: (please check one) __ New Application __ Renewal __ Update Name: _____________________________ (Individual member or representative of corporate member, as you wish this appear in the membership directory) Professional Affiliation: _______________________________________________________________ Business Address: ____________________________________________________________________ Telephone Number: __________________________ Fax Number: __________________________ Residence Address: ___________________________________________________________________ Telephone Number: __________________________ Fax Number: __________________________ E-mail Address: _____________________________________________________________________ Preferred Correspondence Address: (please check one) __ Business __ Residence Present Position and Area of Interest/Specialization: ______________________________________ _____________________________________________________________________________________ Education (All Degrees, Year Received, Institutes Graduated From): _______________________ _____________________________________________________________________________________ Membership Dues for 2011 Calendar Year __ Student Member $10 __ Active Member $20 __ Associate Member $20 __ Life Member $300 __ Corporate Member $250 (including dues for one active member or associate member) Total Amount Due $ __________ (please make check payable to Chinese American Food Society) Applicant's Signature: ___________________________________Date: __________________________ Student Application Verification: Name of University: ____________________________________________________________________ Faculty Name & Title: ____________________________ Phone #: _____________________________ Faculty Signature: _________________________________ Date:____________ Membership I.D. Code No.: _________________ (to be completed by the CAFS Treasurer) Please mail this form with payment to: Dr. Vivian Wu 5735 Hitchner Hall 101A The University of Maine Orono, ME 04469-5735 Job Opening Posting and Job Seeking Assistance JOB POSTING Almond Board of California, the CAFS 2010 banquet sponsor, is hiring an industry services coordinator. The person chosen as the new Industry Services Coordinator will be tasked with providing outreach on ABC initiatives and programs to growers and handlers. Key duties will also involve educating stakeholders on marketing order requirement and coordinating compliance/audit related activities. Candidates should have general agricultural based knowledge and experience. An understanding of almond specific practices and some technical experience in quality, processing and/or farming is also desirable. To find out more about the position and how to apply please contact Tom Van Groningen directly by email at email@example.com . Blue Diamond Growers, the world's largest Tree Nut processor, currently has an excellent opportunity in their Sacramento, CA facility. They are currently seeking a candidate for our R&D – Food Scientist opening. All interested parties please access http://www.bluediamond.com where applications are being accepted or contact Kyle Stradleigh via email firstname.lastname@example.org. In this role the successful candidate will manage and develop new almond food products from initial concept through full commercialization. New products can be for Industrial, Food service, and/or Retail customers. The Food Scientist is able to understand customer requirements, consumer insights, food science, and production processes translating that knowledge into new products and improvement of existing products. The Food Scientist is also a technical resource identifying and leading cross functional team projects that cut costs, improve margins, and provide more value to customers. The Food Scientist is a champion of the health benefits of almonds. This includes supporting new product development from idea to market. We are seeking a candidate with: * The ability to understand consumer and customer insights * Hands on, including Lab Bench experience in food product development. * Experience partnering with business teams to develop food/beverage products. * Bachelor's degree in Food Science or related field * 2+ years applicable Food and Beverage product development experience. Mars Food US Los Angeles based facility is seeking a Process Development Technologist for their R&D Department. Interested parties please access the following link for detailed information. http://www.mars.com/global/careers-at-mars/job-search/jobPage 14 details.aspx?JobReferenceNo=RAN00106&SelectedLa ngu ag eID=ENGLISH&CareerSite=10000 Job description: To develop innovative process for the existing and new products that meet the design criteria defined by product development that fuel profitable growth and brand leadership by category. Purpose: 4. Present and communicate progress on development against timeline to Project Leader and R&D technical team. Principal Accountabilities: 1. Design and develop from concepts to process to support the new process design. 2. Evaluate and select raw materials appropriate to the product design, quality attributes, process performance and commercial parameters. 3. Maintain detailed records of all projects to include design brief, change activity status, specifications, raw material details, line trial reports, SQC, and P&L model. 5. Complete process specifications for each new or improved process with acceptable range and target key quality parameters. 6. Schedule factory trial requests, organize raw material supply, and support Quality Service team in defining and optimizing manufacturing procedures. 7. Represent R&D for the phase 1 st and 2 nd factory production trials up to hand over the process to the factory and Quality Service. Minimum: BA/BS Food or Agricultural Engineering, Food Science with Engineering emphasis, Chemical Engineering, Physics, Engineering or broad and diverse experience in the food production and industry. One group of professional recruiters is currently working on the following opportunities in the food industry: development at the benchtop through commercialization and leading and managing interdepartmental teams and intra-departmental project teams. Minimum BS in Food Science or related field with a minimum of five years experience in the food industry. Experience with national accounts preferred. Process Engineer East Coast – This position will be responsible for development of processes that lead to new food products. This position will manage multiple projects. Minimum BS in Food Science or related field with 5+ years experience in food and/or meat industry. Must have experience in product development process, commercialization and ingredient functionality. R&D Manager Mountain Region – This position will be responsible for product Sr. Scientist Midwest – This position will be responsible for developing products at the benchtop through commercialization. Other responsibilities include managing multiple projects and conducting research. Experience with canning and/or retort preferred. Minimum BS in Food Science with seven years experience or MS with five years experience. Meat Scientist Midwest – This position will be responsible for product development at the benchtop through commercialization with meat products. Minimum BS in Food Science, Meat Science or related field. Must have experience developing meat products. If you are interested please contact: Lisa Gentry Account Executive The Myers Group, Inc. Phone: (815) 929-1900 ext. 16 Fax: (866) 716-1009 email@example.com Another professional recruiter is also seeking candidates to fill a couple of positions with a company in Sacramento Valley, CA : Quality Systems Engineer (50K) -- Responsible for key consumer quality requirements and food safety system execution during new product development, commercialization, in-house manufacturing and contract manufacturing. Also responsible for ensuring accurate nutrition and ingredient labeling, legality of health/wellness related claims, kosher status and Non-GMO certification. * Bachelors Degree in Food Science, Engineering or related field, or 7 years of relevant experience. * Minimum of 3 years of relevant experience in food manufacturing environment. Facility Pest Prevention Manager (60K) -- Responsible for developing facility pest prevention and sanitation programs, as well as adherence to company and regulatory standards of health, safety and hygiene. Also responsible for implementation of a "field-to-fork," organic compliant, integrated pest prevention system, requiring full engagement and collaboration of growers, agriculture services, manufacturing, distribution and consumer response teams. * BS in Food Science, or related technical field, or 10 years of relevant work experience. * 5 plus years of relevant experience in food/milling industry with demonstrated achievements in pest prevention and sanitation. Experience in grain harvesting, storage and milling preferred. If you are interested please contact: Dave Rothe Executive Consultant / Kinsa Group 414-367-5514 firstname.lastname@example.org www.kinsa.com Member News and Upcoming Events Dr. Joseph Jen will be a keynote speaker for the following two International Food Safety Symposia: The 6th International Food Safety Symposium sponsored by Shanghai Jiao Tong University, IUFoST, CIFST, etc., September 26-27, 2011 in Shanghai, China TW-US Food Safety Symposium sponsored by Taiwan FDA and National Taiwan University, November 17-18, 2011 in Taipei, Taiwan& The 6 th Food Summit co-organized by the Chinese Institute of Food Safety and Technology and the US Institute of Food Technologists, November 2-4, 2011 in Shanghai, China 2011 International Conference on Food Factors and Global Chinese Health (Functional) Food Symposium will be held at Taipei International Convention Center, Taiwan, November 20-23, 2011. The early bird registration deadline is September 15, 2011. Newsletter Editor Guangwei Huang September 10, 2011
http://www.forum18.org/ FORUM 18 NEWS SERVICE, Oslo, Norway The right to believe, to worship and witness The right to change one's belief or religion The right to join together and express one's belief 23 March 2018 TURKMENISTAN: Jailings of conscientious objectors resume By Felix Corley, Forum 18 Two conscientious objectors, both Jehovah's Witnesses, were jailed for one year in January. One had just completed a corrective labour sentence. These are the first jailings of conscientious objectors since 2014. No prisoners of conscience are known to have been freed under the Novruz amnesty. For the first time since 2014, courts in Turkmenistan have again handed down prison terms on young men unable to perform compulsory military service on grounds of religious conscience. At least two conscientious objectors, both Jehovah's Witnesses, are known to have been jailed so far in 2018. For one of them this was the second conviction on the same charges. Between 2014 and 2017, the authorities punished conscientious objectors with corrective labour or suspended prison terms, rather than imprisonment. In a typical sentence, in February 2017 a court sentenced Jehovah's Witness Vepa Matyakubov to two years' corrective labour, meaning that he lives at home but 20 percent of his salary is withheld by the state budget (see F18News 27 September 2017 <http://www.forum18.org/archive.php?article_id=2318>). In March 2017, the United Nations (UN) Human Rights Committee again called on Turkmenistan to end punishments for conscientious objectors and introduce an alternative, civilian service. Turkmenistan has so far ignored this (see below). No official would explain to Forum 18 why Turkmenistan has long failed to introduce a civilian alternative to military service (see below). The UN Human Rights Committee has already found that Turkmenistan violated the human rights of 10 Jehovah's Witnesses by convicting them for conscientious objection to military service. The Committee is considering five further appeals (see below). Meanwhile, none of the prisoners of conscience known to have been jailed for exercising the right to freedom of religion or belief is known to have been freed in the prisoner amnesty decreed on 20 March. Many Muslims, as well as a third Jehovah's Witness Bahram Hemdemov, are known to be serving prison terms to punish them for exercising freedom of religion or belief. Many of the Muslims are being held incommunicado in the top security Ovadan-Depe prison, where some have also died of apparent torture or neglect (see below). No conscientious objection, no alternative service Turkmenistan offers no alternative to its compulsory military service. Article 58 of the 2016 Constitution describes defence as a "sacred duty" of everyone and states that military service is compulsory for men. Turkmenistan ignored the recommendation of a July 2016 legal review of the draft Constitution by the Organisation for Security and Co-operation that it should include a provision for alternative, civilian service (see F18News 3 October 2016 <http://www.forum18.org/archive.php?article_id=2220>). Military service for men between the ages of 18 and 27 is generally two years. A proposed Alternative Service Law was reportedly drafted in 2013, but officials have been unable to tell Forum 18 if and when it might be adopted (see F18News 29 September 2014 <http://www.forum18.org/archive.php?article_id=2002>). Young men who refuse military service on grounds of religious conscience face prosecution under Criminal Code Article 219, Part 1. This punishes refusal to serve in the armed forces in peacetime with a maximum penalty of two years' imprisonment or two years' corrective labour. In March 2017, at the end of its review of Turkmenistan's record under the International Covenant on Civil and Political Rights, the United Nations (UN) Human Rights Committee again called on the authorities to end punishments for those unable to perform military service on grounds of conscience and introduce an alternative, civilian service (CCPR/C/TKM/CO/2). "The State party should revise its legislation without undue delay with a view to clearly recognizing the right to conscientious http://www.forum18.org/archive.php?article_id=2363 objection to military service," the Committee declared, "provide for alternative service of a civilian nature outside the military sphere and not under military command for conscientious objectors, and halt all prosecutions of individuals who refuse to perform military service on grounds of conscience and release those who are currently serving prison sentences." Why no implementation of UN call? Forum 18 was unable to find out why the authorities have chosen not to implement the UN Human Rights Committee's repeated calls to introduce a civilian alternative to compulsory military service and to halt prosecutions. Pirnazar Hudainazarov, Chair of the Mejlis (Parliament) Human Rights Committee, refused to discuss why Turkmenistan has long failed to introduce a civilian alternative service and has resumed jailings. "Talk to the Foreign Ministry," he told Forum 18 from parliament on 23 March and put the phone down. Telephones at the Foreign Ministry's International Organisations Department, Press Office and other departments went unanswered each time Forum 18 called the same day. An official of the government's National Institute for Democracy and Human Rights in the capital Ashgabad [Ashgabat] put the phone down as soon as Forum 18 introduced itself on 23 March. Forum 18 was unable to reach the Human Rights Ombudsperson Yazdursun Gurbannazarova, who was elected by parliamentary deputies to the new post in March 2017. No contact details are publicly available. First 2018 jailing The authorities arrested Jehovah's Witness Arslan Begenchov (born 15 May 1999) on 2 January 2018 in his home region of Lebap in eastern Turkmenistan after he refused to perform compulsory military service on grounds of religious conscience. On 17 January, Charjew District Court sentenced Begenchov under Criminal Code Article 219, Part 1 to one year's imprisonment, Jehovah's Witnesses told Forum 18. On 29 January, Begenchov's lawyer lodged an appeal against this court decision. However, on 13 February Lebap Regional Court rejected the appeal and upheld the sentence. The chancellery at Lebap Regional Court refused to discuss Begenchov's case with Forum 18 on 23 March. A further complaint against the court sentence was sent on Begenchov's behalf to the Prosecutor's Office of Lebap Region's Charjew District, with copies to the General Prosecutor's Office and the government's National Institute for Democracy and Human Rights in Ashgabad. The appeals complained that Begenchov's jailing violated Turkmenistan's international human rights commitments, Jehovah's Witnesses added. Begenchov is still being held in the pre-trial detention centre LB-D/9 in the regional capital Turkmenabad [Turkmenabat]. Second jailing follows Less than two weeks after Begenchov was sentenced, the second Jehovah's Witness conscientious objector so far in 2018 was jailed. Kerven Kakabayev (born 9 September 1996), who is from Koneurgench in the northern Dashoguz Region, was called up a year after his earlier criminal conviction expired in December 2016. Koneurgench City Court convicted Kakabayev on 29 January 2018 under Criminal Code Article 219, Part 1. The judge sentenced him also to one year's imprisonment. The court prevented Kakabayev from presenting UN decisions in favour of the earlier jailed conscientious objectors from Turkmenistan to back his case, Jehovah's Witnesses complained to Forum 18. An official at Dashoguz Regional Court refused to tell Forum 18 on 23 March if Kakabayev had appealed against his sentence. Jehovah's Witnesses told Forum 18 prison officials had prevented Kakabayev from signing the appeal documents prepared for him by his lawyers within the prescribed ten-day period. The official who answered the phone at Dashoguz Region Military Prosecutor's Office refused to discuss Kakabayev's case. "We can't give any information by phone," he told Forum 18 on 23 March. Asked why Kakabayev had been jailed because he was unable to perform military service on grounds of conscience, the official responded: "That's how it is. We have an order which we have to fulfil." This is the second sentence on the same charges for Kakabayev. In December 2014 a court sentenced him to a term of two years' corrective labour under Criminal Code Article 219, Part 1. Twenty per cent of his wages were ordered handed to the state (see F18News 5 July 2016 <http://www.forum18.org/archive.php?article_id=2196>). http://www.forum18.org/archive.php?article_id=2363 Following his January 2018 conviction, the prison authorities transferred Kakabayev to the general regime labour camp in the desert near Seydi, in the eastern Lebap Region. Many other prisoners of conscience jailed to punish them for exercising the right to freedom of religion or belief have been held in the camp. Among the current prisoners of conscience held there is fellow Jehovah's Witness Bahram Hemdemov (see below). The address of the Seydi Labour Camp is: 746222 Lebap velayat Seydi uchr. LB-K/12 Turkmenistan UN Human Rights Committee decisions ignored The UN Human Rights Committee has already issued decisions against Turkmenistan in 10 cases of conviction of Jehovah's Witnesses for conscientious objection to military service. Six of these decisions were handed down in July 2016, with the UN Committee finding violations not only over the denial of access to an alternative to military service, but over torture in custody and prison conditions which violated the individuals' human rights. In four of the six cases, the UN Committee found that the conscientious objectors had been punished twice for the same "crime" (see F18News 3 October 2016 <http://www.forum18.org/archive.php?article_id=2220>). Jehovah's Witnesses lament that the Turkmen government has failed to implement these decisions. They declared on 4 July 2017 that "by prosecuting and punishing conscientious objectors, the Turkmenistan government continues to violate its international commitments to protect human rights". They complained of the then corrective labour sentences, which two young Jehovah's Witnesses were serving. "In other cases, officials subject conscientious objectors to severe pressure in an effort to force them to compromise their sincerely held beliefs." Among the ten Jehovah's Witness conscientious objectors the violation of whose rights the UN Committee had recognised was the former prisoner Zafar Abdullayev. It found in March 2015 that the authorities should conduct an "impartial, effective and thorough" investigation of his torture while in detention, prosecute "any person(s) found responsible", provide "full reparation, including appropriate compensation", and expunge Abdullayev's criminal record. The Committee noted in March 2017 a 9 April 2016 submission by Abdullayev's representative that his record "has not been expunged, nor has he received any compensation". The Committee noted: "On 4 April 2016, [Abdullayev] submitted a letter to the Prosecutor General of Turkmenistan and the Ministry of Foreign Affairs of Turkmenistan, requesting a meeting to discuss what steps could be taken to fully implement the Committee's Views. No answer has been received as of yet." The Committee decided at its March 2017 session to continue "follow-up dialogue" with Turkmenistan over Abdullayev's case (CCPR/C/119/3). The UN Human Rights Committee is still considering the appeals by four more Jehovah's Witness former imprisoned conscientious objectors: Arslan Dovletov, Juma Nazarov, Yadgarbek Sharipov and Atamurat Suvkhanov. Also awaiting a decision is Jehovah's Witness conscientious objector Danatar Durdyyev, who was fined. These appeals were lodged in 2012 and 2013 (see F18News 5 July 2016 <http://www.forum18.org/archive.php?article_id=2196>). Amnesty, but no known prisoner of conscience releases President Gurbanguly Berdymukhamedov signed a prisoner amnesty decree to mark the Novruz spring festival, the government website announced on 20 March 2018. It said that those chosen for amnesty would have their prison terms cut short or requirements to live in certain places quashed. The announcement of the decree did not say how many prisoners would be freed. The exile news website Alternative Turkmenistan News calculated the same day that about 1,000 prisoners had been included in the amnesty. Some 300 prisoners had been freed from the Seydi Labour Camp and a further 10 from the labour camp in Tejen, including some sentenced for rape or murder. However the news website noted that no prisoner of conscience is known to be among those amnestied. Forum 18 has received no information that any of the known Muslim or Jehovah's Witness prisoners of conscience have been freed. Torture, deaths of prisoners of conscience http://www.forum18.org/archive.php?article_id=2363 From early 2013, the authorities arrested more than 100 Muslims in and around the eastern city of Turkmenabad who had participated in an informal Sunni Muslim study group led by Bahram Saparov. Saparov and 19 others were arrested in March 2013 and sentenced to long prison terms in May 2013. Further large groups were sentenced at subsequent closed trials (see F18News 23 January 2017 <http://www.forum18.org/archive.php?article_id=2249>). Most or all the prisoners are believed to be held in the isolated top-security prison at Ovadan-Depe (Picturesque Hill) in the Karakum desert 70 kms (45 miles) north of Ashgabad. No outsider is able to establish if they are still alive. Relatives often have no information as to whether they are still alive. At least three of the Muslims from Turkmenabad have died in Ovadan-Depe prison of illness, starvation, neglect or torture. Lukman Yaylanov died in summer 2016, possibly as a result of torture, and Narkuly Baltayev several months later. Aziz Gafurov died in summer 2017. Gafurov's thin body was covered in bruises when returned to relatives (see F18News 27 September 2017 <http://www.forum18.org/archive.php?article_id=2318>). Only one of the imprisoned participants in Saparov's Muslim study group is known to have been freed. Ahmet Mirzayev was released in late 2017, Alternative Turkmenistan News noted on 20 December 2017. He had served his full five-year sentence. Another Muslim prisoner, Annamurad Atdaev, was punished with a 15-year strict regime prison term after returning to Turkmenistan to renew his passport from Egypt, where he was studying Islam at Al-Azhar University (see F18News 27 September 2017 <http://www.forum18.org/archive.php?article_id=2318>). In April 2017 rumours circulated in Ashgabad that Atdaev was held in solitary confinement in Ovadan-Depe prison. The Turkmen government told the UN Working Group on Enforced or Involuntary Disappearances in May 2017 that Atdaev was being held in the MR-K/16 labour camp in Tejen. "However, this information has turned out to be inaccurate," the Prove They Are Alive campaign noted in a February 2018 report on disappeared prisoners in Turkmenistan (<http://provetheyarealive.org/wp-content/uploads/2018/02/List-of-the-disappeared-in-TM-prisons_Prove_Feb-2018_eng.pdf>). In June and October 2017 in response to a request from the Russian embassy, the Turkmen authorities reported that Atdaev "is in a place of confinement" (without any details), the campaign added. "According to unconfirmed information, in November or early December 2017 Atdaev's mother and sister were provided a meeting with him in Ashgabat, where he was brought from the Ovadan-Depe prison. Reportedly, the authorities demanded that the relatives not tell anyone about this meeting, including the prisoner's wife." On 18 October 2016 the UN Working Group on Enforced or Involuntary Disappearances asked Turkmenistan to be allowed to visit. The UN website indicates that Turkmenistan has not agreed to a Working Group visit. The address of the top-security Ovadan-Depe prison is: Ahal velayat Upravlenie politsii Ahalskogo velayata uchr. AH-T/2 Turkmenistan Jehovah's Witness prisoner of conscience Bahram Hemdemov, held in Seydi Labour Camp, was arrested during a March 2015 raid on his home, after which he was tortured. He is serving a four year prison term from 19 May 2015 on charges of allegedly inciting religious hatred, which he strongly denies, but his real "crime" seems to have been hosting a meeting for worship. All Hemdemov's attempts to overturn his sentence on appeal have failed. The Supreme Court in August 2015 denied his appeal because Hemdemov "propagates the religious beliefs of Jehovah's Witnesses" (see F18News 5 April 2016 <http://www.forum18.org/archive.php?article_id=2164>). (END) For a personal commentary by a Protestant within Turkmenistan, on the fiction - despite government claims - of religious freedom in the country, and how religious communities and the international community should respond to this, see <http://www.forum18.org/Archive.php?article_id=728>. For a personal commentary by another Turkmen Protestant, arguing that "without freedom to meet for worship it is impossible to claim that we have freedom of religion or belief," see <http://www.forum18.org/Archive.php?article_id=1128>. http://www.forum18.org/archive.php?article_id=2363 More reports on freedom of thought, conscience and belief in Turkmenistan can be found at <http://www.forum18.org/Archive.php?query=&religion=all&country=32>. For more background information see Forum 18's religious freedom survey of Turkmenistan at <http://www.forum18.org/Archive.php?article_id=2244>. A compilation of Organisation for Security and Co-operation in Europe (OSCE) freedom of religion or belief commitments can be found at <http://www.forum18.org/Archive.php?article_id=1351>. A printer-friendly map of Turkmenistan is available at <http://nationalgeographic.org/education/mapping/outline-map/?map=Turkmenistan>. Twitter: @Forum_18 Follow us on Facebook: @Forum18NewsService All Forum 18 News Service material may be referred to, quoted from, or republished in full, if Forum 18 <www.forum18.org> is credited as the source. © Forum 18 News Service. All rights reserved. ISSN 1504-2855. If you need to contact F18News, please email us at: f18news @ editor.forum18.org Forum 18 Postboks 6603 Rodeløkka N-0502 Oslo NORWAY http://www.forum18.org/archive.php?article_id=2363
The Bogota Declaration on Tax Justice for Women's Rights 2017 *Organizations are invited to sign in support of this Declaration at http://bit.ly/2AtpYE2 We, the participants of the first global convening on tax justice for women's rights held 13-15 June, 2017 in Bogota, Colombia, come together as a global community of women – advocates and activists, lawyers and jurists, academics and practitioners, and public services trade unionists – as a united voice for tax justice with the aim to establish and to confirm powerful, common positions to underpin concerted actions over the following years and to shift the narrative on tax justice for women's rights. We recognize and are committed to advancing solutions to address the denial of women's human rights as regressive tax systems support and create the increasing impoverishment and marginalization of women in the global economy. We express our appreciation to the Friedrich Ebert Stiftung, Global Alliance for Tax Justice, Tax Justice Network, Public Services International, and Colombian partners for hosting the first global convening on tax justice for women's rights and for providing all the necessary support. We note with gratitude the role and contribution of the global community of women in making this conference a success, including diverse presentations, press, online and social media engagements, and building on the tax justice for women's rights global days of action campaign coordinated together with the Global Alliance for Tax Justice, global trade unions, and CSO partners held in March 2017. We recall the commitments by world leaders, including on the 2030 Agenda for Sustainable Development Goals (SDGs), the UN CSW61 Agreed Conclusions, and the Addis Ababa Agenda for Action (Financing for Development 69/313), which despite their limitations commit governments to take the necessary measures to raise resources for gender equality and the empowerment of women and girls. These commitments sit alongside Article 2.1 of the International Covenant on Economic, Social, and Cultural Rights (ICESCR 1976), which calls on each State Party to progressively realise rights by maximising its available resources. We further note that the Universal Declaration of Human Rights (UDHR) declares that 'everyone is entitled to (…) the rights and freedoms set forth in this Declaration' (Article 28), without distinctions based on sex; that the Convention on the Elimination of all Forms of Discrimination Against Women (CEDAW) recognizes 'the equal rights of men and women to enjoy all economic, social, cultural, civil, and political rights' (preamble), and the Beijing Declaration and Platform for Action (1995) calls for the mobilization of resources at the national and international levels for the advancement of women. We demand the full and explicit reference to these policy and legislative commitments to national and international obligations to raise the revenues necessary to realize these goals, to raise such revenues through progressive tax laws that recognize and promote women's rights, and to spend such revenues in ways that eliminate long standing structural inequalities between women and men, through the provision of universal access to public education, health, care, water, sanitation, transportation, social protection, and between the politically disenfranchised and power holders, and among countries at different levels of development and economic sustainability. We recognize the challenges that women face in light of inadequate financing for implementing the Sustainable Development Goals and provision of public services. Too often, women's voices go unheard in the policy debates dominated by global capital. As national governments accommodate corporate demands for tax incentives, rights to land, water, and government subsidies while ignoring women's demands that corporations be taxed fairly, the needs of women and all those concerned with the wellbeing of human societies are increasingly neglected. We note that the mantra of 'taxing for growth' has been promoted by the World Bank, the IMF, the OECD, and the EU in making fiscal recommendations for high- and low-income countries alike. Their country-specific tax policy recommendations are adapted to national conditions, but the basic formula for 'tax cuts for growth' has been virtually the same everywhere: cut progressive individual and corporate tax rates; raise more revenue with high-rate 'flat' consumption tax rates such as regressive VAT and commodity taxes; give special tax breaks on investment incomes, savings, and capital gains; and cut social safety nets to reduce government budgets. In high-income countries, the result has been falling tax ratios (tax revenues as a share of GDP). This has led to continued budget cuts to government services and programs – literally, permanent government austerities. In low-income countries, even those with increasing tax ratios, the result has been increasing reliance on gender and income regressive VAT and commodity taxes that are particularly burdensome for those without economic security, and decreasing use of progressive personal and corporate income taxes that should be used to raise more revenues from those with higher incomes. We recognize that the end result of 'taxing for growth' regimes has been increasing concentration of incomes and wealth in the hands of small numbers of very wealthy individuals and of large corporations. Growing income inequalities between the Global North and South, between the rich and everyone else, and between women and men have reached crisis levels in countries at every level of development. We acknowledge that democratic states have always relied on taxation revenues as the main source of funding to meet all the needs and rights of their citizens. We are concerned that: 1. Tax allocation on the basis of ability to pay taxes, and on the basis of progressively higher taxes for those with higher incomes, is increasingly being ignored as high rates of consumption taxes (VAT or GST (goods and services tax)) are used to replace graduated tax rates on high incomes of wealthy persons and corporations. 2. Governments are less concerned to fund universal education, health, water, and care services, provide public social security and pensions, and protect the fundamental economic and social rights of all women. 3. On the basis of the legal definition of corporations as legal 'persons' with all the legal rights of natural persons, national governments and international financial institutions permit corporations to roam the world freely in sweeping up ever-growing shares of land, natural resources, revenue, and financial capital. 4. There are now more corporations than national states among the top one hundred entities with the highest annual revenues (2015), and these corporations are outperforming all but the few richest countries. This is of real concern, because while women still struggle using constitutional, human rights, and international human rights laws to gain voting rights and elected positions in national governments, women still play relatively small roles in state governance. 5. Women are severely underrepresented in corporate ownership and governance, and far fewer constitutional, human rights, and international laws ensure women's equal representation in the development, investment, and tax paying decisions made by large transnational manufacturing, extraction, and financial corporations. As corporate perspectives increasingly influence global governance, women's space for policy influence is becoming even more constrained at the same time that their own wellbeing is increasingly dependent on corporate governance decisions. 6. Tax policies focused entirely on promoting economic growth have empowered and rewarded male-dominated corporations, enabled tax havens to provide tax-free zones for wealth holders and corporations, and provided legal space for corporations to build supply chains around tax holidays, business tax incentives, special economic zones, and low-tax countries. At the same time, tax policies that affect women, including high VAT/GST rates on women's low incomes provide limited funding for public services needed for human development, but continue to rationalize keeping taxes paid by high income earners and businesses low. We are convinced that 1. Without significant changes in taxation systems to reward measures that increase equality and sustainability and create gender responsive fiscal systems, the decline of states answerable to citizens in favour of corporations answerable to their own interests will continue unchallenged. 2. It is vitally important for multinational corporations and wealthy individuals to pay their share of taxes, and for all countries to be at the table to decide international tax policies. 3. Without progressive tax policies, our governments cannot deliver on human rights obligations to their citizens, and it is women and girls who are hurt the most when denied adequate quality public education, healthcare, housing, access to functioning judicial systems, resources for prevention of violence against women, access to clean water, and sanitation, and adequate incomes. We therefore Renew our commitments to collaborate with multilateral organizations including but not limited to the UN, state and non-state actors, and all relevant stakeholders at domestic, regional, and global levels, to promote tax justice for women's rights; Agree to establish a global movement of tax justice for women's rights working together through the Global Alliance for Tax Justice and our respective organizations and networks to promote an inclusive equitable international financial architecture that promotes tax justice, sustainable development and economic growth for all. Commit to regular global convenings on tax justice for women's rights to strategize together, take stock of progress and highlight challenges to inform future advocacy actions. Call on governments to ensure that 1. The negative gender effects of all existing tax, spending, international policies, and other fiscal laws should be corrected as a matter of urgency. 2. No jurisdiction should enact any new tax or spending laws, programs, or practices that increase market or after-tax income gender gaps. 3. All available resources are maximized to invest in quality, gender-responsive public services, the care economy, and social protection. 'Taxing for women's rights' calls for producing enough revenue to increase government investments in public education, health, care services, transportation, food security, and housing in order to reduce women's markedly unequal shares of unpaid work and increase women's shares of market incomes, after-tax incomes, and political authority. 4. All levels of government practice gender budgeting so that they do not discriminate against women; ensure women have an equal say in how public money is spent. 5. All tax revenues are raised in the most progressive way possible – through direct taxation of income, wealth, and high net worth individuals – and ensure that multinational corporations pay their share. Flat-rated low and minimally graduated rates of personal and corporate income and capital taxes should be converted immediately to income tax structures with graduated rates – truly 'progressive' tax structures – that base tax liability on ability to pay both by those with low incomes and by those with high incomes. 6. Tax impact assessments are carried out on a continuing basis – especially the assessments of their impact on the poorest women. 7. National and regional tax and financial secrecy policies do not contribute to large-scale tax abuse in other countries and are not biased towards wealthy countries, corporations, or the wealthy elite. 8. National governments and regional organisations support the establishment of an inclusive intergovernmental UN Global Tax Commission, where all countries, not just the G20, have an equal seat at the table and equal voice in setting international tax policies. 9. All revenue systems 'tax for sex equality' by adopting all these features: i. Progressive personal and corporate income taxes generate at least 60% of all domestic revenues; ii. Supplementary allowances are provided for all individuals in paid work earning less than above-poverty incomes; iii. Income supplements promote not just part-time or occasional paid work, but full time permanent decent paid work; iv. Tax exemptions ensure that no income taxes or social contribution taxes can tax individuals back into poverty; v. Income tax rates enable governments to redistribute market incomes from those with the highest incomes to those with the lowest and modest incomes; vi. Cost of living mechanisms keep progressive income tax rates in sync with actual costs of living; vii. Tax exemptions are high enough to ensure that no one pays personal income or social contribution taxes if their incomes are below poverty levels, and public food, housing, education, transportation, and income supplements keep everyone above poverty levels; viii. All adults are taxed as individuals and ensure that all tax benefits, cash benefits, and in kind government services are given to women as individuals in order to protect their financial autonomy; ix. Adequate tax-free allowances are provided for dependent children during all schooling years; x. Any provisions that deliver tax benefits in lieu of public or direct grants are eliminated (i.e., eliminate all tax expenditures, which do not generally reach those with low incomes); xi. All tax, cash, and in-kind benefits that subsidize women's unpaid work and thereby create tax barriers to women's paid work are repealed; xii. Fixed tax systems (such as presumptive or imputed taxes) and informal or illegal taxes (such as fees or charges claimed by informal actors) aimed at informal, marginal, and small businesses are replaced with low taxes on actual profits, and government programs build financial capacity on the part of micro and small traders; xiii. Especially in low-income countries, restructure income security measures as direct contributory systems funded largely by employers and governments for all those unable to accumulate sufficient capital to provide for their own lifelong income security; xiv. Reward workers and businesses entering the formal reported economy with meaningful supports, but prohibit the use of punitive tax compliance and regulatory measures. Organizations are invited to sign on in support of this Declaration at http://bit.ly/2AtpYE2
NEUROSEQUENTIAL MODEL OF THERAPEUTICS (NMT)© Tuning in to Teens (TINT)© Intervention Implemented in New Jersey for the QIC-AG Project TENNESSEE p. 1 INTERVENTION IMPLEMENTED IN TENNESSEE FOR THE QIC-AG PROJECT OVERVIEW OF THE QIC-AG The Quality Improvement Center for Adoption and Guardianship Support and Preservation (QIC-AG) is a 5-year federally funded project that promotes permanence (when reunification is no longer a goal) and improves supports for adoptive and guardianship families. Working in partnership with eight sites, the QIC-AG is identifying and testing promising practices and evidence-based models of support and services for children and families both pre and post permanence. Effective interventions are expected to achieve long-term stable permanence in adoptive and guardianship homes not only for waiting children but also for children and families after adoption or guardianship has been finalized. To learn more about the work of the QIC-AG, please go to www.qic-ag.org. TENNESSEE OVERVIEW OF INTERVENTION SELECTED BY TENNESSEE AS DESIGNED BY THE DEVELOPER The QIC-AG created a Permanency Continuum Framework to help structure work with sites and families pre and post permanence. The Continuum Framework was developed on the premise that children in adoptive or guardianship families fare better when their families are fully prepared and supported to address issues before they arise, and if issues arise, before they escalate into a crisis. The Continuum Framework is comprised of eight intervals; three intervals start prior to finalization (stage setting, preparation, and focused services); three intervals continue after finalization and focus on prevention services (universal, selective, and indicated services); and the last two intervals focus on the provision of intensive services and maintenance of permanence. Tennessee is implementing an intervention that falls into the intensive interval on the Permanency Continuum Framework. Intensive services include interventions designed to respond to a crisis, diminish the impact of the crisis, and stabilize and then strengthen families who have experienced a crisis. Intensive services are for both intact families and families who have experienced discontinuity 1 (instability). The Neurosequential Model of Therapeutics (NMT) is a developmentally informed, biologically respectful approach to working with at-risk children. NMT provides a set of assessment tools (NMT metrics) that help clinicians organize a child's history and assess current functioning. Such assessment is especially relevant to children who have experienced early trauma. NMT integrates core principles of neurodevelopment and traumatology to determine how the timing and severity of trauma might influence development of the child's brain. The goal of NMT is to match a maltreated or traumatized child with the correct therapeutic activities based on the child's specific developmental stage and physiological needs. By incorporating and applying targeted, timely, developmentally appropriate treatment, planning, and care, NMT helps create an environment where the child and family can heal and thrive. NMT CERTIFICATION The Child Trauma Academy, the developer of NMT, has developed a set of training materials, protocols for supervised training experiences, and clinical practice tools to help clinicians develop the capacity and experience with using NMT metrics and tools. NMT's 12-14 month certification process (Phase I) provides clinicians with in-depth exposure to the core concepts and key elements of implementing NMT. For a complete explanation of the training content, materials, and requirements, visit https:// childtrauma.org/wp-content/uploads/2016/11/SITECERT_MasterOverview_9_3_15.pdf. NMT measures two fidelity components: (1) interrater reliability, and (2) adherence to the service plan. Fidelity measurement involves monitoring clinician competency on a bi-annual basis. To ensure interrater reliability, all NMT-certified clinicians as well as those in the process of certification are required to score cases using the NMT online clinical practice tools. The online NMT treatment plan contains a fidelity measure that allows the practitioner (e.g., therapist, counselor) working with the family to rate fidelity associated with the execution of each activity of the treatment plan. For each task included in the treatment plan, the practitioner working with the family evaluates whether the task was completed with high, medium, or low fidelity. 1 Discontinuity encompasses the following: displacement (child no longer in the physical custody but guardianship/parental rights remain intact); post-adoption placement; dissolution (guardianship or adoption legally terminated for reason other than parent death or incapacitation); and subsidy ended prematurely (subsidy payment ends prior to the child reaching age 18 years; may be related to child's absence from household or caregiver death). TENNESSEE SHORT-TERM OUTCOMES ADAPTATIONS MADE TO NMT WWW.QIC-AG.ORG Tennessee selected NMT because the NMT approach met the need for a therapeutic assessment tool that could match the unique needs and strengths of a child with a therapeutic modality or intervention. The NMT mapping process helps identify various areas in the brain that may have functional or developmental impairment problems, which helps guide the selection of the most appropriate, developmentally sensitive interventions. Rather than focusing on a specific therapeutic technique, the Neurosequential Model enables identification of the key systems and regions in the brain that have been affected by adverse developmental experiences, and then helps guide the selection and sequencing of therapeutic, enrichment, and educational activities that align with the child's developmental age and match the child's needs and strengths (Perry, 2006). In Tennessee, NMT is used with children who have been adopted and are referred (or self-refer) to Adoption Support and Preservation (ASAP) services in seven regions of the state: Shelby, East, Northeast, Tennessee Valley, Knox, Smoky Mountain, and Upper Cumberland. NMT services are offered to families who have adopted from the public child welfare system as well as families who have adopted through an intercountry or private domestic process. A key factor in providing services to these families is that the parents and the child must be willing to engage in services. Therefore, families who refuse to sign the Client's Rights and Responsibilities document are not eligible to participate in services. The short-term outcomes for participation in NMT in Tennessee include the following: * decreased levels of family stress; * decreased child behavioral issues; * increased satisfaction with delivery of services; » » improved educational outcomes * improved educational outcomes; » » decreased child behavioral issues * improved family relationships; and » » increased satisfaction with delivery of services » » improved caregiver commitment * improved caregiver commitment. » » improved family relationships The Tennessee site team augmented the NMT approach in two areas: » » Assessments. ASAP expanded the comprehensive assessment to include information needed to complete the NMT metric/assessment. The professional working with the child uses the metric tool to gather information about the child on topics related to developmental stages and related history; current functioning in home, school, and community; mental status; safety issues; and history of trauma or loss. In addition to the comprehensive assessment, the family is asked to complete various assessment tools, including the Parent Feeling Form, the Behavior Problem Index, and the Belonging and Emotional Security Tool. The information gathered is used by the practitioner to complete the NMT metric. » » Training Coordination. The decision to use the NMT approach represents a significant commitment on the part of an agency or program. Staff being trained in NMT must dedicate substantial time and energy to become certified; Phase I of the IMPLEMENTED PRACTICES RECRUITMENT: OUTREACH TO FAMILIES WWW.QIC-AG.ORG NMT certification process requires approximately 14 to 20 hours a month for 12-14 months. Given the extent of commitment required, an agency must be prepared to support their staff throughout the certification process. In addition, although the ChildTrauma Academy (NMT developer) provides comprehensive training materials and guidance, the agency also has to organize and manage a considerable amount of complex material. Given these administrative needs, the agency administering ASAP dedicated a part-time training director to guide, support, and administer the NMT training process. To ensure the quality of the NMT training, the following practices were implemented by the ASAP training director: » » A monthly training timeline was developed for the Phase 1 certification process (i.e., 12-14 months) and distributed to all participants. The timeline includes links to important documents and instructions on how to access the materials on the Child Trauma Academy website. »» A monthly training timeline was developed for the Phase 1 certification process (i.e., 12-14months) and distributed to all participants. The timeline includes links » » Printed copies of all required NMT reading materials are distributed to staff. to important documents and instructions on how to access the materials on the ChildTrauma Academy website. » » All audiovisual materials used in the training are available for download to electronic devices such as laptops, smartphones, or MP3 players. » » All audiovisual materials used in the training are available for download to electronic devices such as laptops, smartphones, or MP3 players. » » The training director monitors the staff progress in the certification process on a monthly basis. » » Printed copies of all requiredNMTreading materials are distributed to staff. » » The training director monitors the staff progress in the certification process on a monthly basis. » » Staff meet each month for Internal Learning Community group meetings. These meetings are led by the training director and provide an opportunity for the staff/ » » Staff meet each month for Internal Learning Community group meetings. These meetings are led by the training director and provide an opportunity for the staff/trainees to ask questions, reinforce their understanding of content, and share insights about the topics covered during the month with their peers. trainees to ask questions, reinforce their understanding of content, and share in- sights about the topics covered during the month with their peers. Phase 1 of NMT certification can occur within as little as 12-14 months; however, it takes longer to ensure the NMT concepts are fully integrated into the daily work of the staff using NMT. To ensure this high level of integration, the NMT staff receive on-going clinical supervision and support in using the NMT approach. In Tennessee, families can be referred to ASAP by a variety of professionals or they can self-refer. Prospective adoptive families are informed about ASAP services by the Department of Children Services (DCS) worker when the adoption process has progressed to the point of full disclosure regarding the child. Language about ASAP services is built into the adoption assistance agreement, and therefore, reviewed when the agreement is signed. As of June 1, 2017, all families receiving adoption assistance will receive two mailings a year from DCS, reminding the families about the availability of ASAP services. RETENTION: KEEPING FAMILIES CONNECTED TO THE PROCESS LINKS All families referred to ASAP participate in the comprehensive assessment process described above. A family referred to ASAP who resides in one of the demonstration counties will receive NMT services, which includes completion of the NMT metric and the development and execution of a service plan based on the metric findings and NMT service recommendations. Because the child's family is considered a critical part of the child's therapeutic web, the families are engaged in NMT through trauma-based education. Families referred to ASAP but who reside outside of the demonstration counties will receive services-as-usual, which includes a therapeutic intervention. Additional information on NMT is available from The Child Trauma Academy website (http://childtrauma.org/): » » Overview of the NMT Approach: » » https://childtrauma.org/wp-content/uploads/2013/06/NMT_Description_ Overview_6_22_12x.pdf » » Site Certification: Overview: » » https://childtrauma.org/wp-content/uploads/2016/11/SITECERT_MasterOver- view_9_3_15.pdf Some vector graphics by Freepik.com Funded through the Department of Health and Human Services, Administration for Children and Families, Children's Bureau, Grant #90CO1122. The contents of this document do not necessarily reflect the views or policies of the funders, nor does mention of trade names, commercial products or organizations imply endorsement by the U.S. Department of Health and Human Services. This document is in the public domain. Readers are encouraged to copy and share it, but please credit the QIC-AG. The QIC-AG is funded through a five-year cooperative agreement between the Children's Bureau, Spaulding for Children, and its partners the University of North Carolina at Chapel Hill, the University of Texas at Austin and the University of Wisconsin-Milwaukee.
In the United States Court of Appeals For the Seventh Circuit ____________________ No. 17-3040 DEBORAH WALTON, v. EOS CCA, Plaintiff-Appellant Defendant-Appellee ____________________ Appeal from the United States District Court for the Southern District of Indiana, Indianapolis Division. No. 1:15-cv-00822-TWP-DML — Tanya Walton Pratt, Judge. ____________________ ARGUED FEBRUARY 27, 2018 — DECIDED MARCH 21, 2018 ____________________ Before WOOD, Chief Judge, and BAUER and BARRETT, Circuit Judges. BARRETT, Circuit Judge. Deborah Walton sued EOS CCA, a debt collector, under the Fair Debt Collection Practices Act and the Fair Credit Reporting Act. Walton argues that EOS violated the former by failing to contact the creditor directly to "obtain[] verification" of her debt and the latter by failing to investigate disputed information. The district court concluded that EOS had discharged its obligation under both, . statutes and entered summary judgment for EOS. We affirm the district court's judgment. I. In a letter dated October 11, 2014, AT&T notified Deborah Walton that she owed $268.47 on her closed AT&T account. It identified her account number as 119864170 and informed her that failure to pay the bill "may cause your account to be referred to an outside collection agency." Walton did not pay the bill, and on January 27, 2015, she received a debt-collection letter from EOS CCA ("EOS"). The notice stated that she owed AT&T $268.47 and that payment was expected "unless [she] dispute[d] the debt." Because of an error in the records AT&T sent EOS, the letter incorrectly identified Walton's AT&T account number as "864119170" when her actual account number is 119864170. AT&T had swapped the first three digits of Walton's account with the second three in the information it provided to EOS. Walton contacted EOS to dispute that the debt belonged to her. During a phone call with an EOS representative, Walton acknowledged that her name and mailing address in the debt notice were correct, but she falsely denied that the last four digits of her social security number matched those the representative gave her in an attempt to confirm her identity. Walton also wrote EOS a letter disputing the debt, in which she asserted: "I do not own [sic] AT&T any money under the account number listed above." After investigating, EOS sent Walton a notice it characterized as "verification of your outstanding debt." It told Walton that based on "a review of our records," it had verified that her name, address, and the last four digits of her social security number matched the debt report it had received from AT&T. The verification letter also provided additional information about the amount of the debt: it stated a balance of $268.47 and specified that AT&T had not added interest or collection costs to the account. As it had in its initial notice to Walton, EOS listed her AT&T account number with the three swapped digits reflected in the records AT&T had sent it. EOS reported Walton's debt to two credit-reporting agencies, Experian and TransUnion. When it did so, it informed the agencies that the account was disputed. Walton wrote to Experian and TransUnion to dispute the debt, once in April and again in May. Each time, the agencies sent EOS a notice reflecting the complaint that Walton had registered. The first notice stated that Walton had insisted that the debt did not belong to her. This notice prompted EOS to double-check its own records, and it again concluded that Walton's name, address, and social security number matched the information it had received from AT&T. The second notice stated that Walton had asserted that EOS's debt-collection letter referred to account 864119170, when her correct account number was 119864170. After receiving this second notice, EOS asked Experian and TransUnion to delete Walton's debt record. Walton sued EOS, claiming that it violated (1) the Fair Debt Collection Practices Act (FDCPA), 15 U.S.C. § 1692 et seq. (2006), by not verifying her debt with the creditor, AT&T, and (2) the Fair Credit Reporting Act (FCRA), 15 U.S.C. § 1681 et seq. (2010), by not reasonably investigating the disputed information. She alleges that she lost income, suffered emotional distress, and incurred substantial attorney's fees as a result of these violations. A magistrate judge recommended that the district court enter summary judgment in favor of EOS, and the district court, overruling Walton's objections to the magistrate's report and recommendation, did so. II. We begin with the FDCPA. Under that Act, if a consumer "notifies the debt collector in writing within the thirty-day period" that the consumer is disputing a debt notice, "the debt collector shall cease collection of the debt … until the debt collector obtains verification of the debt … and a copy of such verification or judgment … is mailed to the consumer by the debt collector." 15 U.S.C. § 1692g(b). The statute does not describe what it means to "obtain[] verification of the debt," and the definition of "verification" does not cast much light on the problem before us. "Verification" is "the authentication of truth or accuracy by such means as facts, statements, citations, measurements, or attendant circumstances." WEBSTER'S THIRD NEW INTERNATIONAL DICTIONARY 2543 (1961). The question here, however, is what the debt collector is supposed to be verifying. Walton argues that § 1692(g) is about the accuracy of the underlying debt; she insists that the provision obligated EOS to contact AT&T to confirm whether the account number was hers and thus whether she really owed AT&T the money. EOS maintains that § 1692(g) is about the accuracy of its collection notice; it argues that the provision required EOS to confirm only that its notice to Walton matched AT&T's description of the debt and debtor. EOS is right. The Act's stated purpose is "to eliminate abusive debt collection practices by debt collectors, to insure that those debt collectors who refrain from abusive debt collection practices are not competitively disadvantaged, and to promote consistent State action to protect consumers against debt collection abuses." 15 U.S.C. § 1692(e). It is both sensible and consistent with that purpose to construe § 1692g(b) as requiring a debt collector to verify that its letters to the consumer accurately convey the information received from the creditor. The verification assures the consumer that the creditor actually made the demand the debt collector said it did and equips the consumer to evaluate the validity of the creditor's claim. It would be both burdensome and significantly beyond the Act's purpose to interpret § 1692g(b) as requiring a debt collector to undertake an investigation into whether the creditor is actually entitled to the money it seeks. Section 1692g(b) serves as a check on the debt-collection agency, not the creditor. We thus join other circuits in holding that the statute requires "nothing more than the debt collector confirming in writing that the amount being demanded is what the creditor is claiming is owed." Chaudhry v. Gallerizzo, 174 F.3d 394, 406 (4th Cir. 1999); Clark v. Capital Credit & Collection Servs., Inc., 460 F.3d 1162, 1173–74 (9th Cir. 2006). With this in mind, EOS plainly satisfied § 1692g(b). It checked its records and confirmed that the Deborah Walton to whom it had sent a debt-collection letter was the same Deborah Walton identified by AT&T. It then mailed Walton a notice confirming that it had sent the demand for payment to the person AT&T identified and for the amount AT&T sought. The notice included AT&T's address, which served both to identify and provide contact information for the creditor. This verification armed Walton with the information she needed to "sufficiently dispute the payment obligation." Dunham v. Portfolio Recovery Assocs., LLC, 663 F.3d 997, 1004 (8th Cir. 2011); see also Haddad v. Alexander, Zelmanski, Danner & Fioritto, PLLC, 758 F.3d 777, 784 (6th Cir. 2014). Indeed, that is precisely what Walton did. She used the data she received from EOS—in particular, the erroneous account number—to dispute her debt with Experian, TransUnion, and AT&T. And once she highlighted the precise source of her complaint—the account number—she succeeded in having the debt record deleted. III. We turn next to the FCRA. Under that Act, when a credit-reporting agency notifies a debt collector of a disputed debt, the debt collector (called a "furnisher" under the statute) must "conduct an investigation with respect to the disputed information." 15 U.S.C. § 1681s-2(b)(1)(A). Whether the furnisher's investigation is reasonable is a factual inquiry, but "summary judgment is proper if the reasonableness of the defendant's procedures is beyond question." Westra v. Credit Control of Pinellas, 409 F.3d 825, 827 (7th Cir. 2005). EOS's investigation was unquestionably reasonable. When EOS first heard from the credit-reporting agency, the report stated solely that Walton claimed the account did not belong to her. Based on this scant report, EOS conducted a reasonable investigation by verifying Walton's personal information with her EOS file on record. See id. After receiving the second creditreporting agency notice, EOS learned that Walton challenged the accuracy of the account number associated with the debt. EOS responded to this information by asking the credit agencies to delete the adverse credit report. And they did. Nothing more was required of EOS. IV. Walton's remaining arguments are also unpersuasive. She contends that EOS made false or misleading representations that violated both the FDCPA and the FCRA. The former requires debt collectors who communicate to a credit-reporting agency to report if a debt is disputed, 15 U.S.C. § 1692e(8), and the latter prohibits debt collectors from furnishing information to consumer reporting agencies if they know or have "reasonable cause to believe that the information is inaccurate." 15 U.S.C. § 1681s-2(a)(1)(A). EOS argues that we should not reach either issue because Walton did not raise either issue in her objection to the magistrate judge's report, see Willis v. Caterpillar Inc., 199 F.3d 902, 904–05 (7th Cir. 1999). Even if these arguments were not waived, they fail for two reasons. First, EOS presented undisputed evidence that it did report the debt as disputed, thereby complying with both Acts' provisions in §§ 1692e(8) and 1681s-2(a)(1)(A). Second, the FCRA does not provide a private right of action for violations of § 1681s-2(a)(1)(A). See 15 U.S.C. § 1681s-2(c); Purcell v. Bank of America, 659 F.3d 622, 623 (7th Cir. 2011). Finally, Walton brings two procedural challenges. She first objects to the consolidated briefing for cross-motions for summary judgment and argues the magistrate judge erred in denying her motion to strike EOS's combined motion and response. Permitting consolidated briefing on cross-motions for summary judgment is well within the judge's discretion. As for Walton's second procedural challenge, she complains that the district court, in considering her objections to the magistrate's report and recommendation, stated that "[Ms. Walton] does not cite any specific content in the ten pages of that exhibit and develops no arguments therefrom. She does not specify any error in the Report that these excerpts identify." Walton maintains that the district court's statement runs afoul of Johnson v. Zema Sys. Corp., 170 F.3d 734, 741 (7th Cir. 1999), where we interpreted "Rule 72(b)'s requirement of specific, written objection [to a magistrate's report] to require a litigant to specify each issue for which review is sought and not the factual or legal basis of the objection." Walton has taken the district court's statement out of context. The district court made a descriptive observation about Walton's objection to the exhibit in question, but it did not penalize Walton for her failure to develop a factual or legal argument. On the contrary, the district court clearly reviewed each of Walton's objections to the report under the proper de novo standard, 28 U.S.C. § 636(b)(1). Walton's objection is meritless. For the foregoing reasons, the judgment of the district court is AFFIRMED.
SECTION 1 INTRODUCTION This section provides a general introduction to the Mississippi Emergency Management Agency (MEMA) District 7 Regional Hazard Mitigation Plan. It consists of the following five subsections: - 1.1 Background - 1.2 Purpose - 1.3 Scope - 1.4 Authority - 1.5 Summary of Plan Contents 1.1 BACKGROUND Natural hazards, such as hurricanes, floods, and tornadoes, are a part of the world around us. Their occurrence is natural and inevitable, and there is little we can do to control their force and intensity. We must consider these hazards to be legitimate and significant threats to human life, safety, and property. The MEMA District 7 Region is located in the southwestern corner of Mississippi and includes the counties of Adams, Amite, Franklin, Jefferson, Lawrence, Lincoln, Pike, Walthall, and Wilkinson. This area is vulnerable to a wide range of natural hazards such as floods, drought, tornadoes, severe thunderstorms, and wildfires. These hazards threaten the life and safety of residents in the MEMA District 7 Region and have the potential to damage or destroy both public and private property, disrupt the local economy, and impact the overall quality of life of individuals who live, work, and vacation in the MEMA District 7 Region. While the threat from hazardous events may never be fully eliminated, there is much we can do to lessen their potential impact upon our community and our citizens. By minimizing the impact of hazards upon our built environment, we can prevent such events from resulting in disasters. The concept and practice of reducing risks to people and property from known hazards is generally referred to as hazard mitigation. FEMA Definition of Hazard Mitigation: "Any sustained action taken to reduce or eliminate the long-term risk to human life and property from hazards." Hazard mitigation techniques include both structural measures (such as strengthening or protecting buildings and infrastructure from the destructive forces of potential hazards) and non-structural measures (such as the adoption of sound land use policies and the creation of public awareness programs). It is widely accepted that the most effective mitigation measures are implemented at the local government level, where decisions on the regulation and control of development are ultimately made. A comprehensive mitigation approach addresses hazard vulnerability that exist today and in the foreseeable future. Therefore, it is essential that projected patterns of future development are evaluated and considered in terms of how that growth will increase or decrease a community's overall hazard vulnerability. A key component in the formulation of a comprehensive approach to hazard mitigation is to develop, adopt, and update a local hazard mitigation plan as needed. A hazard mitigation plan establishes the broad community vision and guiding principles for reducing hazard risk, and further proposes specific mitigation actions to eliminate or reduce identified vulnerabilities. Each of the 9 counties participating in the development of the MEMA District 7 Hazard Mitigation Plan has an existing hazard mitigation plan that has evolved over the years, as described in Section 2: Planning Process. This regional plan draws from the previous plan and documents the region's sustained efforts to incorporate hazard mitigation principles and practices into routine government activities and functions. At its core, the Plan recommends specific actions to minimize hazard vulnerability and protect residents from losses to those hazards that pose the greatest risk. These mitigation actions go beyond simply recommending structural solutions to reduce existing vulnerability, such as elevation, retrofitting, and acquisition projects. Local policies on community growth and development, incentives for natural resource protection, and public awareness and outreach activities are examples of other actions considered to reduce the MEMA District 7 Region's vulnerability to identified hazards. The Plan remains a living document, with implementation and evaluation procedures established to help achieve meaningful objectives and successful outcomes over time. 1.1.1 The Disaster Mitigation Act and the Flood Insurance Reform Act In an effort to reduce the Nation's mounting natural disaster losses, the U.S. Congress passed the Disaster Mitigation Act of 2000 (DMA 2000) in order to amend the Robert T. Stafford Disaster Relief and Emergency Assistance Act. Section 322 of DMA 2000 emphasizes the need for state, local, and Tribal government entities to closely coordinate on mitigation planning activities and makes the development of a hazard mitigation plan a specific eligibility requirement for any local or Tribal government applying for federal mitigation grant funds. In short, if a jurisdiction is not covered by an approved mitigation plan, it will not be eligible for mitigation grant funds. These funds include the Hazard Mitigation Grant Program (HMGP) and the Pre-Disaster Mitigation (PDM) program, both of which are administered by the Federal Emergency Management Agency (FEMA) under the Department of Homeland Security. Communities with an adopted and federally-approved hazard mitigation plan thereby become prepositioned and more apt to receive available mitigation funds before and after the next disaster strikes. Additionally, the Flood Insurance Reform Act of 2004 (P.L. 108-264) created two new grant programs, Severe Repetitive Loss (SRL) and Repetitive Flood Claim (RFC), and modified the existing Flood Mitigation Assistance (FMA) program. One of the requirements of this Act is that a FEMA-approved Hazard Mitigation Plan is now required if communities wish to be eligible for these FEMA mitigation programs. However, as of early 2014, these programs have been folded into a single Flood Mitigation Assistance (FMA) program. This change was brought on by new, major federal flood insurance legislation that was passed in 2012 under the Biggert-Waters Flood Insurance Reform Act (P.L. 112-141) and the subsequent Homeowner Flood Insurance Affordability Act in 2014 which revised Biggert-Waters. These acts made several changes to the way the National Flood Insurance Program is to be run, including raises in rates to reflect true flood risk and changes in how Flood Insurance Rate Map (FIRM) updates impact policyholders. These acts further emphasize Congress' focus on mitigating vulnerable structures. The MEMA District 7 Regional Hazard Mitigation Plan has been prepared in coordination with FEMA Region IV and the Mississippi Emergency Management Agency (MEMA) to ensure that the Plan meets all applicable FEMA and state requirements for hazard mitigation plans. A Local Mitigation Plan Review Tool, found in Appendix C, provides a summary of federal and state minimum standards and notes the location where each requirement is met within the Plan. 1.2 PURPOSE The purpose of the MEMA District 7 Regional Hazard Mitigation Plan is to: - Complete an update of information in the existing plan to demonstrate progress and reflect current conditions - Increase public awareness and education about the plan and planning process - Maintain grant eligibility for participating jurisdictions - Maintain compliance with state and federal legislative requirements for local hazard mitigation plans 1.3 SCOPE The focus of the MEMA District 7 Regional Hazard Mitigation Plan is on those hazards determined to be "high" or "moderate" risks to the MEMA District 7 Region, as determined through a detailed hazard risk assessment and input from local officials. Other hazards that pose a "low" or "negligible" risk will also be evaluated, but they may not be fully addressed by mitigation actions or projects. This enables the participating jurisdictions to prioritize mitigation actions based on those hazards which are understood to present the greatest risk to lives and property. The geographic scope (i.e., the planning area) for the Plan includes 9 counties and 19 incorporated jurisdictions. Table 1.1 lists the participating areas. TABLE 1.1: PARTICIPATING JURISDICTIONS IN THE MEMA DISTRICT 7 REGIONAL HAZARD MITIGATION PLAN \| Adams County \| \| Lincoln County \| \| \|---\|---\|---\|---\| \| Natchez \| \| Brookhaven \| \| \| Amite County \| \| Pike County \| \| \| Gloster \| Liberty \| Magnolia \| Osyka \| \| Franklin County \| \| McComb \| Summit \| \| Bude \| Roxie \| Walthall County \| \| \| Meadville \| \| Tylertown \| \| \| Jefferson County \| \| Wilkinson County \| \| \| Fayette \| \| Centreville \| Woodville \| \| Lawrence County \| \| Crosby \| \| \| Monticello \| Silver Creek \| \| \| \| New Hebron \| \| \| \| 1.4 AUTHORITY The MEMA District 7 Regional Hazard Mitigation Plan has been developed in accordance with current state and federal rules and regulations governing local hazard mitigation plans and has been adopted by each participating county and local jurisdiction in accordance with standard local procedures. Copies of the adoption resolutions for each participating jurisdiction are provided in Appendix A. The Plan shall be routinely monitored and revised to maintain compliance with the following provisions, rules, and legislation: - Section 322, Mitigation Planning, of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as enacted by Section 104 of the Disaster Mitigation Act of 2000 (P.L. 106-390) - FEMA's Final Rule published in the Federal Register, at 44 CFR Part 201 (201.6 for local mitigation planning requirements and 201.7 for Tribal planning requirements) - Flood Insurance Reform Act of 2004 (P.L. 108-264), Biggert-Waters Flood Insurance Reform Act of 2012 (P.L. 112-141) and the Homeowner Flood Insurance Affordability Act 1.5 SUMMARY OF PLAN CONTENTS The contents of this Plan are designed and organized to be as reader-friendly and functional as possible. While significant background information is included on the processes used and studies completed (i.e., risk assessment, capability assessment), this information is separated from the more meaningful planning outcomes or actions (i.e., mitigation strategy, mitigation action plan). Section 2, Planning Process, provides a complete narrative description of the process used to prepare the Plan. This includes the identification of participants on the hazard mitigation council and describes how the public and other stakeholders were involved. It also includes a detailed summary for each of the key meetings held, along with any associated outcomes. The Community Profile, located in Section 3, provides a general overview of the MEMA District 7 Region, including relevant geographic, demographic, and economic characteristics. In addition, building characteristics and land use patterns are discussed where applicable/available. This baseline information provides a snapshot of the planning area and helps local officials recognize those social, environmental, and economic factors that ultimately play a role in determining the region's vulnerability to hazards. The Risk Assessment is presented in three sections: Section 4, Hazard Identification; Section 5, Hazard Profiles; and Section 6, Vulnerability Assessment. Together, these sections serve to identify, analyze, and assess hazards that pose a threat to the MEMA District 7 Region. The risk assessment also attempts to define any hazard risks that may uniquely or exclusively affect specific areas of the MEMA District 7 Region. The Risk Assessment begins by identifying hazards that threaten the MEMA District 7 Region. Next, detailed profiles are established for each hazard, building on available historical data from past hazard occurrences, spatial extent, and probability of future occurrence. This section culminates in a hazard risk ranking based on conclusions regarding the frequency of occurrence, spatial extent, and potential impact highlighted in each of the hazard profiles. In the vulnerability assessment, FEMA's HAZUS ®MH loss estimation methodology is used to evaluate known hazard risks by their relative long-term cost in expected damages. In essence, the information generated through the risk assessment serves a critical function as the MEMA District 7 Region seeks to determine the most appropriate mitigation actions to pursue and implement—enabling it to prioritize and focus its efforts on those hazards of greatest concern and those structures or planning areas facing the greatest risk(s). The Capability Assessment, found in Section 7, provides a comprehensive examination of the MEMA District 7 Region's capacity to implement meaningful mitigation strategies and identifies opportunities to increase and enhance that capacity. Specific capabilities addressed in this section include planning and regulatory capability, staff and organizational (administrative) capability, technical capability, fiscal capability, and political capability. Information was obtained through the use of a detailed survey questionnaire and an inventory and analysis of existing plans, ordinances, and relevant documents. The purpose of this assessment is to identify any existing gaps, weaknesses, or conflicts in programs or activities that may hinder mitigation efforts and to identify those activities that should be built upon in establishing a successful and sustainable local hazard mitigation program. The Community Profile, Risk Assessment, and Capability Assessment collectively serve as a basis for determining the goals for the MEMA District 7 Regional Hazard Mitigation Plan, each contributing to the development, adoption, and implementation of a meaningful and manageable Mitigation Strategy that is based on accurate background information. The Mitigation Strategy, found in Section 8, consists of broad goal statements as well as an analysis of hazard mitigation techniques for the jurisdictions participating in the MEMA District 7 Regional Hazard Mitigation Plan to consider in reducing hazard vulnerabilities. The strategy provides the foundation for a detailed Mitigation Action Plan, found in Section 9, which links specific mitigation actions for each county and municipal department or agency to locally-assigned implementation mechanisms and target completion dates. Together, these sections are designed to make the Plan both strategic, through the identification of long-term goals, and functional, through the identification of immediate and short-term actions that will guide day-to-day decision-making and project implementation. In addition to the identification and prioritization of possible mitigation projects, emphasis is placed on the use of program and policy alternatives to help make the MEMA District 7 Region less vulnerable to the damaging forces of hazards while improving the economic, social, and environmental health of the community. The concept of multi-objective planning was emphasized throughout the planning process, particularly in identifying ways to link, where possible, hazard mitigation policies and programs with complimentary community goals related to disaster recovery, housing, economic development, recreational opportunities, transportation improvements, environmental quality, land development, and public health and safety. Plan Maintenance, found in Section 10, includes the measures that the jurisdictions participating in the MEMA District 7 Regional plan will take to ensure the Plan's continuous long-term implementation. The procedures also include the manner in which the Plan will be regularly evaluated and updated to remain a current and meaningful planning document. County-specific Annexes have been created for each of the counties participating in this plan. Each Annex contains information relevant to the county and the participating municipal jurisdictions in the county. Information included in each county‐level Annex includes Community Profile, Risk Assessment and Capability Assessment information. The Mitigation Actions identified for that county and its municipal jurisdictions are also included in the county's Annex. This allows each county and jurisdiction to quickly locate the information contained in the plan that is most relevant for them.
SAN JOSE STATE UNIVERSITY METEOROLOGY 112, Sec. 4 Joe Jordan Fall 2012 – Course # 43572 GLOBAL CLIMATE CHANGE E-mail: < MW 1445 – 1545 (2:45 – 3:45 PM) firstname.lastname@example.org > Phone: (408) 924-5200 Duncan Hall 515 Office: Duncan Hall 621 Office hours: MW 1100 – 1200 DH 621 Course Description: Meteorology 112 is a SJSU Studies (formerly advanced General Education) course in area "R", Earth and Environment. This course will help students become integrated thinkers who can see connections between and among a variety of concepts and ideas. This course introduces students to the science of global climate change including how the interactions among the various elements in the earth's planetary ecosystem have affected past climates, are shaping today's climate and will likely affect future climate. Over the past decade or so, the issue of 'global warming' has become one of the world's most pressing environmental and social concerns. Prerequisite: Completion of core GE, satisfaction of Writing Skills Test and upper division standing. For students who began continuous enrollment at a CCC or a CSU in Fall 2005 or later, completion of (or co-requisite in) a 100W course is required. TEXTS: Robert Henson, The Rough Guide to Climate Change, third edition, Penguin Group (USA), New York, 2011 (paperback) ISBN 13: 978-1848365797 ISBN 10: 1848365799 Fred Pearce, With Speed and Violence, second edition, Beacon Books, Boston, 2008 (paperback) ISBN 13: 978-0-8070-8577-6 ISBN 10: 0-8070-8577-4 Lester Brown, Plan B 4.0: Mobilizing to Save Civilization, W. W. Norton, New York, 2009 (paperback) – OPTIONAL (HIGHLY RECOMMENDED) Bill McKibben, Eaarth: Making a Life on a Tough New Planet, St. Martin's Griffin, 2011 (paperback) -- OPTIONAL (HIGHLY RECOMMENDED) Mark Hertsgaard, HOT: Living Through the Next Fifty Years on Earth, Houghton Mifflin Harcourt, New York, 2011 (hardcover) – OPTIONAL (HIGHLY RECOMMENDED) Additional reference: J. T. Houghton, Global Warming – The Complete Briefing, third edition, Cambridge University Press, New York, 2004 (paperback) These books are presently available both new and used on Amazon and other online retailers. Office Hours: MW 1445 -- 1545 (or by appointment) If, at any time, you have difficulty with the course material, please come and see me. Bring all relevant materials, e.g., quizzes, exams, notebook, textbook(s), other resources. GE Information (from catalog) SJSU studies (formerly Advanced GE) * Students must complete one course in each area. * For students who began continuous enrollment Fall 2005 or later, courses used to satisfy Areas R, S, and V must be taken from three separate SJSU departments or other distinct academic units. * METR 112 satisfies the requirements for area R. Area R Learning Objectives – A student should be able to: * demonstrate an understanding of the methods and limits of scientific investigation. * apply a scientific approach to answer questions about the earth and environment. * distinguish science from pseudo-science. Course Learning Objectives – developing an understanding of, and ability to articulate: * the fundamental processes responsible for past and present climate change – and how both natural factors and human actions can set such processes in motion * implications and uncertainties related to our changing climate, including possible impacts on human societies (and economies) and natural ecosystems * connections between materials consumption, energy use, and global climate change * various strategies for mitigation of climate change COURSE TOPICS I. Global warming and climate change A. The challenge B. Highlights of the IPCC Fourth Assessment II. Basic energy concepts A. Radiative balance, albedo and the greenhouse effect B. Mars vs. Earth vs. Venus C. Runaway greenhouse, enhanced greenhouse effect III. Greenhouse gases, aerosols and radiative forcing A. Carbon dioxide and the carbon cycle B. Other greenhouse gases and effects of particles IV. VII. Elements of the climate system A. Atmosphere B. Hydrosphere C. Cryosphere D. Land surfaces E. Biosphere V. Past climates F. Recent (past 100 years) G. Post-glacial climate H. Geological time scales I. IPCC Fourth Assessment VI. Climate modeling A. Numerical weather prediction B. Modeling the climate system and feedbacks C. Validation of the models Changes in the 21st century A. Emissions scenarios B. Global average temperature projections C. Regional patterns of climate change VIII. The impacts of climate change A. Networks of change B. Sea-level rise C. Fresh water resources D. Agricultural impacts E. Ecosystems F. Extreme events IX. Uncertainties A. General considerations B. The IPCC assessments C. Why not wait and see? D. Arguments for action – the Precautionary Principle X. Stabilization and mitigation strategies A. The climate convention B. Montreal and Kyoto protocols C. The fate of the forests D. Energy demands and supplies To get all of the information you need to do well on quizzes and exams, you will need to read the texts and attend the lectures. * We will discuss in the class the work of the International Panel on Climate Change (IPCC), whose Fourth Assessment Report (AR4) was released in stages over the course of 2007. The IPCC shared the Nobel Peace Prize recently with Al Gore. Sections of AR4 can be downloaded at http://www.ipcc.ch/. These include each of the three Working Groups Reports ("Physical Science Basis", "Impacts, Adaptation and Vulnerability" and "Mitigation of Climate Change") as well as the AR4 Synthesis Report released last November. The Summaries for Policy Makers in each of these four groups highlight the salient points. GRADING Grades will be based on the best 3 of 4 quizzes, a midterm exam, a final exam, and various writing assignments. The quizzes will consist of short-answer, multiple choice and fill-in-theblank questions; exams will include a few questions that will require a longer answer (i.e., a half page or so). The final exam will be comprehensive. The GE writing requirement (3,000 words total or ~12 pages) will be satisfied in two ways: homework assignments (six pages total writing) and in-class writing (six pages total writing). Table 1 below gives the point values for quizzes, exams, and writing assignments; Table 2 tells you how the course grade will be calculated. TABLE 1. Point values for quizzes, exams, and writing assignments. TABLE 2. Point ranges to receive indicated grade. \| Total Points \| Grade \| \|---\|---\| \| 203 and up \| A+ \| \| 196 – 202 \| A \| \| 189 – 195 \| A- \| \| 182 – 188 \| B+ \| \| 175 – 181 \| B \| \| 168 – 174 \| B- \| \| 161 – 167 \| C+ \| \| 154 – 160 \| C \| \| 147 – 153 \| C- \| \| 140 – 146 \| D+ \| Grading Policies Quizzes: As only three quizzes are counted, there will be no make-ups for missed quizzes. Midterm Exam -- Make-ups will be given if a compelling reason is given for missing the exam. The make-up exam must be taken before the graded exams are returned. Homework: Homework is due at the beginning of class. Late Homework will result in a deduction of points as follows: * Less than 24 hours late: 20% * 24 to 48 hours late: 50% * More than 48 hours late: 100% In-class activities: Each class activity will be worth 5 points. You may miss one activity without penalty. There will be no make-ups of in-class activities. Incompletes: An "incomplete" will be given for the course only under the following conditions: 1. At least 60% of the course work has been completed and 2. Unexpected circumstances prevent the completion of the remaining work. An incomplete will not be given to circumvent rules concerning the dropping of courses! Cell phones, lap-top computers, etc.: Please show consideration for me and for your fellow students by turning off the ringer on your cell phone during class – and not answering cell phones during class. Lap-top computers should be used only for note-taking (if that is your habit/preference). Any abuse of lap-top use in class will result in the banning of their use in the classroom for ALL students! Punctuality, etc. : Please make every effort to arrive on time. Please inform me if you need to leave class early; try to take a seat near the front of the classroom to avoid disruption of the class as you leave. Please do not start making preparations to leave (e.g., closing notebooks) prior to the scheduled end of the class. How to do well in this course * Attend class! * Use the materials available on the web pages to which you will be referred. * Put in the time! Rule of thumb: two hours of study for each hour in the classroom. * Don't fall behind! Review your notes regularly. * Don't just memorize! Try to tie things together. Ask yourself, "How does this new material fit in with the previous topics?" or "How would I explain this to someone else?" * Keep a well-organized notebook. At the very least, note the date of the lecture. Better yet, re-write the notes and insert your own comments. * When studying, jot down questions about things you don't understand. * Use reference materials, e.g., a good dictionary, the web, to fill in gaps in your background knowledge. (E.g., if you don't know the meaning of a word or some important geographical fact, look it up!) * Form a study group. (And remember, group meetings don't do any good unless all of the participants have prepared beforehand!) University Policies Academic Integrity (from the Office of Judicial Affairs): "Your own commitment to learning as evidenced by your enrollment at San Jose State University, and the University's Academic Integrity Policy, require you to be honest in all your academic course work. Faculty members are required to report all infractions to the Office of Judicial Affairs." The policy on academic integrity can be found at the following website: http://www2.sjsu.edu/senate/S04-12.pdf . THIS CLASS: CHEAT F ! Disabilities: "If you need course adaptations or accommodations because of a disability, or if you need special arrangements in case the building must be evacuated, please make an appointment with me, or see me during office hours. Presidential directive 97-03 requires that students with disabilities requesting accommodations must register with DRC to establish a record of their disability." Schedule for Class Reading and Discussion The very first things to read (while people are still getting their books for this course) are the following: ``` -‐-‐ "New Yorker" article (eight pages long, from a few years ago), at < http://www.newyorker.com/reporting/2008/07/07/080707fa_fact_kolbert > ; -‐-‐ "New Internationalist" article on climate-‐change denial, at < http://dl.dropbox.com/u/7094851/ClimateChangeDenialNI.pdf > ; -‐-‐ my little piece on fun and insights with the scientific method, at < http://dl.dropbox.com/u/70 94 8 51 /wordgame.doc > . ``` The first quiz for the semester (around the third week) will cover these. MET112 REQUIRED COURSE TEXTBOOKS FIRST WRITTEN HOMEWORK ASSIGNMENT (DUE MONDAY, SEPTEMBER 10, AT 1330): Please bring in an account of your observations, handwritten or typed, to our sixth class meeting, Mon., Sept.10, 2012, and hand in at the beginning of class. Thanks! (NOTE: For this assignment, we are NOT using D2L.) =================== 1. When you put some ice (cubes or chunks) in a glass of water, you'll notice that the water level rises to a new level. MARK that new level (say, with tape or a marker pen) on the outside of the glass, and then go away for an hour or more and let the ice melt. NOTE: The ice you put into the glass must NOT TOUCH THE BOTTOM; it should be ALL FLOATING. Here's the question, whose answer you determine from observation and write up for this assignment: After the ice has all melted, WHAT HAS HAPPENED TO THE WATER LEVEL IN THE GLASS? (Did it go up, down, or stay the same?) DON'T WRITE UP WHAT YOU THINK WOULD HAPPEN; DO THE EXPERIMENT! You may well be quite surprised at the result! 2. a. Go watch the sky for awhile (or just off-‐and-‐on, over a period of a few minutes or more) at sunset (or sunrise, if you prefer). Try to determine which way the sun goes down (if at sunset — or UP, if at sunRISE), as you face it. Is the sun going down-‐and-‐to-‐the-‐LEFT, or STRAIGHT down, or down-‐and-‐to-‐the-‐RIGHT? If you're sighting the sun against some distant building, tower, tree, etc., and go out a couple or several different times while doing this exercise, make sure you're observing from the SAME SPOT each time you look. (You can make drawings or take pictures, if you want — not required, though.) b. Try to determine, by observing sunset (or sunrise) on two or more different days very soon, whether the sunset point on the horizon (or the sunrise point on the horizon) is staying in the same position, or moving to the LEFT, or moving to the RIGHT, from day to day. (This set of observations can be made on consecutive days, but it would be better to have at least two of your observations be a FEW days apart, so you'll be able to better notice any changes in the sun's position along the horizon. Have fun with these! -‐-‐ Joe J. ============================ One website on which you will be required to view a very interesting and entertaining video is "The Story of Stuff" ( < http://www.storyofstuff.com > ). Sometime around the middle of the semester, there will be an in-class writing (to be graded) on the ideas presented in that piece. A couple of long (~2-hr.) videos that will also be required viewing are an excellent special from the PBS series "Frontline", entitled "HEAT" ( < http://video.pbs.org/video/994540147/ > ); the film "An Inconvenient Truth" (Al Gore's infamous piece); and the BBC film "Snowball Earth". (There was also an article in "Scientific American" magazine about this theory, some years ago; that would be worth looking up and reading, too.) You will be writing and turning in papers on the latter two, sometime in the second half of this semester – but might as well get started on finding and reading/viewing these things, NOW (or soon)! There will occasionally be other readings (and/or viewings) assigned from websites or other resources. EXTRA-CREDIT BOOKS (and other opportunities): There are two books you can read and study to gain some extra credit for this course. By successfully answering a variety of questions (at a point toward the end of the semester) on either one of them, you can achieve up to 7 additional points toward your final grade – and up to 15 if you do both. George Monbiot, Heat: How to Stop the Planet From Burning, Penguin Books, London, 2006 or later (paperback) – ON RESERVE AT MLK LIBRARY ISBN 13: 978-0896087873 ISBN 10: 0896087875 [ NOTE difference in last digit. ] Tim Flannery, The Weathermakers: How Man Is Changing the Climate and What It Means for Life on Earth, Atlantic Monthly Press, New York, 2005 (hardcover) ISBN 13: 978-0-87113-935-1 ISBN 10: 0-87113-935-9 [ NOTE difference in last digit. ] There will be occasional other extra credit opportunities ("ECOs"), potentially adding a total of just a few more points to your overall score.
BACKGROUND (A) ARTROOMSFAIR Ltd is the Organiser of ARTROOMS - INTERNATIONAL CONTEMPORARY ART FAIR ("EVENT"). (B) ARTROOMS - INTERNATIONAL CONTEMPORARY ART FAIR will take place at MELIA WHITE HOUSE HOTEL (Albany Street, London NW1 3UP – United Kingdom) on Friday 19th January 2018, Saturday 20th January 2018, Sunday 21st January 2018 and Monday 22nd January 2018. DEFINITIONS "Exhibitor' means the applicant identified on the front hereof; (b) "Artrooms" means the specific expositions or conferences identified on the front hereof; (c) "Event" means Artrooms-International Contemporary Art Fair, its agents, employees and affiliates; NOW IT IS HEREBY AGREED AS FOLLOWS (A) By signing this Agreement, the Exhibitor is officially accepted into ARTROOMS - INTERNATIONAL CONTEMPORARY ART FAIR by the Organiser and the Exhibitor is committed to a legally binding agreement with the Organiser and agrees to the terms laid out in this contract in regards to ARTROOMS - INTERNATIONAL CONTEMPORARY ART FAIR. 1.0 EXHIBITION SPACE 1.1 The Exhibitor agrees not to assign or sublet any space allocated to him (or any part of it) to another party, not to display or advertise goods or services other than those manufactured or carried by him in the normal course of business. 1.2 All exhibitors will be allocated to a designated space (hotel room) and all works displayed must be shown within such space. Spaces are non-transferable. 1.3 HANGING INFORMATION: A maintenance team together with the Organiser will support the Exhibitor in the set up of the exhibition. 1.3.1 The hotel rooms is approximately 24sqm with 4/5 spaces already prepared for hanging and several desks to display artwork. The average size for paintings and photography is approximately 70 x 120 cm, larger work can be displayed in the room but not hanged on walls. The Exhibitor is allowed to use as a display: desks, coffee tables, beds, bedside tables, sofas and all the room furniture. Please, be careful and protect the surfaces. If the Exhibitor needs additional displays for sculptures, he can bring his own plinths. Heavy or extra size works need to be approved by the Organisers. 1.3.2 Each room has a TV than can be connected to a laptop or USB key. Additional equipment (i.e. projectors, speakers, headphones etc.) can be brought by the Exhibitor at his own expenses. 1.3.3 Drilling and nailing into the room is strictly forbidden. 2.0 SET-UP AND TAKE-DOWN 2.1 The Exhibitor agrees to hang their own works, and is responsible for hanging and taking them down securely. Any damages or accidents that happen are the responsibility of the Exhibitor. The Organiser or third parties cannot be held liable. 2.2 Exhibitors set up will take place from 2:00pm of Wednesday 18 th January 2018 until 3:00pm of Friday 19 th January 2018. The Exhibitors have to be at the venue at the strict time, to be able to open for ARTROOMS2018. 2.3 Take down will take place on 22 nd January 2018 from 2:00pm. Closing time in the last day of the Event on Monday 22 nd January 2018 is strictly 1:30pm. 2.4 After take down, the Exhibitor must leave the room clean (with no litter) and must take all unsold items back including packaging. The Exhibitor must leave the rooms in the same conditions as he has found it at arrival. 3.0 STORAGE 3.1 The Organiser has the use of a storage space at the venue available to Exhibitors, where they may keep personal belongings and art packaging at their own risk. 4.0 LIABILITY and INSURANCE 4.1 The Organiser and third parties cannot be held liable for any accidents, damages or theft that might happen to the premises of Meliá White House Hotel, where ARTROOMS will be held. 4.2 The person that is responsible to any damage, accidental or on purpose, to the venue of Meliá White House Hotel or to the exhibition walls or to material provided by the Organiser will be held liable, and will be charged for the damages. 4.3 Care should be taken to avoid any damage to any part of the building. Should any such damage or disfigurement occur, the Exhibitor shall be liable for any reparation charges incurred. The Exhibitor agrees to hang their own work, and is responsible for hanging and taking down securely. 4.4 In order to take part to the Event at Melia White House Hotel, the Exhibitor will be required to fill in the Check-in form, Credit Card form complete with a photocopy of both sides of credit/debit card and return it with the signed Agreement. No money will be deducted from the Exhibitor Credit Card. The Credit Card details will be used ONLY in case the Exhibitor causes any damages to Melia White House Hotel in accordance with clauses 4.2 and 4.3. or if the Exhibitor benefits from Extras, like food and drinks from the fridge in the rooms or uses the room telephones. 4.5 If the Exhibitor does not want to post details of his credit/debit card, he can hand the fill credit card form and photocopy of both sides of credit/debit card to the Organizer when he arrives for the set up. 4.6 It is compulsory for the Exhibitor to fill in the Credit Card form and to give photocopy of both sides of his credit/debit card either by post or in person. If the Exhibitor does not provide these documents, the room key won't be provided and the Exhibitor won't be able to take part to the Event. As set out in clause 4.4 money will be deducted using the credit/debit card details provided ONLY in the event of damages or benefit of Extras. 4.7 The Organisers cannot be held responsible for any loss, theft or damage to Exhibitors' works or personal possessions. Any claims for personal injury or damage to property by third parties or employees cannot be made to the Organiser or third party. 4.8 The Exhibitor is responsible for being covered by all risk insurance. The Exhibitor is responsible for own insurance (theft and damage) of their artworks, public liability and third party. 4.9 The Exhibitor is responsible for all costs of insurances: travel insurance, insurance of their artworks to and from the showcase venue, and throughout the Event. 5.0 SECURITY 5.1 The Exhibitor will be exhibiting in a secure environment; however, both Meliá White House Hotel and the Organiser are unable to accept responsibility for lost or damaged works, and/or personal injury. 5.2 The Organiser has arranged security staff at the Event, but are not liable or responsible in case any theft or any damage may occur. 5.3 Security staff will be on duty throughout the period of tenancy of the Event but shall be under no liability for loss, damage or theft. 6.0 COSTS and EXPENSES 6.1 The exhibition space is offered free of charge to the Exhibitor for the duration of the Event. 6.2 The Exhibitor is responsible for any costs for shipping the artworks to the venue and to ship back the unsold works. The Exhibitor is also responsible to insure the artworks when in transit to the venue and back. Neither the Organiser nor Melia White House Hotel can be held responsible for damaged or lost goods in transit. 6.3 The Exhibitor is responsible for his/her own travel costs to the venue and back and for accommodation. 6.4 VERY IMPORTANT Note for Exhibitors shipping artworks from outside Europe: When artworks are shipped from outside Europe to the United Kingdom, the Exhibitor is also responsible for any costs related to custom duties, taxes and VAT. When shipping from outside Europe, the Exhibitor MUST indicate on the shipment papers that the shipper (Exhibitor) chooses to pay all the charges (shipping costs and custom duties, taxes and VAT). The Exhibitor MUST inform the courier/post office that he will pay all the charges (shipping costs and custom duties, taxes and VAT) and papers must be filled accordingly. Neither the Organiser not Melia White House Hotel can be held responsible for any payments, delay or stop of the artworks at the customs. 6.5 The Exhibitor is responsible for any other additional expenses incurred such as framing, hanging material, art supplies, parking , postage costs, and other unforeseen costs for the Exhibitor, throughout the Event, before the Event, whilst in transit, whilst in storage, throughout the duration of the Event, including set-up and take down. 7.0 ARTWORKS 7.1 All works must be original. 7.2 All works displayed must be for sale. 7.3 Prints on sale must be editions of no more than 250. 7.4 By submitting artworks the Exhibitor agrees the works are the original works of the exhibiting artist and do not infringe the copyright or other intellectual property rights of any third parties. 7.5 The Exhibitor must conform to the regulations and conditions concerning explosives and dangerous materials, combustible or otherwise, as laid down by local authorities and other statutory bodies. Any materials or exhibits not approved by these authorities or the Organisers must be removed from the premises. 7.6 All works must be presented with a Certificate of Authenticity. 7.7 A full list of all exhibited works must be consigned to the Organiser before the 19 th of December 2017. 8.0 SALES 8.1 During the Event all sales of artworks will be processed EXCLUSIVELY by the Organiser. The Exhibitors cannot accept any direct payments from buyers, including cash payments. 8.2 The Organiser is entitled to keep a commission on the sale of artworks calculated as 30% of the selling price of the sold artworks. 8.3 The Exhibitor is entitled to receive a payment on the sale of artworks during the Event calculated as 70% of the selling price of the sold artworks. 8.3.1 If the payment to the Exhibitor will be made into a non-UK bank account, a fixed amount of £3.00 will be deducted from the due amount to cover the international transaction fee. 8.3.2 Terms of payment: The Organiser will remit the payment due to the Exhibitor (as per clauses 8.3 and 8.3.1) within 30 days after the closure of the Event. In order to have the payment processed, the Exhibitor will provide the Organiser with an invoice with his bank account details. 8.4 The Organiser is VAT registered. 9.0 PRESENCE OF EXHIBITOR 9.1 The Exhibitors MUST be present for all the duration of the Event and keep his exhibition room open and supervised during all the opening time of the Event (TBC): from Friday 19th January to Monday 22 nd of January 2018. 9.2 The Exhibitor cannot keep his room closed and not be present during the opening times of the Event. 10.0 GENERAL CONDITIONS 10.1 All shipments of artworks to the venue have to strictly be made in accordance with clauses 6.2 and 6.4 and Attachment 1 of this Agreement. The Organiser cannot be held responsible for any payments, delay or stop of the artworks when shipped, in transit and at the customs. 10.2 Smoking is not permitted at the venue. 10.3 The Exhibitor should address any queries about the Event or venue directly to the Organiser. Melia White House Hotel is not the organiser of ARTROOMS2017 and all communication, issues or concerns should be corresponded to the Organiser on the day of occurrence. Any issues reported afterwards cannot be taken in consideration. 10.4 The Organiser sets the Terms and Conditions, also the place, the duration, the dates, the opening hours, and the ticket price of the Event and if necessary reserves the right to modify them. 10.5 The Organiser has the right to modify any details and information of the Event, including details on the website. The Organiser cannot be held liable when any modifications and or changes of Event details and of website information (even through the cause of third party) have occurred. 10.6 The building has been partially adapted for wheelchair access. Please notify the Organiser in advance of any special needs and it will endeavour to help. 10.7 The Organiser shall be entitled to use and reproduce the Exhibitor's name, trademark and logo in connection with the promotion and production of the Event. 10.8 The Organisers will be responsible at all times for the control of the Event area. The Exhibitor is responsible for the supervision of its space. 10.9 The Organiser accepts no liability for any inaccuracies or omissions on the Event and on the Organiser websites and any decisions based on information contained in this website are the sole responsibility of the visitor. 10.10 The Organiser and third parties cannot be held liable if Exhibitor, helper or visitor suffers from distress due to climate and or temperature throughout the Event. Either inside the building and/or outside. 10.11 The Organiser and third parties cannot be held liable for any sudden and/or unexpected disruption at moment of the Event causing lack of visitors, sales, attendance of any kind. 10.12 The Organiser and third parties cannot be held liable for any health/safety issues occurring on the premises of the Event under any circumstances. 10.13 Any unacceptable behaviour, and/or causing havoc or disturbance of any kind to the Organiser, third party, other exhibitors or visitors will be removed from the premises, and will await a penalty fine. The Organiser has the right to call the police and/or security to remove Exhibitors. 11.0 HEALTH & SAFETY 11.1 Exhibitors must not bring anything that will spill out beyond the boundaries of their space, cause a health and safety hazard or be deemed inappropriate at a professional fair. 11.2 All walk spaces and pathways need to be clear. Cordial collaboration between your neighbours is recommended, please show consideration for the other exhibitors. You will be asked to remove anything that contradicts the above. 11.3 The Organiser and Melia White House Hotel will ask you to remove anything from the Event that causes obstruction, and or health and safety issues. 12.0 POSTPONEMENT OR ABANDONMENT 12.1 The Exhibitor shall have no claim against the Organiser in respect of any loss or damage consequential upon the prevention, postponement or abandonment of the Event, or of the Event building Melia White House Hotel becoming wholly or partially unavailable for the holding of the Event by reason of happenings of any of the events being beyond the Organisers' control. 13.0 INDEMNITY 13.1 The Exhibitor agrees to indemnify the Organiser against any claim or demand, including reasonable lawyers' fees, made by any third party due to or arising in any way. 14.0 THIRD PARTY RIGHTS 14.1 The Contracts (Rights of Third Parties) Act 1999 is expressly excluded from this agreement and nothing contained in this agreement, expressed or implied, is intended to confer on any person other than the parties to it any rights, remedies, obligations or liabilities under or by reason of this Agreement. 15.0 SEVERABILITY 15.1 If at any time one or more provisions contained in the Agreement is or becomes invalid, illegal or unenforceable in any respect this shall not affect the validity, legality or enforceability of the remaining provisions which shall remain in force and effect. 16.0 NO WAIVER 16.1 No waiver or any term or condition of this Agreement shall be effective unless made in writing and signed by the party against which enforcement of the waiver is sought. The waiver of any breach of any term of the agreement shall not be construed as a waiver of any subsequent breach of a term of the same or a different nature. 17.0 DISPUTE RESOLUTION 17.1 In the event of a dispute arising out of or in connection with these terms or any contract between the Exhibitor and the Organiser, then the Exhibitor agrees to attempt to settle the dispute by engaging in good faith with the Organiser in a process of mediation before commencing arbitration or litigation. 18.0 FORCE MAJEURE 18.1 The Organiser is not liable for any breach of our obligations resulting from causes beyond its reasonable control, and cannot be held liable for unexpected or uncontrollable events, including power cuts, strikes of our own employees, or weather affecting circumstances. 19.0 GOVERNING LAW AND JURISDICTION 19.1 This Agreement shall be governed by the laws of England and Wales and any disputes regarding them shall be determined by the English courts. ATTACHMENT 1 SHIPMENT INFORMATION: The Exhibitors can ship artworks to Melia White House Hotel provided they strictly follow the notes as below: * DELIVERY ADDRESS: EXHIBITOR NAME (This means that you have to address the parcel to your name) at MELIA WHITE HOUSE HOTEL ALBANY STREET LONDON NW1 3UP UNITED KINGDOM Ref. ARTROOMS Tel. 0044(0)7947653530 * Number the boxes as follows: ``` "1 of 1" (if you send just 1 box) "1 of 2" and "2 of 2" (if you send 2 boxes) "1 of 3", "2 of 3" and "3 of 3" (if you send 3 boxes) and so on if you send more boxes. ``` * Make sure that your name is written somewhere on the boxes. If your courier is indicated as the shipper, please write SENDER: YOUR NAME somewhere on the box. Consider that more than hundred boxes will be delivered and we need to clearly identify whose they are without having to open them. * Artworks can be delivered to Melia White House Hotel from 1:00pm on Monday, the 8 th January 2018 and must be delivered in time for the set-up from the 17 th of January 2018 (TBC). * VERY IMPORTANT for Exhibitors shipping artworks from outside Europe: When artworks are shipped from outside Europe to the United Kingdom, the Exhibitor is also responsible for any costs related to custom duties, taxes and VAT. When shipping from outside Europe, the Exhibitor MUST indicate on the shipment papers that the shipper (Exhibitor) chooses to pay all the charges (shipping costs and custom duties, taxes and VAT). The Exhibitor MUST inform the courier/post office that he will pay all the charges (shipping costs and custom duties, taxes and VAT) and papers must be filled accordingly. Neither Artroomsfair not Melia White House Hotel can be held responsible for any payments, delay or stop of the artworks at the customs.
NUTRITIONAL QUALITY OF DIFFERENT GENOTYPES OF GRAIN LEGUMES IN UTTARAKHAND Irika and Bupender Virk Surajmal Agarwal Private Kanya Mahavidyalaya, Kichha-263 148, Udham Singh Nagar, Uttarakhand E-mail: firstname.lastname@example.org Abstract: Sixteen pulses genotypes comprising four of each of the six crops namely Gram (PG 043, PG 065, PG 114, PG 186), Lentil (PL 5, PL 6, PL 7, PL 8), Blackgram (PU 30, PU 31, PU 35, PU 40), Greengram (PM 2, PM 3, PM 5, PM 6,) Fieldpea (Pant Pea 13, Pant Pea 14, Pant Pea 42, Pant Pea 72) and Pigeonpea (PA 3, PA 291, PA 374, UPAS 120) were compared for their nutritional quality parameters. The tested genotypes of the different pulses differ in seed colour ranging from pinkish white to red. The nutritional quality viz. protein content, fat content, moisture content and ash content of the tested genotypes also differed with pulses. Nitrogen content of different pulse genotypes ranged from 2.896 to 4.176 %, highest being with blackgramgenotype PU 35. The protein content of the evaluated genotypes ranged from 18.1 to 26.1%. Blackgram genotypes indicated relatively more protein of 24.4 to 26.1% as compared to other pulses. Ash content in pulses genotypes ranged from 3.170to 4.925 %. Fieldpea genotypes exhibited relatively higher ash content of 4.252 to 4.925 % than other genotypes. The moisture content in seed was minimum of 10.5 % of PU30 and maximum 16.1 % in Pant Pea 14. The different pulses exhibited wide variations in fat content from 1.0 % (Lentil PL6) to 7.4 (Gram PG 065). The different gram genotypes recorded relatively higher fat content of 6.3 to 7.4 % as compared to the genotypes of other pulses. Keywords: Pulses genotypes, Seed colour, Nitrogen content, Protein, Moisture, Fat, Ash content. INTRODUCTION Pulse crops are integral component of Indian agriculture. These are an important source of protein for the poor as well as for the vegetarians, which constitute major population of the country (Mahajan and Chattopadhyay, 2000). The major pulses cultivated in India are Chickpea (Cicer arietinum), Pigeonpea (Cajans cajan), Greengram (Vigna radiata), Blackgram (Vigna mungo), Fieldpea (Pisum sativum) and lentil (Lens culinaris) and consumed in various forms, as whole seed, in split form, or after removal of certain component parts, the seed coat and embryo (Singh and Singh, 1992; Jukanti et al., 2012). The split grains of pulses called dal are excellent source of high quality protein, essential amino and fatty acids, fibers, minerals and vitamins. Pulses have a high protein content ranging Received May 3, 2016 * Published June 2, 2016 * www.ijset.net from 20-40%, contain no cholesterol and little fat. Pulses also provide iron, magnesium, phosphorus, zinc and other minerals, which play a variety of roles in maintaining good health (Xu et al. 2007). Earlier reports suggested that nutritional quality of pulses differs with genotypes and soil and crop management factors. Development of high yielding and multiple diseases and pest resistant genotypes of pulses is important aspect for breeding programme in the country. The breeding programme for crop improvement generally requires larger variations among the genetic materials to be used for breeding purposes, it is expected that the developed genotypes will differ in nutritional and chemical compositions of pulses grains. A large number of pulses genotypes have been generated in recent past (Ali et al., 2004). Since, little or no information is available on the nutritional quality of the recently developed pulse genotypes, the present study was undertaken to assess the nutritional variations in different genotypes of pulse genotypes grown in Uttarkahnd. MATERIALS AND METHOD The present study was conducted in the department of Home and Food Science laboratory at SAPKM, Kichha, district Udham Singh Nagar. The pulse grain samples of Gram (PG 043, PG 065, PG 114, PG 186), Lentil (PL 5, PL 6, PL 7, PL 8), Blackgram (PU 30, PU 31, PU 35, PU 40), Greengram (PM 2, PM 3, PM 5, PM 6,) Fieldpea (Pant Pea 13, Pant Pea 14, Pant Pea 42, Pant Pea 72) and Pigeonpea (PA 3, PA 291, PA 374, UPAS 120) were obtained from Pulse Breeding Section at N.E. Borlaug Crop Research Centre, G. B. Pant University of Agriculture and Technology, Pantnagar. The shape of the obtained grains was recorded visually and grain colour by comparing with the different colour chips in Munsel Book of colour (Munsel Colour Co. Inc., Baltimore, Maryland, USA). Moisture content was determined gravimetrically by drying the 5 g sample of each genotype in hot air oven at 110 °C for 3 h to constant weight. Ash content was by burning the grain sample in a Muffle furnace at 600°C for 3 h. (AOAC, 1990). The obtained pulse grain samples were finely grind (40 mesh) by mixer grinder after washing in sequence, first in detergent solution (0.2 per cent liquid detergent), then in dilute HCl (0.1 N HCl solution) and finally twice in deionised water. The total N content in the grain samples was determined using Automatic rapid N Cube analyzer (Elementar, Grmeny) and protein content in the grains was computed by multiplying the per cent N content with 6.25 as described by Lowry et. al., (1951). Oil from the grind samples (2 g) was extracted in a Soxhlet apparatus with n-hexane for 16 hrsand fat percent of the sample was calculated (AOCS, 1981). RESULTS AND DISCUSSION Colour and Shape The different genotypes of the pulses differed in grain colour (Table 1). Pea genotypes varied from pinkish white (Pant pea 13, Pant pea 42) to very pale brown (Pant 14, Pant pea 74) in colour. The gram varieties showed colour from light reddish dark brown (PG 186) to dusky red (PG 65). The blackgram genotypes showed colour of very dark brown grey (PU 30 and PU 35) to very dark grey (PU 31 and PU 40). The colour of greengram varieties ranged from olive (PM 3 and PM 5) to dark brown (PM 2). The colour of lentil genotypes differed from pink (Pl 6) to brown (PL 8). The colour of pigeon genotypes PA3, PA 374 and UPAS 120 was red and PA 291 was dark red. The shape of different pulses was observed as oval, round and circular. Shape and colour of the genotypes is intrinsic characteristics of the crop varieties and depends on genetic composition (Vandenberg and Slinkard, 1990). Similar variations in seed coat color have been reported in legumes including some lentil varieties (Xu et al., 2007). Nutritional characteristics The moisture content in different pulses varied with their genotypes ranging from 10.5% (PU 30) to 16.1% (Pant Pea 14) (Table 2). The Gram and Pea genotypes have relatively more moisture than the tested genotype of other pulses. Protein content in tested genotypes of the pulses varied from 18.1% (Pant Pea 42) to 26.1% (PU 35). The blackgram genotypes had relatively more protein content (24.4% - 26.1%) compared to other pulses. The protein content of Gram genotypes vary from 20.3% to 25.1%, field pea genotypes from 18.1 to 20.4%, greengram genotypes from 19.8 to 24.2%, lentil genotypes from 18.2 to 20.2 % and pigeonpea genotypes from 20.4 to 23.3%.Similar differences in seed protein content of different legumes have been reported earlier (Chitra et al., 1995; Duranti and Gius, 1997). Such trends in protein content were related with seed nitrogen content. Ash content differed in pulses with their genotypes maximum being 4.925% in pea variety Pant Pea 42 and minimum of 3.17% in Arhar variety PA 374. The fat content in different genotypes of the tested pulse crops ranged from 1.0 to 7.4 %. All the genotypes of Gram have more fat content (6.3%-7.4%) than the different genotypes of fieldpea, greengram, lentil, pigeonpea and blackgram (1.0% - 2.1%). Similar variations in nutritional benefits such as ash content and fat content of pulses genotypes have been reported by Solanki et al., (1999), Gaur et al., (2012) and Tiwari and Singh (2012). Results of the study indicated that different pulses and their genotypes differ considerably in various nutritional parameters. The blackgram genotypes were better in protein and gram gram genotypes in fat. Among the tested genotypes, PU 35 of blackgram and PG 065 of gram were found best for protein and fat content, respectively. REFERENCES [1] Ali, M., Singh, B.B., Kumar, Shiv and Dhar, Vishwa. 2004. Pulses in new perspective. Indian Society of Pulses Research and Development, IIPR, Kanpur, India. Pp 543. [2] AOAC. (1990). Official Methods of Analysis, 15 th edition, Association of Official Analytical Chemists, Washington, DC. [3] AOCS (American Oil Chemists Society). (1981). Official and Tentative Methods of the American Oil Chemists Society, Third Edition. (Ab. 3-49), 508, South Sixth Street, Champaign, Illinois 61820, USA. [4] Chitra, U., Vimala, V., Singh, U. and Geervani, P. (1995). Variability in phytic acid content and protein digestibility of grain legumes. Plant Foods Hum Nutr. 47(2):163-72. [5] Duranti, M., Gius, C. (1997). Legume Seeds. Protein Content and Nutritional Value. Field Crops Res. 53: 31-45. [6] Gaur, P.M., Jukanti A.K., Gowda,C. L.L. and Chibbar, R.N. (2012). Nutritional quality and health benefits of chickpea (Cicer arietinum L.). British J. Nutr. 108:S1, S11-S26. [7] Jukanti, A.K., Gaur, P.M., Gowda, C.L.L. and Chibba, R. N. (2012). Nutritional Quality and Health Benefits of chickpea (Cicer arietinum L.). Rev. British J. Nutr. 108:11-26. [8] Lowry O.H, Rosenbrough, N.J., Farr, A.L, and Randell, R.J. (1951). Protein measurement with the folin-phenol reagent. J. Biol. Chem. 193:265-275. [9] Mahajan, P.V. and Chattopadhyay, P.K. (2000). Development of a chemically leavened cereal – legume based instant mix (Dhokla). J. Food Sci. Technol. 37(5): 459-464 [10] Singh, U. and Singh, B. (1992). Tropical grain legumes as important human foods. Econ. Bot. 46: 310-321. [11] Singh, U., R. Jambunathan, K.B. Saxena and N. Subrahmanyam, (1990). Nutritional quality evaluation of newly developed high-protein genotypes of pigeon pea (Cajanus cajan L.). J. Sci. Food Agric., 50: 201-202. [12] Solanki, I.S., Kapoor, A.C. and Singh, U. (1999). Nutritional parameters and yield evaluation of newly developed genotypes of lentil (Lens culinaris Medik.) Plant Foods for Human Nutrition, 54: 79–87. [13] Tiwari, B.K. and Singh, N. (2012).Pulses chemistry and technology. Royal Society of Chemistry, www.rsc.org. pp. 280-287. [14] Vandenberg, A. and Slinkard, A.E. (1990). Genetics of seed coat color and pattern in lentil. J. Hered. 81: 484-488. [15] Xu, B.J., Yuan, S.H. and Chang, S.K.C. (2007). Comparative analyses of phenolic composition, antioxidant capacity, and color of cool season legumes and other selected food legumes. J. Food Sci. 72: S167-177. Table 1. Colour of different Pulses genotypes Table 2. Nutritional value of different genotypes of pulse crops grown in Uttarakhand
Princeton Tec cares about the environment and recommends recycling batteries. For more information about battery recycling, please go to: www.batteryrecycling.com Observe proper battery polarity when installing the batteries. Improper installation of the batteries will damage the light and void the warranty. * Never mix fresh and used batteries. * Always remove drained batteries immediately. * Never mix different battery brands or chemistry types. * Remove batteries during long periods of storage. NOTE: Lithium batteries offer extended constant performance, and are lighter weight. Rechargeable brightness time, extreme cold weather NiCad or NiMH batteries may result in reduced brightness due to lower nominal voltage. The EOS battery compartment has a waterproof seal. It is important to keep this seal free from dirt and away from harsh chemicals in order to preserve waterproof integrity. Inspect the seal every time batteries are changed. If dirt is present, wipe gently with a damp cotton swab and mild soap until dirt is removed. NOTE: Some battery types can emit hydrogen gas, which can create an explosion potential in sealed devices if it is not vented or removed. The EOS is equipped with a platinum catalyst to remove this gas. Upon severe impact, the catalyst could fracture. If you notice a rattling sound in the headlamp or gray particles in the battery compartment, do not use the headlamp. See the warranty and return policy for more information. Modes (High, medium, low and flash) are selected by pressing and releasing the button within 1.5 seconds of the previous button press. There are two ways to turn the EOS off. You can cycle through the modes until you reach off or if more than two seconds have passed since the previous button press, holding the button for 1.5 seconds will turn the light off. Circuitry and Power Consumption / Regulated Leds See Regulated LED diagram The EOS uses a sophisticated current-regulating circuit that maintains initial brightness as long as the batteries have sufficient voltage. Troubleshooting If the EOS fails to light: * Replace batteries if proper installation is confirmed * Check the batteries for proper installation. * Check circuit board for water (the seal may have been compromised by improper rear cover installation). The light will resume normal operation once the water is shaken or blown out and the light is left open until completely dry. If the light has been contaminated with salt water, flush the unit with fresh water and dry as described above. USA Lifetime Warranty International 10-Year Warranty or a refund of the purchase price less allowance for Due to International regulations, Princeton Tec's lifetime warranty can only be offered to customers in the USA. Princeton Tec offers a 10-year warranty to our customers outside the USA. FULL WARRANTY - Princeton Tec warrants this product to be free from defects in workmanship and materials under normal use for as long as you own this product. This warranty covers all of the component parts of the product except batteries. This warranty does not cover deterioration due to normal wear or damage due to misuse, alteration, negligence, accidents, or unauthorized repair. Princeton Tec will repair or replace parts which are defective In workmanship or materials. Your authorized Princeton Tec Dealer and Princeton Tec are the only facilities authorized to repair the product. After (3) unsuccessful attempts to repair the product, you have the right to elect replacement of the product use of the product. NO INCIDENTAL OR CONSEQUENTIAL DAMAGES ARE INCLUDED IN THIS WARRANTY. (Some states do not allow the exclusion or limitation of incidental or consequential damages, so the above limitations or exclusions may not apply to you.) This warranty gives you specific legal rights, and you may also have other rights which vary from state to state. Princeton Tec reserves the right to change product specifications without notice. FOR CALIFORNIA RESIDENTS: WARNING: This product contains Bisphenol A (BpA) a chemical known to the State of California to cause birth defects or other reproductive harm. Return Policy If your light fails to operate, follow these simple steps: 2) To send your light in for repair or replacement, 1) Check batteries. Replace if necessary. first contact Princeton Tec customer service on Please have your light model, date of purchase 1-800-257-9080to request an RMA number. and a brief description of the fault you are without an RMA number. experiencing. No warranty repairs will be accepted 3) Return the light without batteries to: Postage due and freight collect items will not Princeton Tec, PO Box 8057 Trenton NJ 08650 be accepted. 4) Upon receipt your light will be processed in about two weeks. Please allow additional time for return transportation from New Jersey This equipment is suitable for use in Class 1, Division 2, Groups A, B, C and D Hazardous Locations or non-hazardous locations only. WARNING - Risk Of Ignition - Do not open in hazardous area. WARNING - Risk Of Ignition - Do not change batteries in hazardous area. WARNING - Explosion Hazard - Substitution of components may impair suitability of Class 1, Division 2. Princeton Tec PO Box 8057, Trenton, NJ 08650 Phone: 609-298-9331 Fax: 609-298-9601 www.princetontec.com © 2017 Princeton Tec Princeton Tec se soucie de l'environnement et recommande le recyclage des piles. Pour plus d'informations sur le recyclage des piles, rendez-vous sur: www.batteryrecycling.com Insérez les piles en respectant la polarité. Une mauvaise insertion des piles aura pour effet d'endommager la lampe et d'annuler la garantie. * Ne combinez jamais des piles neuves et des piles déjà utilisées. * Ne laissez jamais de piles déchargées dans la lampe; retirez-les immédiatement. * Ne combinez jamais des piles de marques ou de types différents. * Retirez les piles avant une longue période d'inutilisation. REMARQUE: les piles au lithium accroissent la durée de luminosité constante, sont performantes dans des conditions de froid extrême et sont plus légères. Il se peut que les piles NiCad ou NiMH rechargeables produisent une luminosité moindre du fait de leur tension nominale plus faible. REMARQUE: certains types de pile peuvent dégager de l'hydrogène, ce qui expose les appareils étanches à un risque d'explosion en l'absence de dispositif de ventilation ou d'élimination du gaz. Le Eos est équipé d'un catalyseur au platine qui élimine le gaz. Le catalyseur peut se fêler en cas de choc important. Si vous entendez un bruit de ballottement dans la lampe ou constatez la présence de particules grises dans le compartiment à piles, n'utilisez pas la lampe. Pour plus d'informations, reportez-vous à la garantie et à la procédure de retour. Le compartiment à piles Eos est doté d'un joint d'étanchéité. Il est important de ne pas salir ce joint et d'éviter tout contact avec un produit chimique agressif afin de ne pas compromettre l'étanchéité. Examinez le joint chaque fois que vous changez les piles. S'il est sale, essuyez-le délicatement à l'aide d'un coton-tige humide et de savon doux jusqu'à ce qu'il soit net. Opération de commutation Vous pouvez sélectionner les modes (haute, moyenne ou basse intensité, ou mode clignotant) en appuyant et relâchant le commutateur moins d'une seconde et demie après l'appui précédent sur le commutateur. Einlegen der Batterien Princeton Tec empfiehlt die umweltgerechte Entsorgung von Batterien und Akkus. Weitere Informationen zum Recycling von Batterien in Ihrem Gebiet finden Sie unter: www.batteryrecycling.com Achten Sie beim Einlegen der Batterien auf die richtige Polarität. Fehlerhaft eingelegte Batterien können die Lampe beschädigen und führen zum Erlöschen der Garantie. WARNUNG: * Mischen Sie nie neue und teilweise entladene Batterien. * Entnehmen Sie verbrauchte Batterien umgehend. • Entnehmen Sie die Batterien, wenn das Produkt längere Zeit nicht verwendet wird. * Mischen Sie nie unterschiedliche Batteriemarken oder -typen. HINWEIS: Lithium-Batterien bieten längere Zeit konstante Helligkeit, arbeiten besser bei kaltem Wetter und wiegen weniger. Aufladbare NiCd- oder NiMH-Akkus können aufgrund einer niedrigeren Nennspannung zu einem Helligkeitsverlust führen. Das Eos Batteriegehäuse ist wasserdicht versiegelt. Um die Wasserdichtheit der Lampe intakt zu halten, ist es wichtig, den Kontakt.mit Schmutz und scharfen Chemikalien zu vermeiden. Uberprüfen Sie die Dichtung bei jedem Batteriewechsel. Falls sie schmutzig ist, reinigen Sie sie vorsichtig mit einem Wattebausch und milder Seife. HINWEIS: Einige Batterietypen können Wasserstoffgase freisetzen, die in abgedichteten Geräten explodieren können, wenn sie nicht regelmäßig entlüftet oder entfernt werden. Die Eos Stirnlampe ist zur Beseitigung dieser Gase mit einem Platinkatalysator ausgestattet. Bei schweren Stößen könnte der Katalysator beschädigt werden. Falls Sie ein Rasselgeräusch in der Stirnlampe oder graue Teilchen im Batteriegehäuse feststellen, verwenden Sie die Stirnlampe nicht. Weitere Einzelheiten entnehmen Sie den Informationen zu Garantie und Rücknahmeverfahren. BetriebsartenschaUer Um einen Leuchtmodus (hohe, mittlere und geringe Sie den Knopf innerhalb von 1,5 Sekunden nach der Leuchtleistung sowie Blinken) auszuwählen, drücken Vous pouvez procéder de deux manières différentes pour éteindre la lampe Eos. Vous pouvez passer d'un mode à l'autre jusqu'à arriver au mode « éteint » ou, s'il y a eu un délai de plus de 2 secondes depuis le dernier appui sur le commutateur, vous pouvez simplement maintenir le commutateur enfoncé pendant une seconde et demie pour éteindre la lampe. Circuits et consommation d'énergie/LED régulées Voir le schéma LED régulée LED régulées - Fournissent un flux lumineux constant sur une période de temps donnée. Le Eos est doté d'un circuit sophistiqué de régulation du courant qui assure la constance de la luminosité initiale tant que les piles fournissent une tension suffisante. LED non régulées - Fournissent une lumière en diminution constante sur la même période de temps. Reportez-vous au tableau des durées d'éclairage pour accéder à des données sur les performances des différents types de pile et au paramétrage des modes. La durée d'éclairage régulé dépend du type de pile et du mode d'éclairage utilisés. A mesure que l'énergie des piles diminue, les différents modes semblent avoir le même niveau de luminosité. Il s'agit d'une fonction normale de la LED régulée ou du circuit de commande du courant. Dépannage Si le Eos ne s'allume pas: * Remplacez les piles s'il s'avère que l'installatiest correcte. • Vérifiez la présence éventuelle d'eau sur la carte * Contrôlez la bonne insertion des piles. de circuit imprimé (l'étanchéité peut avoir été arrière). Le fonctionnement normal de la lampe compromise par une mauvaise installation du cache reprend une fois que l'eau a été égouttée ce qu'elle soit totalement sèche. Si la lampe a été ou évacuée et que la lampe est restée ouverte jusqu'à touchée par de l'eau salée, rincez ment indiqué. l'unité à l'eau douce et séchez-la comme précédem- Si le Eos ne semble pas changer de mode d'éclairage: * ll se peut que la tension des piles soit trop faible pour passer à un mode d'éclairage plus puissant. C'est normal lorsque l'on utilise une LED régulée/un circuit de commande du courant. Insérez de nouvelles piles et testez à nouveau les modes. Garantie à vie aux États-Unis - Garantie de dix ans au niveau international Du fait des réglementations internationales, Princeton Tec ne peut offrir sa garantie à vie qu'aux résidents des Etats-Unis. vorherigen Betätigung kurz und lassen Sie ihn wieder los. Zum Ausschalten der Eos gibt es zwei Möglichkeiten. Sie können die Modi durchlaufen, bis sich die Lampe ausschaltet oder, wenn nach der letzten Betätigung des Knopfes mehr als 2 Sekunden vergangen sind, den Knopf 1,5 Sekunden lang gedrückt halten. Schaltung und Energieverbrauch / Regulierte LED siehe Abb. "Regulierte LED" Die Eos Stirnlampe verwendet eine stromgesteuerte Schaltung, die für eine konstante Lichtabgabe sorgt, solange die Batterien ausreichend Spannung aufweisen. Regulierte LED - bieten eine konstante Lichtabgabe über einen bestimmten Zeitraum. abnehmende Lichtabgabe im selben Zeitraum. Nicht regulierte LED - bieten eine konstant Die regulierte Brenndauer ist abhängig vom Batterietyp und der gewählten Beleuchtungsstärke. Bei abnehmender Batteriespannung kann sich die Helligkeit von regulierten und nicht regulierten LED einander angleichen. Dies ist eine normale Funktion der regulierten LED bzw. stromgesteuerten Schaltung. Die Brenndauertabelle enthält Angaben für verschiedene Batterietypen und Betriebsarten. Störungsbehebung Falls die Eos Stirnlampe nicht leuchtet: * Ersetzen Sie die Batterien, falls sie ordnungsgemäß eingelegt waren. * Prüfen Sie, ob die Batterien ordnungsgemäß eingelegt sind. * Prüfen Sie, on Wasser in die Lampe eingedrungen ist (durch eine falsche Montage des hinteren Deckels kann die Dichtung beschädigt werden). Die Lampe wird wieder normal arbeiten, sobald das Wasser herausgeschüttelt oder -geblasen und die Lampe offen liegen gelassen wurde, um trocknen zu können. Falls die Lampe mit Salzwasser verunreinigt wurde, spülen Sie sie mit Frischwasser und trocknen Sie sie wie oben beschrieben. * Möglicherweise ist die Batteriespannung zu gering, um zu einer helleren Einstellung zu wechseln. Dieser Umstand ist für eine regulierte Falls die Eos Stirnlampe keine Helligkeitsstufen zu wechseln scheint: LED/stromgesteuerte Schaltung normal. Legen verschiedenen Betriebsarten. Sie neue Batterien ein und überprüfen Sie die Lebenslange Garantie in den USA - 10 Jahre Aufgrund internationaler Vorschriften kann Princeton Tec die Garantie weltweit Pour les clients hors des États-Unis, la garantie Princeton Tec s'étend sur 10 ans. GARANTIE COMPLÈTE - Princeton Tec garantit ce produit contre tout vice de fabrication ou de matière pourvu qu'il soit utilisé dans des conditions normales, et ce, tant et aussi longtemps que l'appareil vous appartient. La présente garantie couvre tous les composants du produit à l'exception des piles. La présente garantie ne couvre pas l'usure normale ou les dommages résultant d'une mauvaise utilisation, d'une altération, d'une négligence, d'accidents ou d'une réparation non autorisée. Princeton Tec s'engage à réparer ou remplacer les pièces qui présentent un vice de fabrication ou de matière. Seuls Princeton Tec et votre revendeur agréé Princeton Tec sont autorisés à réparer le produit. Au bout de trois tentatives de réparation non concluantes, vous êtes en droit de demander le remplacement du produit ou son remboursement au prix d'achat diminué des frais d'utilisation. LA PRÉSENTE GARANTIE NE COUVRE PAS LES DOMMAGES ACCESSOIRES OU IMMATÉRIELS QUELS QU'ILS SOIENT. (La législation en vigueur dans certains pays n'autorise pas l'exclusion ou la limitation des dommages accessoires ou immatériels, aussi se peut-il que les limitations ou exclusions mentionnées ne vous concernent pas.) La présente garantie vous confère des droits spécifiques reconnus par la loi. Il se peut que vous ayez d'autres droits qui varient d'un pays à l'autre. Princeton Tec se réserve le droit de modifier les spécifications du produit sans préavis. Procédure de retour Si l'unité d'éclairage ne fonctionne pas, suivre les étapes simples ci-dessous : 1. Vérifiez les piles. Remplacez-les si nécessaire. Si la lampe ne fonctionne pas, suivez les étapes suivantes: 2. Contactez d'abord le service d'assistance à la clientèle de Princeton Tec au 1-800-257-9080 pour demander un numéro d'autorisation de retour d'article afin de renvoyer votre lampe pour réparation ou remplacement. 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TEACHERS AND WORKLOAD A survey report by the National Education Union on teacher workload in schools and academies "I spend every evening and weekend working. If I don't, I feel guilty for not working and I am made to feel guilty as well. I am now planning to leave the profession - the workload is making me ill and I want my life back." "I find it hard to make time for family and friends - and when I do, I find it increasingly stressful worrying about what I am not doing for work." "I'm not able to have a life. I hate this job. Nothing is ever good enough. It's not about the children, it's about data." "It's unmanageable and I need a new career. I'm unhappy most of the time and am unwell with stress and anxiety. It affects my family time considerably - I often miss time with my children and when I do spend time with them it's not quality as I'm either too tired or am worrying about what I have to do." This report sets out the views of 8,173 teachers on their workload, as expressed to an NEU survey conducted in late 2017. It covers the impact of workload on teachers' work-life balance, the things which teachers regard as the main drivers of that workload, the effectiveness of Government and school initiatives to reduce workload pressures, and more effective steps which teachers think could be taken to improve the situation. The responses provide a challenging and, in many cases, deeply worrying analysis of the workload crisis that teachers are currently facing. It provides further evidence of the extent and causes of the drastic recruitment and retention problems many schools and academies are experiencing. The NEU has been warning the Government that the continued increase in teacher workload is harming the profession and therefore the education of our children. This survey shows that teacher workload remains a key issue in schools and academies; that current Government initiatives have proved ineffective; and that the impact of excessive workload is continuing to drive far too many teachers out of the profession. The survey response Respondents were fairly evenly split between secondary schools (44%) and primary schools (42%). The remainder work in other settings, mainly special schools, early years settings and all through schools. 78% of respondents work full time. Responses did not vary significantly between male and female teachers, or between those teachers working in schools maintained by local authorities and those teaching in academy settings. There were, however, some significant variations between the experiences of teachers working in the primary and secondary sectors, and between recently qualified and more experienced teachers which will be highlighted throughout this report where relevant. Overall perceptions of teacher workload - 84% said that workload was manageable only "sometimes" or "never" - 81% said they have considered leaving teaching in the last year because of workload - Teachers in mid and later career are as likely to have considered leaving teaching as recently qualified teachers, confirming that retention of experienced teachers is increasingly as challenging as retaining recently qualified teachers "I feel I have no life - I simply work and will very soon be one more statistic of a teacher who can't bear it any longer and will quit!" "It affects my health. Some days I feel overwhelmed and blank out for short periods of time." "I will have to leave a job I love because it will be impossible to stay until retirement." More than 8 out of 10 respondents said they had considered leaving teaching as a result of unmanageable workload issues, with 34% saying they can "never" achieve a good balance between their work and their private life. Just over 1 out of 10 teachers said they were able to achieve a good work/life balance "always" or "most of the time". Perhaps the most worrying finding of this survey is the fact that the massive crisis in retention is now being seen at all stages of teachers' careers – recently qualified and more experienced teachers are equally likely to have considered teaching, with 80% of teachers with less than five years teaching experience and 84% of teachers who had been teaching for 11 years or more reported that they have considered leaving teaching in the last year because of workload. Time spent on teaching and non-teaching work - Over 80% of teachers are now teaching more hours than the average teaching hours in 2016 - More than one third of teachers are working at home for more than 16 hours a week at evenings and weekends "I have no time to enjoy life or plan engaging lessons as I am too busy marking, assessing, reading and responding to emails at all hours." "People seem to forget teachers are people and are not machines! There is also the need to remember we are not office staff." "I regularly work in excess of 60h per week. This is unsustainable for my health and mental wellbeing." "I can't do the best for the students because my attention and time is demanded by a pointless paper filling exercise." The DfE's 2016 Teacher Workload Survey showed that classroom teachers spent, on average, 55.4 hours per week on teaching and other teaching-related work This NEU survey suggests firstly that teaching hours may now be increasing as a consequence of funding cuts and rising pupil numbers. According to the DfE survey, in 2016 classroom teachers spent an average of 20.7 hours a week teaching. This survey found that 82% of full time classroom teachers said they were teaching more hours than this on average every week. This was more likely to affect primary school respondents, 8 out of ten whom reported teaching longer than average hours, compared to 63% of secondary school respondents. The DfE survey did not seek to break down how much non-teaching work was undertaken at school (during or outside school hours) or at home during evening and weekends. The NEU survey therefore asked explicitly about this. 37% of respondents said they spent more than 16 hours a week completing school work during their evenings and weekends in their most recent working week. Primary teachers were slightly more likely spend more time on work they had taken home with them, with 44% of primary respondents reporting working more than 16 hours a week during evenings and weekends, compared to 39% of secondary respondents. Teachers in other settings were slightly less likely to work at home. 61% of all respondents reported spending over 3 hours a day on tasks that did not involve teaching, with 13% working more than 30 hours on non-teaching activities. The drivers of workload - 74% said pressure to increase pupil tests scores and exam grades was a main driver of workload - Nearly half said preparing for schools inspections, like Ofsted or "mocksteds" added to teacher workload - Over half said recent changes to the curriculum and pupil assessment were a significant driver of workload "I never have time to complete all of my tasks, let alone do them well. I am constantly exhausted." "The amount of (unnecessary) paperwork, multiple meetings, working through lunch breaks, arriving early and leaving late, and then still taking work home. In my short career, I've seen so many amazing teachers leave the profession due to the stress and workload we face on a day-to-day basis. If it stays the same or increases, then the chronic shortage of teachers we already have is just going to get worse." "Working a 70 hour week is not reasonable for anyone." The survey asked respondents to identify the three areas of teaching practice that were the biggest drivers of workload in schools. The most cited relate to increased pressure on teachers to "prove" their effectiveness through ensuring students hit certain targets or performing well for school inspections. The most frequently cited workload drivers were as follows: 74% Pressure to increase pupil test scores/ exam grades 52% Changes to curriculum/ assessment/ exams 46% Ofsted, mock inspections, other inspections 41% Lack of money and resources in school 33% Reduction of Support Staff 33% Demands from school leaders/ governors 27% Increasing class sizes 25% Changes to systems and structures 21% Expectation to teach outside of timetable (e.g. lunchtime, holiday or after school classes) 18% Lack of consultation with staff in the workplace 17% Parental expectations (e.g. reports, parents meetings, regular emails) 10% Lack of support from outside agencies 8% Having to teach outside their specialism 6% Reduction in funding for extra-curricular activities, meaning the teacher is asked to run more clubs 53% of primary teacher respondents considered Ofsted preparation to be a main workload driver, compared to 38% of secondary respondents. More of teachers with less than 5 years' experience (24%) cited an expectation to teach outside their timetable (i.e. providing lunchtime lessons, or classes after school or during the holidays) as a major workload driver, than respondents who had been teaching for 11 years or more (19%). Patterns were otherwise similar irrespective of experience. Generally, throughout the survey, there were very few differences between the experiences of teachers in maintained schools and academies. Teachers who work in academies were, however, more likely to attribute increased workload on their school's Leadership Team – 48% of primary academy teachers and 52% of secondary academy teachers, compared to 40% of primary and 48% of secondary teachers working in maintained schools. Have Government initiatives had an impact? - Over half of teachers say their workload has actually increased since the launch of the Government's "Workload Challenge" - Only 14% have seen the Government's workload advice for schools - Half of teachers blame the workload problem on current Government policy "[The Government's workload advice] is lip service. In practice the Government has asked for more. The reality is that this cannot to be delivered in the same amount of time, especially if you cut staffing and budgets and expect schools to pick up the slack (and blame) for wider social problems." "There has been virtually no reference to [the Government's advice] in my school, mainly because it is just words; there doesn't seem to be any discernible practical application." "It is very noticeable that every year the pressure increases. There's marking for marking's sake, not for real effective feedback that moves children on. It's the quantity not quality that counts. Countless initiatives and cutbacks means there's not enough money for real support or even resources; we have to buy these ourselves." Autumn 2014 saw the launch of the Government's Workload Challenge – an initiative aimed at reducing teacher workload by outlining strategies to decrease workload, as well as highlighting tasks teachers should not be doing as they were deemed unnecessary to aid in pupil learning. The main resource the Government has produced to publicise its initiative was the 'Reducing Teacher Workload' poster, issued in autumn 2017, which the NUT sent to every school at its own expense. A massive 87% of respondents reported that the Government's Workload Challenge has not decreased teacher workload. In fact 59% reported an increase in workload since the launch of the campaign. More experienced teachers were more likely to report an increase in workload since the launch of the Government's campaign, with 67% of respondents with more than 11 years' experience reporting a noticeable increase in their workload, compared to 33% of teachers with less than five years' experience. Most schools have no written policy with regard to workload or work/life balance. Primary schools were more likely to have no policy (66%) compared to secondary schools (53%). Secondary school teachers were more likely to say that such policies had not helped relieve workload (42%), compared to 29% of primary school teachers. Since the launch of the Government's campaign to tackle teacher workload, 6 out of 10 teachers have reported an increase, whilst nearly 30% say the campaign has had no impact on their workload, a damning indictment of its lack of effectiveness. Only 14% of respondents had seen the Government's workload poster. The extent to which teachers reported that their school was following the Government's recommendations as set out on that poster – whether or not they had themselves seen the poster - is set out in the table below. Half of teachers (47%) believe that current Government policy is predominantly responsible for current teacher workload. Almost as many (46%) believe that their school management team is responsible for their workload, but many of these acknowledged in their comments that those school leaders were themselves under pressure from Government and Ofsted which led in turn to the pressure on classroom teachers and support staff. Key: 1 = does following your school's marking policy help your pupils to progress? 2 = is there an expectation in the marking policy outlining the amount of written marking you should do? 3 = do you have scheduled blocks of time for collaborative planning? 4 = do you have regular PPA time for marking/planning? 5 = do you have regular directed time for discussion about pupil learning? 6 = do you have high quality schemes of work in place? 7 = do you have enough high quality resources available for you to use? 8 = do you feel you must create your own resources? 9 = is it clear how all data you collect will be used? 10 = does data collected help pupils to progress? 11 = do you have scheduled conversations wit your direct line manager about how long things will take you to do and how you will find that time? Lack of effective action at school level to reduce workload - 60% said there is no plan to reduce workload in their school and no way of measuring or managing workload - Only 8% said that workload has been successfully reduced by such initiatives "Reduced TA hours mean I have to do more of the tasks they would do. Photocopying after school, for example, means I have to take more marking home and work later into the evening." "We are not trusted to get on and do our job. We are accountable at every level which creates more stress and paperwork. We are exhausted and great teachers are being driven out of the profession because they are burned out!" "I don't know how I can change how I work, I don't know how long I can maintain it and the impact that it's having on my family is horrific – I am near marriage breakdown and one of the reasons is my job." The findings of this survey prove beyond doubt that even where they are actively happening, current school level initiatives to tackle workload are not working. School leaders are starting to acknowledge this as an issue – 20% of respondents reported their school had a 'well-being' policy – but with 11% stating they do not have regular PPA time it is clear that the rhetoric is not always backed up with effective action in schools. 60% of respondents said there is no policy or plan to reduce workload in their school or to improve work/life balance, and no way of measuring or managing workload. Only 8% said that workload has been successfully reduced by such initiatives. 52% of secondary school and 42% or primary school respondents blame school leadership for the increase in workload. Providing written lesson plans to Leadership is a particular workload issue in primary schools. 71% of respondents felt that support staff were not deployed in a way which reduced workload and 85% reported having to create their own resources. 50% were unclear about how data collected would be used and 43% felt that such data did not help pupil progress. This provides yet more evidence that teachers' workload is being exacerbated by non-teaching administration tasks and a lack of effective support for pupil learning in the classroom. Lack of meaningful CPD - 40% reported a loss of CPD in the last 5 years "Box-ticking CPD, with no impact on quality of Teaching and Learning..." "The school has been very unwilling for me to do CPD – they are only happy about me doing weekend sessions (unpaid) because they are unwilling to pay for supply cover. They will compromise staff CPD to save money." "My targets this year are simply jumping through hoops to meet school requirements. I cannot possibly commit to doing anything else for myself as I am already on average working a 60 hour week." 40% of respondents said their opportunities for CPD have reduced in the last 5 years. 61% said their CPD was predominantly undertaken to meet school requirements. 45% of primary respondents had seen their CPD reduced in the last five years compared to 35% of secondary respondents. More experienced teachers were more likely to be missing out on meaningful CPD. Almost half (46%) of respondents who had been teaching for11 years or longer reported a reduction in their CPD in the last five years compared to 31% of respondents who had been teaching less than five years. Many respondents reported a significant increase in "in house" training as a result of budget cuts, and felt that such CPD was not an effective means of developing their skills. Only 12% had been able to choose their own CPD based on what they felt was a meaningful use of their time. What working practices could be changed or stopped to reduce workload? - The majority of teachers say that tackling Ofsted preparation and other unnecessary administration would make a big difference to their workload "Teaching is about the children, not what hoops you have to jump through to say you have done some new initiative that takes up all your time organising, recording and evidencing what has happened." "The Government can help by imposing less admin responsibility and by stopping changing the curriculum, assessment etc. continually and unnecessarily." The survey asked teachers themselves to set out steps which they thought could be taken to reduce workload. The responses show that the majority of concerns around workload involve teachers undertaking unnecessary tasks that do not benefit student learning. 58% of respondents said that changing or stopping their commitment to general administration tasks would "make a big difference" to workload. 69% said changing or stopping Ofsted preparation in their school would make a difference to their workload. 70% of respondents said that changing or stopping half termly data collection would make a difference in reducing workload, whilst 50% said they are unclear as to how data they collect is used in school. 43% said data collected does not help pupils progress in their learning. One third of respondents felt that a reduction in workload would reduce sickness in staff, with 90% stating that it would also reduce stress. Over half (56%) said that a reduction in workload would make them feel more valued in the profession. When asked what respondents would do with any time freed up by a reduction in workload, 52% said "nothing", as they would then simply be working reasonable hours. What strategic steps should be taken to reduce workload? - Over half of teachers believe that instituting more formal discussions on workload – with senior leaders, with appraisers and with colleagues – would help to identify ways of reducing workload "An attempt at reducing workload has been made by SLT but in order to meet all the expectations the hours have to be put in. It is all very well saying we should work less, but if the work isn't getting done, we'll be criticised and our jobs will be at risk." "Your life is teaching. To do your job properly you make sacrifices with your personal life." "The workload is getting more excessive. It is not possible to complete all the required work within our normal working hours, this has resulted in a huge amount of extra hours, including late nights, early mornings and hours and hours over the weekends and holidays." The survey asked about strategic steps which teachers felt that school leaders and classroom teachers could take in school to seek to reduce workload. There was strong support for the concept of discussing workload concerns collectively – 59% supported the idea of holding a discussion on workload with schools leaders, 59% supported discussions among teachers themselves, and 54% supported the idea of discussing workload concerns as part of the appraisal process. 53% of respondents felt that undertaking a workload impact assessment in their school would have a "big impact" on reducing workload, although only 1% of respondents said they already had this practice in place. There was also widespread support for making such discussions a permanent part of school life, with 28% supporting a regular consultative structure with their SLT, and 25% supporting the idea of an union-convened wellbeing group in school. Conclusion - 81% of respondents said they have considered leaving teaching in the last year because of workload - One third of respondents said their workload in the past year has never been manageable "I'm drowning and it makes me hate my job." "I will be giving up teaching after this year as the workload and pressure has become too much." "I can't see us having a family while I am still working as a teacher as I wouldn't have time for myself let alone a baby." "It is an ongoing struggle. I am constantly torn between spending time with my family and helping my children, and preparing so I can teach and support the students in my class. I constantly feel guilty that I am letting someone down and nothing is good enough." This report provides a shocking view of the realities of the workload crisis in teaching and highlights the extreme pressures teachers are facing in schools. This year has seen a dramatic worsening in teacher recruitment – the Government has once again failed to reach its target in uptakes to teaching training places, while applicants for next year's training places have fallen even more sharply. Retaining our existing teachers therefore becomes even more important than it was already. Current teacher workload is unsustainable. As well as damaging the learning experiences of young people, it is leading teachers to burn out or change career in order to preserve their own mental wellbeing. Much of the workload is both unnecessary and unhelpful in promoting good practice for teachers or effective learning for students. A drastic increase in meaningless admin tasks – exacerbated by the loss of support staff posts – swallows up an unreasonable amount of teachers' time, leaving them feeling stressed, frustrated and driving many out of the classroom altogether. The Government's Workload Challenge has thus far proved to be a complete failure. Many teachers are unaware that it has launched any workload initiative at all. It is time for the Government to promote real change in school working culture by abolishing the focus on 'teaching to test' and the gathering of meaningless data, allowing teachers the time to get on with what they do best – teach. On 10 March 2018, Secretary of State for Education Damian Hinds spoke of his ambitions to tackle unnecessary teacher workload and acknowledged the Government's role in creating an unhealthy workload culture in schools. The NEU welcomes the fact that the Government is finally beginning to recognise the scale of the crisis, but schools need more than just words – they need a solid, practical commitment to reduce the pressure of workload in education. The Government must act now to significantly reduce teachers' workload and must take urgent steps to prevent the current crisis in retention and recruitment deepening. National Education Union March 2018
NOVEMBER 2007 VOLUME 7 NUMBER 11 "Winner of the 2005, 2006 & 2007 Ambrose Gonzales Newsletter Award" DIVISION COMMANDER Who is the best commander of the best Division in the entire SCV Confederation? Everyone in Secession Camp knows the answer to that question, our own Commander Randy Burbage. Secession Camp is one of the best camps in the SCV and Randy Burbage is one reason for that success. Everyone knows Randy but not everyone knows what Randy has done for our camp and our heritage. Randy has always been interested in Southern Heritage but many years ago he decided he wanted to do something about it so he joined the only SCV camp in Charleston at the time, the Ft. Sumter Camp. Now Ft. Sumter Camp is a great camp with a lot of tradition but Randy wanted to get more involved in things so he decided to start another camp. Together with some like minded compatriots Continued on page 7 gÉ çÉâ fÉÇá Éy VÉÇ@ g{x V{tÜzx BATTLE OF SECESSIONVILLE yxwxÜtàx ixàxÜtÇá? ãx áâuÅ\|à à{x ä\|Çw\|vtà\|ÉÇ Éy à{x vtâáx yÉÜ ã{\|v{ ãx yÉâz{àN àÉ çÉâÜ áàÜxÇzà{ ã\|ÄÄ ux z\|äxÇ à{x wxyxÇáx Éy à{x VÉÇyxwxÜtàx fÉÄw\|xÜËá zÉÉw ÇtÅx? à{x zâtÜw\|tÇá{\|Ñ Éy {\|á {\|áàÉÜç? à{x xÅâÄtà\|ÉÇ Éy {\|á ä\|Üàâxá? à{x ÑxÜÑxàât@ à\|ÉÇ Éy à{Éáx ÑÜ\|Çv\|ÑÄxá {x ÄÉäxw tÇw ã{\|v{ Åtwx {\|Å zÄÉÜ\|Éâá tÇw ã{\|v{ çÉâ tÄáÉ v{xÜ\|á{A ex@ ÅxÅuxÜ? \|à \|á çÉâÜ wâàç àÉ áxx à{tà à{x àÜâx {\|á@ àÉÜç Éy à{x fÉâà{ \|á ÑÜxáxÇàxw àÉ yâàâÜx zxÇ@ xÜtà\|ÉÇáA _àA ZxÇxÜtÄ fàxÑ{xÇ WA _xx? VÉÅ@ ÅtÇwxÜ ZxÇxÜtÄ? hÇ\|àxw VÉÇyxwxÜtàx ixàxÜtÇá axã bÜÄxtÇá? DLCI The Battle of Secessionville was fought in a part of James Island known to this day as Secessionville. During the WBTS the defenders of Charleston built a fort called Fort Lamar there to stop Federal advances on the city from the southern costal islands which were occupied by Federal troops. In the early morning hours of June 16, 1862 Union troops under the command of Brig. General Henry W. Benham attacked Fort Lamar breaching the walls of the fort. However due to a poor knowledge of the surrounding landscape, which was mostly pluff mud, the attacking Union forces were unable to assist the advance and the much smaller Confederate force was able to repel the attack resulting in a Confederate victory. It was a fierce fight which included hand to hand combat and brother against brother fighting. Although the original battle was fought in the predawn hours of early summer the annual reenactment is done in mid November each year to ensure more agreeable weather and a better fit into the reenacting schedule. This reenactment is sponsored by the Confederate Heritage Trust of which Secession Camp is a part and funds raised by the event go to fund heritage projects such as the Hunley and battle field preservation. Every member of Secession Camp is therefore a member of the Confederate Heritage Trust. For that reason our Camp is heavily involved in the production of this event. It is extremely important that we get enough volunteers from the Camp to do our part for the event. That includes preparation prior to the event and duties during the event week end. We need volunteers to try and spend some time during the week end of November 9, 10 and 11 helping out at Boone Hall Plantation, the site of the reenactment. Please contact Compatriot George Naumann at 345-5554 and let him know that he can count on you to help out at the event. See you at Boone Hall Compatriots! Camp Officers Commander Bill Baber 843-552-2007 1st Lt. Cdr. Bill Norris 843-849-9924 2nd Lt. Cdr. Open Adjutant Elmore Marlow 843-762- 2430 Treasurer Chaplain Sy Mabie Color Sergeant Gene Patrick Judge Advocate Fred Tetor CHT Representatives Randy Burbage, Elmore Marlow, Gene Patrick, Woody Weatherford Wayne Dukes COMMITTEE CHAIRMAN AWARDS Clay Martin EDUCATION / HISTORICAL Open GRAVES & MONUMENTS David Rentz HIGHWAY CLEAN UP Jimmy Wheeler HERITAGE RIDE David Rentz MEDIA / PUBLIC RELATIONS Bill Norris SAM DAVIS YOUTH CAMP Bobby Shealy RECRUITING & RETENTION Andy Langdale GENEALOGY Andy Langdale FUND RAISING Open CONVENTION Open LEE JACKSON Open HERITAGE DEFENSE Open GUARDIAN John Evans Camp Guardians Randy Burbage Walter Carr John Evans Clarence Kuykendall Andy Langdale Elmore Marlow Philip Ramsey Michael Ratledge Clyde Rogers Louie Warmoth Jimmy Wheeler VOLUNTEERS MESS CORPORAL Don Pace MICKEY DAVIS FUND Woody Weatherford WEBMASTER David Rentz ENGRAVING ENGINEER Benny Slay QUARTERMASTER David Rentz John Blackwell The Sentinel is the official newsletter of Secession Camp No. 4, Sons of Confederate Veterans, Charleston, SC. It is published monthly and is distributed to the members of Secession Camp at no charge to them. An individual not having membership and organizations not associated with Secession Camp may receive the newsletter for an annual subscription price of $10.00 to cover the cost of printing and posting. For more information contact the editor. The Official Secession Camp Website is: http://www.scv4.org SECESSION CAMP WILL HOLD IT'S NEXT MEETING ON TUESDAY, NOVEMBER 20TH AT THE KNIGHTS OF PHYTHIAS BUILDING LOCATED AT 1820 BELGRADE AVENUE NEAR SAM RITTENBURG BOULEVARD (HWY. 7), IN CHARLESTON. DINNER WILL BE SERVED AT 6:30 PM AND THE MEETING WILL GET STARTED AT 7:00 PM. The editor of The Sentinel is Bill Norris. The Associate Editor is Rob Nance. Unless otherwise noted, all articles in this newsletter are written by the editor. Address all correspondence regarding this newsletter to: The Sentinel 362 Splitshot Circle Mt. Pleasant, SC 29464 E-Mail firstname.lastname@example.org FROM THE COMMANDER Compatriots, I hope this letter finds you all in good spirits and in good health. We are fast approaching the Holiday Season and I hope that all of you have plans to enjoy them. We will have more nominations for Camp Officers at the next meeting. We still have yet to nominate anyone for the position of Camp Treasurer and I hope that someone will step forward and take on this role. We also will have ballots for the Compatriot of the Year Award, which will be given at our Lee Jackson Banquet. If you have not bought a ticket for this event you need to see Lt. Commander Bill Norris. This years event will be at the Washington Light Infantry building and Camp Adjutant Elmore Marlow has promised us all a look at their museum while we are there. This will be a rare treat and we always have a great speaker and good food, so do not miss it. Tickets are limited so you need to buy one soon. Thanks to all of those who served at the Ghost Walk this year, I understand it was a great one. I was unable to attend do to a School function that my son was in. Secessionville is upon us and if you can help out please do so. I will be there helping out at our recruiting booth and with our Quartermaster sells. We will have new items for sale there so stop by and see us. I hope to see all of you at our next Camp meeting. Your Obedient Servant Bill Baber, Commander Secession Camp # 4 YARD SALE CAMP ELECTIONS Secession Camp is planning a yard sale. The date has not yet been determined but it will likely be around the first of the year. Compatriots are requested to search your garages and attics, find stuff, and once a date is determined, bring it to a drop off location to be included in the yard sale. Compatriot Louie Warmoth has volunteered to head up the project and Compatriot Bill Norris will assist him. More information will be made available in the near future. Let's all pitch in and make this project a big success! Camp elections are scheduled for the November meeting. So far we have the following nominations: Compatriots, Bill Norris for Commander, John Genes for Lt. Cmdr., Elmore Marlow for Adjutant, and Loren O'Donnell for Color Sgt. The position of Treasurer is open and nominations will also be taken at the November meeting. We will also take nominations and vote for Compatriot of the Year. Everyone should be at the November meeting to vote and especially if your interested in running for any of these positions. Just for the fun of it! A Yankee was on trial in Charleston for murder and if convicted, would get the electric chair. His brother was worried the jury might try to exact some revenge for the Civil War, so he approached the foreman of the jury with an bribe of $10,000 if he would convince the rest of the jury to reduce the charge to manslaughter. The jury was out for two weeks and finally returned with a verdict of manslaughter. After the trial, the brother went to the jury foreman's house, told him what a great job he had done and paid him the $10,000. The foreman replied that it wasn't easy to convince the rest of the jury to change the charge to manslaughter - they all wanted to let him go. FROM THE CHAPLAIN Compatriots: We will soon celebrate the "Thanksgiving" holiday, a day set aside to give thanks for the many blessings we have received through the grace of God. We often celebrate the physical harvest God has provided; too often we take credit upon ourselves for the things we enjoy. We must always remember the blessings we enjoy are given to us by God and through the sacrifice of those who have gone before us. We are blessed by the rich heritage we enjoy because of those who fought for the principles in which they believed. We have been blessed spiritually and physically in many ways. Always keep in mind the source of your blessings. Enjoy your Thanksgiving dinner, but don't eat too much and above all give thanks to the Lord! Lest we forget! "Being enriched in everything to all bountifulness, which causeth through us thanksgiving to God". (2 Corinthians 9:11) "Thanks be unto God for his unspeakable gift". (2 Corinthians 9:15) I had the opportunity to visit with Walter and Catherine Canady recently. Catherine is recovering from a broken hip and will soon be released from the Health South Rehabilitation Hospital. We pray that Catherine may have a complete recovery. We extend our condolences and prayers to Compatriot Ray Swagerty Jr. upon the passing of his father Floyd Raymond Swagerty Sr. who departed this world on October 10, 2007. He was born on June 25, 1923 in Las Vegas, NM; he served during WW II with Third Division, US Army in Europe. Surviving in addition to Ray is his wife of 62 years the former Dora Brown. Please continue to pray for Compatriots Jimmy Dickinson, George Jacobs, and Willy Heidtmann, who are unable to join us due to health considerations. I am always available at 843-871-9713 or by e-mail, email@example.com. Sy Mabie Chaplain In Memory of My Confederate Ancestors Private Wesley P. Beach Co. G 4th SC Cavalry Private Robert O. Jaques Co. G 4th SC Cavalry Capitan George W. Way 11th SC Infantry Corporal Beverly Rodgers Co. F 1st Local Troops, GA (Augusta) Deo Vindice Clyde W. Rogers CAMP SUPPER That wonderful chili we feasted on at the October meeting was prepared by Mess Corporal Don Pace and his crew. Last month Compatriots Don Petty, Bob Dandridge, and Dan Pinson gave Don a hand. Just as usual these men came in long before the meeting to cook for us (and cleanup after us) and we owe them our thanks for another fine meal. Remember without volunteers like these we would not be able to enjoy a good supper together at camp meetings so please let them know how much we appreciate what they do for us and think about volunteering to help Don's crew sometime. Everyone should try and help with camp duties when they can. At the November meeting Don and the crew will be serving sausage, red rice, kidney beans, fried cornbread and iced tea. We're getting hungry just writing about it. This sounds like another great supper that you'll not want to miss. GLENN McCONNELL PARKWAY CLEAN-UP On October 6th Compatriots of Secession Camp came out to help the camp clean the Glenn McConnell Parkway. (Back row, Left to right) Benny Slay, Sam Antley, Jimmy Wheeler, Will Joyner, Bruce Hodges, Elmore Marlow, Joey Dixon, Ben Pitman, Don Pace. (Front row) Michael Dixon, Dan Pinson, Lucas Pitman, Bobby Compton, and Bill Norris. Penny Dixon helped out as usual and standing in truck is Billy Hardee. Thanks to all these folks for a fine job. NOVEMBER SPEAKER The speaker at our November meeting will be Compatriot Herb Antley. Herb is an associate member of Secession Camp and the current Lt. Commander of Moultrie Camp. Herb, a Charleston native, was a charter member of Moultrie Camp and a past Chaplain. He served in the U.S. Marines and graduated from The Citadel and has a MA from Webster University. Herb's son, Jeff is a past commander of Moultrie Camp and is also very active in the SCV and the Confederate Heritage Trust. Compatriot Antley will speak to the camp on the Confederate hero Sam Davis and the SCV's Sam Davis Youth Camp. Herb served as a counselor at the youth camp and will fill us in on how things went this past summer. This will no doubt be an entertaining and informative lecture so make plans to attend the November meeting. At the October meeting Compatriot Wade Cheney spoke to the camp about the history of the Davids. They were semi-submersible boats with a spar and powder charge similar to the Hunley. They were used in Charleston to attach Union blockade ships. BYLAW AMENDMENT This is a special edition of The Sentinel that is being mailed to all members of Secession Camp # 4, due to the following proposed bylaw amendment. The proposed amendment will be voted on at an upcoming regular camp meeting (likely the November meeting.) This amendment was proposed by the camp's Bylaw Committee and reviewed by the camp Executive Committee, which recommends approval. Proposed Amendments to Secession Camp #4 Bylaws Article XIX - Section 2 The Current Section 2: Section 2. A vote may be taken upon the proposed amendment provided that a copy of the intended amendment has been sent to each Camp member in good standing, by United States Mail, at least ten (10) days previous to the meeting. A two-thirds vote of the members present, by ballot, will be necessary to pass or reject. The Proposed Amended Section 2: Section 2. A vote may be taken upon the proposed amendment provided that a copy of the proposed amendment has been sent to each Camp member in good standing at least ten (10) days, but no more than ninety (90) days, prior to a meeting where a vote on the proposed amendment will be held. The proposed amendment will be sent electronically to the email address the Camp has on file for each member. If there is no email address on file for a Camp member, the proposed amendment will be sent to that Camp member by United States Mail. A twothirds vote, in the affirmative, of the members in good standing who are eligible to vote at a duly qualified meeting, with a quorum, and are present, or have submitted an absentee ballot on the proposed amendment under consideration, will be necessary to accept the proposed amendment. Notes on the proposed amendment: An earlier version of this proposed amendment contained a "super quorum" of 70 members before a vote on proposed amendments could be held. That requirement has been dropped from this new language for the following reasons: If we require a "super quorum," we will need to go through the process of sending absentee ballots to all members in order to insure a quorum. The proposed amendment procedure (as well as the current amendment procedure) does provide for a "super majority" of two-thirds of the membership present in order to pass. This is a significant difference from the normal simple majority for all other issues. Since all members will be notified of any proposed change in the bylaws, they will be able to either attend the meeting or vote by absentee ballot if they consider the issue to be one that is of interest or concern to them. A provision has been added to prevent an "old" amendment from being brought up after significant time has passed (when everyone might have assumed it was dead). This provision requires a vote on any amendment within ninety days from the date the membership has been notified of the proposed amendment In order for this amendment to be properly voted on, it will need to be mailed to all members by U.S. Mail. Including the proposed amendment in the Sentinel and mailing the Sentinel to all members is also acceptable. In the future, should this amendment pass, we will only need to mail proposed amendments to those members without email addresses. FORT SUMTER CAMP 1269 SONS OF CONFEDERATE VETERANS ANNOUNCES ITS TOPICS FOR THE ANNUAL COL. J.J. MAHONEY CONFEDERATE HISTORY ESSAY CONTEST For ALL HIGH SCHOOL STUDENTS WINNER RECEIVES $1,000 US Saving Bond Publication of Essay in The Charleston Mercury One Year Subscription to The Confederate Veteran Magazine For Student And For Student's School Lesser Prizes for 2 nd and 3 rd Place Essays The Essay Topic May Be Either WADE HAMPTON; SELF TAUGHT OFFICER IN THE ARMY OF NORTHERN VIRGINIA OR WADE HAMPTON; THE RESCUE OF SOUTH CAROLINA FROM FEDERAL OCCUPATION AND RECONSTRUCTION RULE For Rules of the Contest, Criteria for Award or Questions Contact Mr. Price Oulla Mr. Michael Willson 5205 Chaplins Landing Rd. 1235 Kensington Dr. Hollywood, SC 29449 or Charleston, SC 29407 Tele; 843-556-6386 Tele: 843-556-0828 E-Mail: firstname.lastname@example.org E-Mail: email@example.com "Division Commander," continued from page 1 Randy helped start Secession Camp and became the camps first commander. Of course, anyone who knows Randy knows that he would never be happy with just starting a new SCV camp so Randy also Founded the Confederate Heritage Trust to do things that an SCV camp might not be able to handle. He was the first President of the CHT and still represents Secession Camp on the CHT. But that's not all Randy did he founded the 10th South Carolina Volunteer Infantry, a reenacting group, and became the Cornel of the Palmetto Battalion, the main reenacting organization in the state. Randy would also serve another term as Commander of Secession Camp as few years later. Sounds like a lot of work, huh, but Randy was just getting started. He got involved in the Hunley project and was selected to serve on the Hunley Commission which is responsible for the care and restoration of the H. L. Hunley submarine. But no even with all this to his credit Randy wanted to get more involved in the SCV and served as the Councilmen for the Army of Northern Virginia during the unpleasant leadership struggle a couple of years ago. Still not done Randy was elected to the position of Division Commander by his fellow Compatriots in South Carolina, a position he currently holds. Makes me tired just thinking about all that energy. There can be no question that Randy Burbage is an incredible individual and a valuable asset to our Southern Heritage. He has worked tirelessly for, as Randy would say, "those men who sacrificed so much for a cause they believed in." Even with all this on his plate Randy still finds time to attend our camp meetings. We compatriots of Secession Camp are indeed honored to have Randy Burbage as a member of our camp. Next time you see Randy give him a pat on the back and a big thank you. And if I know Randy you can bet he's not done yet! 2007 CALENDAR OF EVENTS November 11-6 Secession Camp Executive Committee Meeting, 6:30 PM 11-10 Battle of Secessionville at Boone Hall Plantation 11-11 Battle of Secessionville at Boone Hall Plantation 11-20 Secession Camp Meeting, 6:30 PM December 12-4 Secession Camp Executive Committee Meeting, 6:30 PM 12-18 Secession Camp Meeting and Christmas Party, 6:30 PM * 12-20 Secession Day January 2008 1-8 Secession Camp Executive Committee Meeting, 6:30 PM 1-12 Charleston Civil War Relic Show 1-13 Charleston Civil War Relic Show 1-15 Secession Camp Meeting, 6:30 PM 1-19 General Robert E. Lee's Birthday 1-19 Secession Camp's Lee-Jackson Banquet 1-20 General Thomas "Stonewall" Jackson's Birthday * Dates not confirmed Meeting Dates for Camps of the 6th Brigade Secession Camp # 4, Charleston Moultrie Camp # 27, Mt. Pleasant Pvt. John S. Bird Camp # 38, N. Charleston Wee Nee Volunteers Camp # 58, Kingstree Linchfield Camp # 132, Conway H. L. Hunley Camp # 143, Summerville Gen. Ellison Capers Camp # 1212, Moncks Corner Star of the West Camp # 1253, The Citadel Ft. Sumter Camp # 1269, Charleston 3rd Tuesday of the Month 3rd Thursday of the Month 2nd Thursday of the Month 1st Monday of the Month 3rd Tuesday of the Month 4th Thursday of the Month 3rd Thursday of the Month (irregular) 2nd Thursday of the Month (irregular) Battery White Camp # 1568, Georgetown 2nd Tuesday of the Month Uncommon Valor: Stories of Brave Confederates by Rob Nance This months Brave Confederate is Charleston's own, Brigadier General Bernard Elliot Bee. Bernard Bee was born to a prominent Charleston family on Feb. 8th, 1824. Bee's family would move to the upstate, Pendleton, SC in 1833 and he attended Pendleton Military Academy. Bee later graduated thirty-third in his class at West Point in 1845 and was assigned to the Third Infantry, US. While Bernard Bee is primarily known for his bravery at the Battle of First Manassas, he had already amassed an impressive military record dating back to the Mexican-American War where he was twice brevetted for gallantry. After the Mexican-American War, Bee saw Frontier duty in New Mexico from 1849-1855. In 1855, Bee would be posted at Fort Snelling, Minnesota where he was promoted to Captain of Company D of the 10th Infantry, US. It was while at Fort Snelling that Bee would meet his future wife, Miss Sofia Elizabeth Hill. Bee would stay posted out on the western frontier of Utah and Wyoming as a Lt.-Colonel in the US Army until March 3rd, 1861when he resigned the US Army and returned to Charleston to be elected Lt.Colonel of the First SC Regulars. On June 17th, 1861, Bee was appointed Brigadier General and was given command of the Third Brigade of the Army of the Shenandoah, Joseph E. Johnston commanding. Bee and his brigade would meet with destiny at Mannassas Junction during the battle later known as the First Battle of Bull Run or First Mannassas on July 21st, 1861. With Bee's men being pushed back from Matthewes Hill towards Henry House Hill by an overwhelming and flanking Union force, Col. Thomas J. Jackson's Virginia Brigade and Wade Hampton's Legion came up in support of the disorganized Confederates. It was there that Bee purportedly said, "There is Jackson standing like a stonewall. Let us determine to die here, and we will conquer. Follow me!". Bee was mortally wounded soon thereafter as the Confederates rallied and gained the upper hand. He died Continued on page 10 MINUTES FROM THE OCTOBER 16TH MEETING Recorded by Adjutant Elmore Marlow Yes No Appropriate Flag Displayed X SCV Charge Read X Invocation X Program The Davids Presentation of Colors X Reading and Approval of Minutes Speaker Wade Chaney Reading and Approval of Financial Report Remarks: 57 members and 15 guest for a total of 72 in attendance. * SCV Charge was given by Commander Bill Baber. * Invocation given by Sy Mabie. * Salute to the Flags given by Jamie Parks. * The cooks were then recognized for the meal. Head chef Don Pace was assisted by Gene Patrick Danny Pinson, Robert Dandridge, and Don Petty. , * Introduction of guest. Visitors included members from the Moultrie Camp, John S. Bird Camp, and the Ellison Capers Camp. * The speaker was Compatriot Wade Chaney, Past Commander of the Ellison Capers Camp. He spoke about the Davids, the semi-submersible forerunners of the Hunley, which got their name from the Biblical character. The Davids were designed by Dr. Ravenel, of Charleston and built at his Stony Plantation in Moncks Corner. The main target of the Davids was the New Ironsides which was one of the fleet blockading Charleston harbor. One of the steam powered Davids attacked their designated target but the explosion put out the fire in the boiler. The crew abandoned the David except for one, who could not swim. He was able to restart the fire and take her back to the city. The rest of the crew was captured. Upon inspection, it was found that the New Ironsides received more damage than was thought, but no more attacks were tried by the Davids. * Treasurers Report - Woody Weatherford reported a beginning balance of $3788.60 with deposits of $5,042.00. Expenses were $65.00 for S. C. Division dues,.$175.00 for National dues, $80.62 for the printing newsletter, $96.29 for software upgrade, $864.02 for Heritage Ride, $65.00 for RV Rally ad, $18.02 for Quartermaster item, and $20.00 for Highway clean-up. Total expenses were $1,383.97, which left a balance of $7,471.63. * Committee Reports: Jimmy Wheeler reported that the highway cleanup went well with fifteen members and guest picking up fifteen bags of trash. Sy Mabie reported that camp member Marshall Meads had passed away. He also reported that he had received a card of thanks from the family of Dorothy Kittrell who has passed away. Andy Langdale reported that three applications were turned in to him since last meeting. Also a Cadet membership application was turned in for Lucas Hawk Pinson, son of Danny Pinson. * By Laws Committee: Louie Warmoth reported that the committee has met and proposed changes will be in The Sentinel. * New Business: Three candidates were voted on, Andrew Lisicki, Paul Henry Rogers, and Harold Leon Dupuis. They were also sworn in as new members, as they have been in attendance at prior meetings. * SCV membership certificate was presented to Corey Hall. Also a Cadet membership was presented to Corey for his son Basil, who is one year old. * Lee Wilson was presented with a Secession Camp Lifetime certificate. * Commander Baber then read the Resolution for former member Marshall Meads which will be presented to his nephew and camp member Dennis Meads. * George Naumann gave a report that the Ghost Walk was a success and thanked everyone who helped. He also reported on the Battle of Secessionville, which will take place at Boone Hall Plantation on November 10 th and 11 th , with school day on Friday the 9 th . We need volunteers to help. * Nominations were taken for officers of the camp which will serve for the next two years. Commander – Bill Norris, 1 st . Lt. Commander – John Genes, Adjutant – Elmore Marlow, Treasurer – open, Color Sgt. – Loren O'Donnell. These positions and Compatriot of the Year will be voted on at the November meeting. Continued on page 10 "Minutes," continued from page 9 * Bill Norris talked about a date for having a yard sale, which was suggested by Louie Warmoth. Bill also noted that tickets ($30 pp) are now available for the Lee-Jackson Banquet. The banquet will be held on Saturday, January 19 th at the Washington Light Infantry Armory and will be catered by the College of Charleston. A sword will be given away at the banquet and tickets are available. * David Rentz gave out tickets, to be sold for the mosaic of General Robert E. Lee, which was done by camp member Joey Dixon. The drawing will take place at the Heritage Ride next September. * A proposal by Commander Baber for camp officers to receive free meals at camp meetings was defeated by the members present. * A motion made to adjourn and seconded. The benediction was made by Sy Mabie followed by the singing of Dixie. MICKEY DAVIS FUND Motion: Compatriot Jamie Parks has submitted a request for $1000 from the Mickey Davis fund to be given to Compatriot John Dangerfield for repairs or replacement of the van used to transport the Hunley mobile exhibit. The Hunley mobile exhibit is dead in the water. Compatriot John Dangerfield lost the engine in his van. The engine replacement is about $6000. John does not have the resources to repair or replace his van. His is on a fixed disability allotment. He has over $20,000 invested in his exhibit. He has earned over $30,000 for the Friends of the Hunley. He has logged over 115,000 for the Friends of the Hunley. His van had 240,000 miles when the engine was lost. He is not charging for schools, parades, or local events, ghost walk, etc. I move that Secession Camp #4 donate $1,000 out of the Mickey Davis fund to help put the mobile exhibit back on the road. Submitted: Jamie Parks The Executive Committee considered this motion on October 2 and recommends approval. The motion will be voted on at the November meeting. Woody Weatherford, Acting Chairman, Mickey Davis Fund HERITAGE WATCH by Rob Nance This months Heritage Watch takes us to Richmond, VA, the capitol of our beloved Confederacy. A battle for control of the much neglected Oakwood Cemetery in Richmond has raised the ire of the SCV's Oakwood Restoration Committee. It seems that the Richmond city council has no interest in properly caring for the cemetery despite the fact that in 1930, the city placed a granite marker near the gate with a plaque declaring that as part of a "sacred trust", the city would maintain the Confederate military portion with "reverence". In 2006, the VA General Assembly removed funding for the Oakwood Confederate Cemetery Trust and instead directed the annual funds-roughly $12,000, to the SCV. The legislature may have given the funding, but not permission to act as guardians for the Confederate section, known as "the Last Bivouac". A political "boondoggle" has arisen because certain Councilmen don't want a greater Confederate presence in a pre-dominantly AfricanAmerican neighborhood. So in essence, they would rather keep this hallowed ground in its current poor condition than to give a heritage group the opportunity to maintain it (at no cost to the city!). It's a sad state of affairs when one groups prejudices are put before the graves of 17,200 brave soldiers. Heritage Watch will continue to monitor this situation. Don't mess with Dixie! "Uncommon Valor," continued from page 8 the following day and is buried in Pendleton, SC. The Confederate Army lost one of its most talented veteran commanders very early in the war with the death of Bernard Bee. And so goes the story of another brave Confederate soldier..... IF YOU HAVEN'T PAID YOUR DUES THEY'RE NOW PAST DUE! LOUIS WARMOTH, JR. Expertly Crafted Furniture and Casework 843-813-2783 Deo Vindice ACTION SOLUTIONS Computer, Internet, & Telecom Solutions H. Scott McClain President Phone 843-797-5000 E-Mail 2121 Cosgrove Avenue N. Charleston, SC 29405 "The best storage facility we have been to in 5 years." Bernard The Moving Man 5806 Campbell Street, Hanahan (843) 744-1096 * Climate controlled storage of household and business property. * Located within 1 mile of the Intersection of I-526 next to the Hanahan Police and Fire Departments. * Competitively priced with non-climate controlled units. 9:00 A.M. Daily At Mills House Hotel Except January & February Reservations Requested www.civilwarwalk,com CIVIL WAR WALKING TOUR OF CHARLESTON JACK THOMSON 17 Archdale Street Charleston, SC 29401 (843) 722-7033 - Cell (843) 270-2417 firstname.lastname@example.org NEW LOCATION GALLERIES Dealer of artwork for Kunstler, Troiani, Reeves, Gallon and Nance. Historical and Southern heritage books, prints, and maps. Charleston and War Between the States gifts and memorabilia. 843-747-7554 800-256-1861 Fax 843-529-0511 5605 RIVERS AVENUE GAS LIGHT SQUARE N. CHARLESTON, SC 29406 Attention Camp Members! Get quailty real estate services and support the Camp at the same time. I'll donate 10% of my earned commission to Secession Camp when you refer a buyer or seller client to me! For more details contact Compatriot Rob Nance. email@example.com robnance.com tel: 843-884-7300 fax: 843-725-6592 cell: 843-327-6992 The Sentinel P.O. Box 12039 Charleston, SC 29422 NON PROFIT ORG. US Postage Paid Charleston, SC PERMIT NO. 251 THE NEXT CAMP MEETING WILL BE NOVEMBER 20TH
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GUIDE FOR AUTHORS INTRODUCTION This document contains complete guidelines for the preparation of your manuscript. For instructions regarding online submission, please visit http://www.elsevier.pt/pbj. Technical support is available by email at email@example.com. In any correspondence, please provide the corresponding author's name, title of the manuscript, manuscript number (if assigned), and a clear description of the problem. Contact details for submission All manuscripts must be submitted online through the PBJ's Elsevier Editorial System (EES) Web site at http://www.evise.com Electronic files of the manuscript contents must be uploaded at that Web site, and the onscreen steps should be followed to submit the manuscript to the Editorial Office. BEFORE YOU BEGIN Ethics in publishing For information on Ethics in publishing and Ethical guidelines for journal publication see http://www.elsevier.com/publishingethics and http://www.elsevier.com/journal-authors/ethics. Human and animal rights If the work involves the use of human subjects, the author should ensure that the work described has been carried out in accordance with The Code of Ethics of the World Medical Association (Declaration of Helsinki) for experiments involving humans, http://www.wma.net/en/30publications/10policies/b3/index.html; Uniform Requirements for manuscripts submitted to Biomedical journals, http://www.icmje.org. Authors should include a statement in the manuscript that informed consent was obtained for experimentation with human subjects. The privacy rights of human subjects must always be observed. All animal experiments should be carried out in accordance with the U.K. Animals (Scientific Procedures) Act, 1986 and associated guidelines, the European Communities Council Directive of 24 November 1986 (86/609/EEC) or the National Institutes of Health guide for the care and use of Laboratory animals (NIH Publications No. 8023, revised 1978) and the authors should clearly indicate in the manuscript that such guidelines have been followed. All animal studies need to ensure they comply with the ARRIVE guidelines. More information can be found at http://www.nc3rs.org.uk/page.asp?id=1357. Conflict of interest All authors must disclose any financial and personal relationships with other people or organizations that could inappropriately influence (bias) their work. Examples of potential conflicts of interest include employment, consultancies, stock ownership, honoraria, paid expert testimony, patent applications/registrations, and grants or other funding. 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To verify originality, your article may be checked by the originality detection service CrossCheck http://www.elsevier.com/editors/plagdetect. Contributors Each author is required to declare his or her individual contribution to the article: all authors must have materially participated in the research and/or article preparation, so roles for all authors should be described. The statement that all authors have approved the final article should be true and included in the disclosure. Authorship Authorship requirements Please note: a. To be listed as an author, an individual must meet the requirements approved by the International Committee of Medical Journal Editors (ICMJE). In order to be included in the list of authors, an individual must have done all of the following: (1) made substantial contributions to conception and design, acquisition of data, or analysis and interpretation of data; (2) drafted the article or reviewed it critically for important intellectual content; and (3) given final approval of the version to be published. c. Statements and opinions expressed in the articles and communications in the Journal are those of the author(s) and not necessarily those of the Editor(s) or publisher, and the Editor(s) and publisher disclaim any responsibility or liability for such material. Neither the Editor(s) nor the publisher guarantee, warrant, or endorse any product or service advertised in this publication, nor do they guarantee any claim made by the manufacturer of such product or service. b. The PBJ does not allow "ghostwriting," or uncredited authorship. All writers of a manuscript should be clearly identified. Changes to authorship Authors are expected to consider carefully the list and order of authors before submitting their manuscript and provide the definitive list of authors at the time of the original submission. Any addition, deletion or rearrangement of author names in the authorship list should be made only before the manuscript has been accepted and only if approved by the journal Editor. To request such a change, the Editor must receive the following from the corresponding author: (a) the reason for the change in author list and (b) written confirmation (e-mail, letter) from all authors that they agree with the addition, removal or rearrangement. In the case of addition or removal of authors, this includes confirmation from the author being added or removed. Only in exceptional circumstances will the Editor consider the addition, deletion or rearrangement of authors after the manuscript been accepted. While the Editor considers the request, publication of the manuscript will be suspended. If the manuscript has already been published in an online issue, any requests approved by the Editor will result in a corrigendum. Clinical trial results In line with the position of the International Committee of Medical Journal Editors, the journal will not consider results posted in the same clinical trials registry in which primary registration resides to be prior publication if the results posted are presented in the form of a brief structured (less than 500 words) abstract or table. However, divulging results in other circumstances (e.g., investors' meetings) is discouraged and may jeopardise consideration of the manuscript. Authors should fully disclose all posting in registries of results of the same or closely related work. Reporting clinical trials Randomized controlled trials should be presented according to the CONSORT guidelines. At manuscript submission, authors must provide the CONSORT checklist accompanied by a flow diagram that illustrates the progress of patients through the trial, including recruitment, enrollment, randomization, withdrawal and completion, and a detailed description of the randomization procedure. The CONSORT checklist and template flow diagram can be found on http://www.consort-statement.org. Registration of clinical trials Registration in a public trials registry is a condition for publication of clinical trials in this journal in accordance with International Committee of Medical Journal Editors (ICMJE, http://www.icmje.org) recommendations. Trials must register at or before the onset of patient enrolment. The clinical trial registration number should be included at the end of the abstract of the article. A clinical trial is defined as any research study that prospectively assigns human participants or groups of humans to one or more health-related interventions to evaluate the effects of health outcomes. Health-related interventions include any intervention used to modify a biomedical or health-related outcome (for example drugs, surgical procedures, devices, behavioural treatments, dietary interventions, and process-of-care changes). Health outcomes include any biomedical or health-related measures obtained in patients or participants, including pharmacokinetic measures and adverse events. Purely observational studies (those in which the assignment of the medical intervention is not at the discretion of the investigator) will not require registration. Copyright Upon acceptance of an article, authors will be asked to complete a 'Journal Publishing Agreement' (for more information on this and copyright, see http://www.elsevier.com/copyright). 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Funding body agreements and policies Elsevier has established a number of agreements with funding bodies which allow authors to comply with their funder's open access policies. Some authors may also be reimbursed for associated publication fees. To learn more about existing agreements please visit http://www.elsevier.com/fundingbodies. Open Access Publication Fee No fee is payable by the author as publishing costs are covered by the Porto Biomedical Society. This is an open access journal: all articles will be immediately and permanently free for everyone to read and download. Permitted third party (re)use is defined by the following Creative Commons user licenses (see http://www.elsevier.com/openaccesslicenses): CC BY-NC-ND license Creative Commons Attribution-NonCommercial-NoDerivs (CC BYNC-ND) For non-commercial purposes, lets others distribute and copy the article, and to include in a collective work (such as an anthology), as long as they credit the author(s) and provided they do not alter or modify the article. Elsevier Publishing Campus The Elsevier Publishing Campus http://www.publishingcampus.com) is an online platform offering free lectures, interactive training and professional advice to support you in publishing your research. The College of Skills training offers modules on how to prepare, write and structure your article and explains how editors will look at your paper when it is submitted for publication. Use these resources, and more, to ensure that your submission will be the best that you can make it. 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Written consents must be retained by the author and copies of the consents or evidence that such consents have been obtained must be provided to Elsevier on request. For more information, please review the Elsevier Policy on the Use of Images or Personal Information of Patients or other Individuals, http://www.elsevier.com/patient-consent-policy. Unless you have written permission from the patient (or, where applicable, the next of kin), the personal details of any patient included in any part of the article and in any supplementary materials (including all illustrations and videos) must be removed before submission. Submission Our online submission system guides you stepwise through the process of entering your article details and uploading your files. The system converts your article files to a single PDF file used in the peer-review process. Editable files (e.g., Word, LaTeX) are required to typeset your article for final publication. All correspondence, including notification of the Editor's decision and requests for revision, is sent by e-mail. Submit your article Please submit your article via http://ees.elsevier.com/pbj. Referees Please submit the names and institutional e-mail addresses of several potential referees. For more details, visit our Support site http://help.elsevier.com/app/answers/detail/a_id/161/p/8045. Note that the editor retains the sole right to decide whether or not the suggested reviewers are used. Revision of manuscripts As with new submissions, revisions must be submitted electronically through http://ees.elsevier.com/pbj. Ensure that the revised manuscript is prepared in accordance with the Journal's format and style for the type of article being revised. Adherence to these guidelines is important to prevent a delay in processing the revised manuscript. Revisions must include the following: 1. Responses to Commentsdocument that includes point-bypoint responses to the comments made by the Reviewers, Editor, and Editorial Office. In your Responses to Comments document, reproduce each comment verbatim and in its entirety and follow the comment with your detailed response. Each of the comments should be preceded by the word «COMMENT,» and the font style for each comment should be bold. Each of your responses should be preceded by the word «RESPONSE,» and the font style for each response should be regular (not bold). In each response, indicate where relevant changes have been made in the manuscript or explain why no changes would be appropriate. If any alterations have been made to your figures or if any figures have been removed or replaced, describe the changes. 3. Conflict of Interest Disclosure forms.If you are submitting your Conflict of Interest disclosure forms to us as part of your electronic submission in EES, please be sure to include all of these forms with each subsequent revision of your manuscript. 2. Marked Manuscript.The Marked Manuscript should be a version of your revised manuscript in which all of the ways in which it is different from the original manuscript are indicated for the sake of the Editor. The preferred method of indicating changes is Microsoft Word›s Track Changes feature. Alternately, any text that has been added should be underlined, and any text that was deleted should be indicated by strikethrough formatting. Any table that was part of your original submission should be either embedded within the Marked Manuscript or provided as a separate file (e.g., «Table II - Marked»); if changes have been made to the table, they should be indicated. Likewise, any figure that was part of your original submission should be either embedded within the Marked Manuscript or provided as a separate file (e.g., «Figure 1 - Marked»); if changes have been made to the figure, they should be described in your Responses to Comments document. Line numbering (continuous) should be used throughout the Marked Manuscript. PREPARATION Peer review This journal operates a double blind review process. All contributions are sent to a minimum of two independent expert reviewers to assess the scientific quality of the paper. The Editor is responsible for the final decision regarding acceptance or rejection of articles. The Editor's decision is final. For more information on the types of peer review, please visit: http://www.elsevier.com/reviewers/peer-review Use of word processing software It is important that the file be saved in the native format of the word processor used. The text should be in single-column format. Keep the layout of the text as simple as possible. Most formatting codes will be removed and replaced on processing the article. In particular, do not use the word processor's options to justify text or to hyphenate words. However, do use bold face, italics, subscripts, superscripts etc. When preparing tables, if you are using a table grid, use only one grid for each individual table and not a grid for each row. If no grid is used, use tabs, not spaces, to align columns. The electronic text should be prepared in a way very similar to that of conventional manuscripts (see also the Guide to Publishing with Elsevier: http://www.elsevier.com/guidepublication). Note that source files of figures, tables and text graphics will be required whether or not you embed your figures in the text. See also the section on Electronic artwork. To avoid unnecessary errors you are strongly advised to use the 'spell-check' and 'grammar-check' functions of your word processor. Article structure A. Original articles These should describe fully, but as concisely as feasible, the results of original clinical, laboratory or biomedical research. Special note regarding case studies:Case studies will be considered for publication only in the Letters to the Editor section of the Journal. The average Original Article fills 7 pages in the printed journal, although manuscripts that exceed this may be occasionally accepted for publication at the Editors' discretion. In general, an Original Article should not exceed 3500 words, not including the abstract, figure legends, and references. Abstracts should be 250 words or less. If possible, each figure legend should be held to 60 words or less. Each Original Article may be accompanied by no more than 8 graphic presentations (tables and/or figures)-for example, 3 tables + 5 figures. (Additional text, tables, or figures can be designated as "supplemental" material, which will be included in the PBJ'S Online Repository. Please note: Original Article manuscripts that are determined to significantly exceed these limits, or that do not include all of the elements listed below, may be returned to the authors for revision prior to review. The title page, abstract, Capsule Summary, key words, abbreviations, text, acknowledgments, references, tables and figure legends should be included in one word-processing file (in .doc or .wpd format). Figures should be loaded as separate files in the format specified below. 1. Title, authors and funding body * Keep the title succinct: Limit it to 12 words or fewer. * Construct the title around the article's key words. * Communicate a single subject or idea in the title. * Include the specific symptom, condition, intervention, mechanism, or function of the paper's central focus. * Mention any defining population, age, gender, or animal species that distinguishes the work. * Use terms that are specific rather than general (e.g., "penicillin" rather than "betalactam antibiotic") and include terms that clarify (e.g., "CXCR4" rather than "chemokine receptors"). * Use wit carefully and appropriately; be informative first and clever second. Although a universally understood pun can work well to attract interest, ensure that it will not confuse or mislead the reader. * Avoid using strong words (such as "robust," "innovative," "significant," "vigorous," and "aggressive"), as they may suggest exaggerated or unwarranted claims. The titles of papers accepted for publication in thePorto Biomedical Journal may be revised for improved clarity and appeal to the readership. Such revision will have final approval by the authors. The title should be followed by: * The list of authors, including their full names, highest academic degrees, and institutional affiliations. Please see the guidelines above regarding which contributors should be included in the author list. * A declaration of all sources of funding for the research reported in the manuscript. * The name, address, telephone number, fax number, and email address of the author who should be contacted regarding the manuscriptfollowing its publication. Note: A different author may be designated as the Corresponding Author in EES for the duration of the submission and review processes. Note regarding National Institutes of Health-sponsored research: The PBJ publisher, Elsevier, facilitates author posting in connection with the posting request of the NIH (referred to as the NIH "Public Access Policy"; see http://publicaccess.nih.gov/). If an author indicates that the research reported in their article was sponsored by the NIH, either by checking the appropriate box on the Transfer of Copyright form or by completing the relevant field during the online submission process, Elsevier will send the accepted version of the manuscript to PubMed Central (PMC) for public access posting 12 months after final publication. Please note that the accepted version of the manuscript does not include changes that are made during the review of galley proofs. For more information about PubMed Central, please visit http://www.ncbi.nlm.nih.gov/pmc/about/faq/ 2. Abstract. As a general rule, the abstract should be no longer than 250 words. It should summarize the results and conclusions concisely. Tabular data should not be included and acronyms/abbreviations should be avoided or spelled out fully. Abstracts should be structured as follows: * Background:What is the major problem that prompted the study? * Methods:How was the study done? * Objective:What is the purpose of the study? * Results:What are the most important findings? * Conclusion:What is the most important conclusion drawn? 3. Highlights. Highlights are a short collection of bullet points that convey the core findings of the article. Highlights are optional and should be submitted in a separate editable file in the online submission system. Please use 'Highlights' in the file name and include 3 to 5 bullet points (maximum 85 characters, including spaces, per bullet point). See http://www.elsevier.com/highlights for examples. 4. Key words. A list of up to ten key words should follow the Highlights. 5. Abbreviations. Provide a list of any abbreviations/acronyms and their definitions following the key words. Only standard abbreviations are to be used. If you are uncertain whether an abbreviation is considered standard, consultScientific Style and Formatby the Council of Science Editors or the AMA'sManual of Style. A laboratory or chemical term or the name of a disease process that will be abbreviated must be spelled out at first mention, the acronym or abbreviation following in parentheses. 6. Text. The manuscript should be written in clear and concise English. Authors whose primary language is not English should obtain assistance with writing to avoid grammatical problems. The text should be organized in sections as follows: Introduction, Methods, Results, and Discussion. Each section should begin on a new page. The generic terms for all drugs and chemicals should be used. In studies involving human subjects, a statement describing approval by the appropriate Institutional Review Board is required. Studies involving experimental animals must include a statement in the Methods section indicating which guidelines were followed for the care and use of the animals (e.g., the "Principles of Laboratory Animal Care" formulated by the National Society for Medical Research or the "Guide for the Care and Use of Laboratory Animals" prepared by the Institute of Laboratory Animal Resources, National Research Council, and published by the National Academy Press [revised 1996]). 7. Acknowledgments. General acknowledgments for consultations, statistical analyses, and the like should be listed at the end of the text, including full names of individuals involved. However, as noted above, acknowledgment of funding should be listed on the title page. 8. References. It is the Editors' expectation that authors will perform a comprehensive search of the literature to gather the most current articles relative to the subject matter. All references that are five years old or more should be replaced with current literature, unless the referenced publication is a classic work that underscores the core subject. B. Letters to the Editor Letters to the Editor are brief reports of clinical or laboratory observations, substantiated by controlled data but limited in scope, and without sufficient depth of investigation to qualify as Original Articles. Like Original Articles, these manuscripts are subject to peer review. A Letter to the Editor must: 1. Be brief. The average Letter to the Editor fills 2 pages in the printed journal, although manuscripts that exceed this may be occasionally accepted for publication at the Editors' discretion. In general, a Letter to the Editor should not exceed 1000 words, not including the figure legend(s) and references. If possible, the figure legend(s) should be held to 60 words or less. Please note: Letter to the Editor manuscripts that are determined to significantly exceed these limits may be returned to the authors for shortening prior to review. 3. Have a complete title page (see section A1). 2. Have a short, relevant title. Please see the suggestions that appear above (under "A. Original Articles"). 4. Be accompanied by a short summary that encapsulates the report's findings for a clinically oriented audience (see above). 6. Close with the author's name(s), academic degree(s), institutions(s), and location(s). 5. Begin with the salutation "To the Editor:" 7. Have no more than nine references. 9. Present lists of Key words, as relevant (see sections above). 8. List the references as complete bibliographic citations following the closure of the letter (see section above for formatting). 10. Be limited to a total of 2 figures and/or tables. (Additional figures or tables may be placed in the article's Online Repository; please see the relevant section below.) C. Correspondence and replies Correspondence concerning recent publications in the Journal will be considered for publication and accepted based on their pertinence, their scientific quality, and available space in the Journal. If the correspondence is considered acceptable, a response will be requested from the authors of the referenced PBJ article. Upon review and approval by the Editor, the Correspondence and relevant Reply will both be published together. Both Correspondence and Reply manuscripts must: 1. Be no longer than 500 words. 3. Have a complete title page (see section above). 2. Have a short, relevant title, distinct from the title of the referenced article. Please note that all Replies should have the title "Reply to [Corresponding author's name]." 4. List the references as complete bibliographic citations at the end of the letter with the journal article being discussed as the first reference (see section above). The total number of references should be no more than seven. Replies should include the Correspondence to which they are replying as one of the references. 6. Begin with the salutation "To the Editor:" and close with the author's name(s), academic degree(s), institutions(s), and location(s). 5. Have no more than one graphic presentation (table or figure). (See the section on Graphic Presentations below). D. Review articles Definitive, in-depth, state-of-the-art reviews of clinical and research subjects. Unsolicited reviews are not generally published inPBJ. Before submitting any unsolicited reviews, please forward an outline to the Editor for consideration. Systematic reviews and meta-analyses should follow the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) guidelines (see http://www.prisma-statement.org/). A PRISMA flow diagram (http://www.prisma-statement.org/documents/PRISMA%20 2009%20flow%20diagram.pdf) should be used to describe the steps of the systematic review, and a complete PRISMA checklist (http://www. prisma-statement.org/documents/PRISMA%202009%20checklist.pdf) should be provided during submission. E. Clinical Guidelines (type of article Practice guidelines in submission system) Official recommendations from professional organizations on issues related to clinical practice and health care delivery. PBJ is most interested in publishing the primary guideline documents but will also consider synopses of guidelines when the primary document is published elsewhere. Synopses should focus on those issues of most relevance to generalist clinicians. Manuscripts must: 1. Have an ≤ 275 words, structured  abstract (use the following subheadings: Description, Methods and Recommendations) 3. Primary Guideline Reports: PBJ is flexible with length, reference, and other format requirements given the variability in the format of guidelines developed by different organizations. However, if guidelines are lengthy (>4000 words), we may require the production of an executive summary document with the full document published as a digital-only appendix. A concise table or concise graphic summarizing the recommendations and other key points is desirable. 2. Include the name of the responsible organization in the title and identify the article as a clinical guideline. Guideline Synopses: Text of synopses include the following sections and subheads: Rationale, Guideline Focus, Target Population, Guideline Development Process, Evidence Review and Grading, Comments and Modification, Clinical Recommendations, Research Recommendations, Applicability and Implementation Issues, and Summary. Guideline Group members followed by key references should be listed at the end. Images in Biomedicine Images in Biomedicine articles consist of clinical pictures (e.g., X-rays, CT scans, biopsies, endoscopic visualizations, etc.) that im- part important clinical information. They are accompanied by a brief description, limited to 500 words. F. Case Report A brief description of a particular condition that provides insights into diagnosis or clinical management.A case report must make a distinct, novel contribution to the understanding of the etiologic agents, its clinical manifestations, and/or its diagnosis or treatment. Manuscripts must be written in good English (American or British usage is accepted, but not a mixture of these), be no lonfer than 1000 words and should consist of: Cover Page, Abstract, Introduction, Case, Discussion, Acknowledgements, Conflict of Interest Statement, and a maximum of 9 References. G. Rostrum articles (type of article Short review in submission system) Opinion articles about subjects of particular interest and/or debate may be accepted for peer review after preliminary review by the Editor. Proposals for rostrum articles may be emailed to the Editorial Office; they will be evaluated based on level of interest, novelty, and the current needs of the Journal. Abbreviations Define abbreviations that are not standard in this field in a footnote to be placed on the first page of the article. Such abbreviations that are unavoidable in the abstract must be defined at their first mention there, as well as in the footnote. Ensure consistency of abbreviations throughout the article. Acknowledgements General acknowledgments for consultations, statistical analyses, and the like should be listed at the end of the text, including full names of individuals involved. However, as noted above, acknowledgment of funding should be listed on the title page. Units Follow internationally accepted rules and conventions: use the international system of units (SI). If other units are mentioned, please give their equivalent in SI. Artwork Image manipulation Whilst it is accepted that authors sometimes need to manipulate images for clarity, manipulation for purposes of deception or fraud will be seen as scientific ethical abuse and will be dealt with accordingly. For graphical images, this journal is applying the following policy: no specific feature within an image may be enhanced, obscured, moved, removed, or introduced. Adjustments of brightness, contrast, or color balance are acceptable if and as long as they do not obscure or eliminate any information present in the original. Nonlinear adjustments (e.g. changes to gamma settings) must be disclosed in the figure legend. Electronic artwork General points; * Make sure you use uniform lettering and sizing of your original artwork; * Number the illustrations according to their sequence in the text; * Embed the used fonts if the application provides that option;Aim to use the following fonts in your illustrations: Arial, Courier, Times New Roman, Symbol, or use fonts that look similar; * Use a logical naming convention for your artwork files; * Provide captions to illustrations separately; * Size the illustrations close to the desired dimensions of the published version; * Submit each illustration as a separate file. A detailed guide on electronic artwork is available on our website: http://www.elsevier.com/artworkinstructions. You are urged to visit this site; some excerpts from the detailed information are given here. Formats. If your electronic artwork is created in a Microsoft Office application (Word, PowerPoint, Excel) then please supply 'as is' in the native document format. Regardless of the application used other than Microsoft Office, when your electronic artwork is finalized, please 'Save as' or convert the images to one of the following formats (note the resolution requirements for line drawings, halftones, and line/halftone combinations given below): * EPS (or PDF): Vector drawings, embed all used fonts. * TIFF (or JPEG): Bitmapped (pure black & white pixels) line drawings, keep to a minimum of 1000 dpi. * TIFF (or JPEG): Color or grayscale photographs (halftones), keep to a minimum of 300 dpi. * TIFF (or JPEG): Combinations bitmapped line/half-tone (color or grayscale), keep to a minimum of 500 dpi. Please do not:; * Supply files that are optimized for screen use (e.g., GIF, BMP, PICT, WPG); these typically have a low number of pixels and limited set of colors; * Submit graphics that are disproportionately large for the content. * Supply files that are too low in resolution; Color artwork. Please make sure that artwork files are in an acceptable format (TIFF (or JPEG), EPS (or PDF) or MS Office files) and with the correct resolution. If, together with your accepted article, you submit usable color figures then Elsevier will ensure, at no additional charge, that these figures will appear in color online (e.g., ScienceDirect and other sites) in addition to color reproduction in print. For further information on the preparation of electronic artwork, please see http://www.elsevier.com/artworkinstructions. Illustration services. 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Everyone at the Table 2016 ANNUAL REPORT FORT MCMURRAY REGION Photo credit: Sinead Cusack Sheila Hughes, Executive Director Okotoks Food Bank Association As a small food bank, our membership with Food Banks Alberta provides us with the opportunity to come together with other food banks to collaborate in our ﬁ ght against hunger. They are our anchor, providing all members with invaluable resources and guidance wherever needed. Feed. Lead. Share. Strengthening the food bank community. OUR MISSION Strengthen the impact of the Food Banks Alberta network by sharing best practices, innovations, and essential resources between members, stakeholders, and community partners. Phil Crump Director Cold Lake Food Bank We value being a member of the provincial network for their caring and insightful support, friendly welcoming services, connections to good ideas and eﬀ ective advocacy on our behalf. BECOMING Food Banks Alberta November 1, 2016 marked a pivotal moment in the food bank sector of Alberta – the merger of the Alberta Food Bank Network Association (AFBNA) and the South Central Alberta Food Bank Federation (SCAFBF) to form a new provincial association: the Food Banks Alberta Association. Six years in the making, the oﬃ cial joining of these two associations was signiﬁ cant and marked a new beginning for 84 food banks from all corners of Alberta. The united organization is now truly stronger together as 19 food banks joined the association. The ﬁ rst order of business for the new board of directors was to craft a new vision and mission that reﬂ ects the new sense of connection and sets the direction of Food Banks Alberta into 2020. A new strategic plan will guide the next four years of progression for the association. The new board met in November for two days to create the plan. Read the full document: www.foodbanksalberta.ca HELPING HANDS Volunteer support Volunteers in our oﬃ ces logged 57 hours in administration support and volunteers in our warehouse worked 396 hours. Total value = $6,400 SHARING: Food In 2016, a total of 1.8 million lbs of food was donated in Alberta from a variety of sources. That food was valued at about $4.5 million. Of that total, Food Banks Alberta directly shared 790,000 lbs of food valued at $1.9 million with its membership. Members access food donated through the National Food Sharing System (NFSS) from Food Banks Canada, food donated directly to Food Banks Alberta, and food purchased by the provincial association. Food Banks Alberta distributed 63 shipments of 235,723 lbs of food (valued at $589,308) with 32 food banks. Much of the food was shipped from the provincial warehouse in Nisku and 14,716 lbs were shipped through a trial warehouse at the Interfaith Food Bank of Lethbridge. PROVINCIAL RETAIL PARTNER PROGRAMS London Drugs program: 131,50 lbs of food shared with 10 food banks Alberta Shares program: $86,720, and 40,932 lbs of food donated to 12 food banks – up 14% over 2015. Loblaw national campaigns Spring: 33 food banks received $154,736 Food Banks Alberta received $30,353. Holiday: 39food banks received $116,716. Food Banks Alberta received $21,538. 2016 Annual Report New in 2016 The association opened its ﬁ rst dedicated warehouse in a 12,000-square-foot location in Nisku (just south of Edmonton). The space was needed to house increasing donated food volumes that resulted from an immediate inﬂ ux of donations after the northern Alberta wildﬁ res. The association wants to express their earnest appreciation for the many years that Edmonton's Food Bank provided critically needed warehouse support and space on an in-kind basis to the association. For the ﬁ rst time, Food Banks Alberta: * stored and shared dozens of pallets of donated frozen food; * purchased 26 pallets of new high-demand non-perishable food worth $181,403. PRODUCER PARTNERSHIPS Turkey Producers (AB) Turkeys: $9,595 donated to help 17 food banks purchase turkeys at Thanksgiving. Eggs: 17,280 dozen eggs shared with 30 food banks – a value of $35,712. Farm2School Produce: 17 food banks received 28,967 lbs of fresh produce – up 21% over 2015. The association and 11 food banks purchased $68,250 of tuna in a national purchase program. . SHARING: Funds Donations to support the association's operations more than doubled to $456,000 in 2016. For the third straight year, the association surpassed its forecasted revenues but maintained expenses to budget, resulting in an increasingly ﬁ nancially viable organization. FINANCIAL SUPPORT TO OUR MEMBERS Rural Assistance Fund: 16 food banks received $52,000 Bulk Food Purchase Subsidy: 10 food banks received $10,000 Transportation Subsidy: 14 food banks received $17,250 Fresh Food Fund: 24 food banks received $95,000 Message from the Chairperson 2016 began with the promise of great things for our provincial association of food banks and despite some incredibly unexpected challenges, the year ended on a high note. For several years, the boards of our association and the southern association worked hard to merge the two and we are so proud to say it became reality in 2016. We are a province of food banks united under one banner, Food Banks Alberta. Our provincial association has become a strong and resilient organization that has gained new ground in its relationships and position with those of inﬂ uence and aﬄ uence. Much of this new-found position became even stronger in response to the spring wildﬁ res in the Wood Buﬀ alo region, even without a formal disaster management plan in place. I was proud to watch our association respond to the needs of food banks, evacuees and evacuation centers, stepping up to support where needed. Financial support from national donors, through Food Banks Canada French's donated $19,500 – we bought 8,700 lbs of fresh eggs to share with 29 food banks. Subway donated $10,183 – we bought $1,613 of tuna and $8,570 of fresh eggs for 19 food banks. Walmart donated $5,059 – we bought 2,721 lbs of fresh eggs and 2,740 lbs of pasta. 7-Eleven donated $10,000 to support the Bulk Food Purchase subsidy program. Pepsi donated $10,000 to 10 small and rural food banks to buy dairy products. GET SOCIAL CIBC donated $125,000 to support provincial programs and 16 food banks and $100,000 to support ﬁ re relief eﬀ orts. RBC Foundation donated $100,000 to support the Rural Assistance program and $50,000 to support the Wood Buﬀ alo Food Bank after the wildﬁ res. Pembina Pipelines donated $100,000 to support the provincial Fresh Food Fund and 24 food banks. Online eﬀ orts We are active on Facebook, Twitter and in 2016 we created new Instagram and LinkedIn accounts. Each platform has growing audiences to help us share information about food banks. Our new website www.foodbanksalberta.ca was launched in November. I have been humbled, honored, and proud to represent all food banks in our great province, especially during some of the toughest years we have faced in recent history. It's been my pleasure to play a small part in the great strides we have taken. The new provincial board of directors made disaster management a strategic priority so that in the future when disaster strikes another community our association will be ready to respond as a partner with Provincial Emergency Social Services and the Canadian Red Cross. I cannot wait to see what we can collectively accomplish as we continue down the path to great things on behalf of our members. Arianna Johnson Chair, Food Banks Alberta 2016 Annual Report FIRE RELIEF: Supporting evacuees and food banks The day after the mass evacuation from the Wood Buﬀ alo region as a result of the massive wildﬁ re, the provincial association jumped into action in partnership with a dozen food banks to coordinate food donations to support evacuees, food banks and evacuation centers in northern Alberta. Daily conference calls with key food banks helped us collectively track what food was needed and where, access existing inventory from the Calgary Food Bank and Edmonton's Food Bank, and coordinate the collection and distribution of donated food across Alberta. This was the ﬁ rst time the association was positioned to play a coordinating role in partnership with its network of food banks in the aftermath of a disaster. We were invited to participate at the provincial level support of relief work led by the Provincial Emergency Social Services (PESS). Over a three-month period, the association accepted 17 shipments of donated food and products from as far away as the eastern United States – in all about 763,000 lbs, valued at $1.9 million. In just under 4 months, the association transported 44 shipments of food to highly impacted northern food banks and to provincial evacuation centers. More than 60 major corporations, companies and individuals donated food, support items, funds and volunteer assistance to support the relief eﬀ orts. The 'Real Food' drive Final preparations for the inaugural online provincial food drive in Alberta in early May were completed when the wildﬁ res prompted its sudden cancellation. Participating food banks whole-heartedly committed to reconﬁ gure the online food drive to exclusively support the needs of the Wood Buﬀ alo Food Bank when it re-opened. Thanks to an amazing partnership with CIBC, more than 50,000 lbs of fresh and critical non-perishable food was collected and delivered to the doors of the food bank. The association is committed to bringing the innovative new online format back so supporters can easily donate more healthy and nutritious food to food banks. HUNGER: Alberta in 2016 Another 80,000 lbs of new food were purchased by the association with ﬁ nancial assistance from the Canadian Red Cross to share with 20+ food banks directly impacted by the unexpected arrival of 88,000 evacuees. In Alberta, food bank usage climbed by 18 percent to a record number of clients in 2016. During the month of March, 79,293 Albertans accessed a food bank. That is the largest number of people to visit food banks in this province in the 35year history of food banks. 2016 Annual Report port These numbers were collected before the massive wildﬁ res in northern Alberta which spurred a dramatic spike in food bank usage in May. Food banks in Alberta reported that 25% of people who accessed a hamper program in 2016 were employed. In the last two years, food bank usage has doubled in Alberta. It has been eight years since the provincial low point of 33,837 individuals served in 2008. Nearly all 84 food banks in the association reported an increase in food bank usage. MAJOR GIFT: $2.6 million from the Canadian Red Cross The Canadian Red Cross donated a record $2.6 million to Food Banks Alberta to support 20 food banks impacted by the wildﬁ res, with $1.2 million donated directly to the Wood Buﬀ alo Food Bank in Fort McMurray. Funds covered the immediate and critical short-term response costs absorbed by food banks when they provided food and support to evacuees across the province. At least 26 food banks around the province provided food directly or indirectly to evacuees immediately following the evacuation and during the weeks following the ﬁ re. Many food banks were directly impacted by this disaster and provided emergency food to displaced residents who arrived in their communities. The Wood Buﬀ alo Food Bank re-opened in June but had to dispose of all its perishable and frozen food as well as more than 50,000 kg of non-perishable food. Jeanette Edwards Food Bank Manager Blackfalds Food Bank Society Being part of this awesome network means so much. Food Banks Alberta provides something for all food banks, and they are there to help us in every way - be it need of food items or to answer questions. Thanking you for all the hard work that all of you do for us. Gert Reynar Executive Director Leduc & District Food Bank Association The support of Food Banks Alberta has been a huge beneﬁ t to our organization. The network allows us to share ideas about programs or challenges that one food bank may face and how they handle the situation to at times being able to share large donations with others.The coordinating and support from Food Banks Alberta and the staﬀ has been beneﬁ cial for program development and guidance. Their focus on helping all food banks in Alberta has made a huge diﬀ erence for all. Celina Symmonds & Tammy Vanderloh Co-Executive Directors Medicine Hat and District Food Bank Food Banks Alberta provides ﬁ nancial support, but more than that they act as a coordinating body and resource hub to give us the tools we need to make the change we want to see in our community! Betty Birch President Stettler & District Food Bank Society Food Banks Alberta provides a good opportunity for us to share information with other food banks in our area. They have provided support and resources for us to enhance the way we serve our clients. Bernie Kreiner Chairperson Hinton Food Bank We value being a Food Banks Alberta member. Through the provincial network, basic grants and helpful advisory support is available for smaller, volunteer-based food banks like us. Through them, we've also connected with other food banks to develop our policies and get ideas. BOARD OF DIRECTORS 2016-17 Arianna Johnson- Executive Director, Wood Buﬀ alo Food Bank, Chair Lori McRitchie - Executive Director, Airdrie Food Bank, 1st Vice Chair Alice Kolisnyk- Deputy Director, Red Deer Food Bank, 2nd Vice Chair Doug Tweddle - Account Executive, Foster Park Brokers, Treasurer Suzan Krecsy- Executive Director, St.Albert Food Bank, Secretary Kim Dumont- Coordinator, High Prairie & District Food Bank Society, Director James McAra- Chief Executive Oﬃ cer, Calgary Interfaith Food Bank, Director Mark Doram- Director of Operations, Edmonton`s Food Bank, Director Karen Campbell - Territory Manager, Nestle Infant Nutrition, Director Shelby MacLeod - Secretary, Lethbridge Food Bank Society, Director Paul Van Doren - President, Three Hills Food Bank, Director FOOD BANKS ALBERTA MEMBERS 2016-17 Airdrie Food Bank Leduc & District Food Bank Association Athabasca Good Samaritan Ministries Association Banﬀ Food Bank Barrhead Family and Community Support Services Bashaw and District Food Bank Beaverlodge Christmas Hamper & Food Bank Blackfalds Food Bank Society Bon Accord/Gibbons Food Bank Bonnyville Canadian Native Friendship Centre Bow Valley Food Bank Society Breton Faith Covenant Church Food Bank Brooks Food Bank Foundation Calgary Food Bank Camrose Neighbor Aid Center Food Bank Chestermere Regional Food Bank Claresholm Food Bank Coaldale Food Bank Cochrane Food Bank Cold Lake Food Bank Society Community Kitchen Program of Calgary Coronation & District Food Bank Society County of 40 Mile Ministerial Food Bank Crowsnest Pass Food Bank Society Drumheller Salvation Army Food Bank Edmonton's Food Bank Edson Food Bank Society Fairview Food Bank Association Flagstaﬀ Food Bank Fort Saskatchewan Food Bank Fox Creek Food Bank Society High Level Native Friendship Centre High Prairie & District Food Bank Society Hinton Food Bank Association Hythe and District Food Bank Innisfail Food Bank Interfaith Food Bank Society of Lethbridge Ittasinno'P Food Bank Centre Iyahrhe Nakoda Food Bank Society Jasper Food Bank Society Kainai Food Bank Society Lac Ste. Anne East Food Bank Society Lacombe Community Food Bank Lamont Hamper Committee Lethbridge Food Bank Medicine Hat and District Food Bank Millet Community Food Bank Morinville Food Bank Society Mountain View Food Bank Society Nanton Ministerial Food Bank North County Interfaith Outreach Society Okotoks Food Bank Oyen & District Food Bank Association Parkland Food Bank Society Peace River Salvation Army Food Bank Ponoka Food Bank Red Deer Food Bank Society Redwater Fellowship of Churches Food Bank Rhema Food Bank Rimbey Food Bank Samson Food Bank Society Smoky Lake Food Bank Society St. Albert Food Bank and Community Village St. Paul & District Food Bank Stettler & District Food Bank Society Strathcona Food Bank Association Taber Food Bank Society The Junction Pincher Creek & Area Food Bank The Lord's Food Bank Rocky Mountain House Society Three Hills Area Food Bank Society Toﬁ eld-Ryley and Area Food Bank Society Trochu & District Inter-Church Food Bank Society Turner Valley and District Food Bank Association Vauxhall & Area Food Bank Society Vegreville Food Bank Society Viking and Holden Area Food Bank Vulcan Regional Food Bank Society Wainwright Battle River Food Bank Waskaysoo Community Food Bank WEE Community Food Bank Westlock & District Food Bank Association Wheatland County Food Bank Society Whitecourt Interagency Food Bank Wood Buﬀ alo Food Bank Association
The State of Colorado Office of Economic Development & International Trade and History Colorado Program Manual for the Commercial Historic Preservation Tax Credit Revised July 1, 2015 Table of Contents Section 1: Overview of the Program The Colorado Historic Preservation Commercial Tax Credit (Colorado Revised Statues 3922-514.5, based on House Bill 14-1311) is a tax credit to the owners of certified historic Structures who perform a certified rehabilitation of their property. This program is jointly administered by the Colorado Office of Economic Development and International Trade (OEDIT) and History Colorado. This document is a guide for the anyone who wishes to apply for the Colorado Historic Preservation Commercial Tax Credit. This document is meant to be read in conjunction with the Historic Preservation Tax Credit web page: www.advancecolorado.com/hptc. This document only refers to the Colorado Commercial Historic Preservation Tax Credit. Other historic preservation tax credits, such as the Residential Historic Preservation Tax Credit and the Federal Historic Preservation Tax Credit, are not covered in this document. For information on these programs, see www.h-co.org/statetaxcredit. Program Schedule Major program events: * This program is scheduled to start accepting applications on July 8, 2015. * Credits will be reserved starting in January, 2016. * Credits will be issued starting in July, 2016. * All applications/rehabilitation plans must be submitted in full by the second half of 2019 (date to be determined). * The Request for Issuance must be submitted in full by the second half of 2019 (date to be determined). * All tax credits for which an request for issuance have been submitted will be issued by December 31, 2019. * A tax credit expires 10 years after the original date of issuance. Therefore the last day to transfer tax credits will be in the second half of 2029 (date to be determined). Page 2 of 20 Process Steps All transactions for this program are handled online. Decisions will be sent via e-mail. The major steps in the application process will typically be: 1. The applicant sets up an account with OEDIT. 2. The applicant fills out a brief qualifying questionnaire to ensure they are eligible for the program. 3. With the qualifying questionnaire approved, the applicant submits a full tax credit application and rehabilitation plan to OEDIT, along with the application fee, if applicable. 4. OEDIT and History Colorado will review the application to determine if it is substantially complete. If there are minor omissions and discrepancies in the application, the applicant will have an opportunity to correct their application. 5. Once the application and rehab plan have been deemed complete, a tax credit is reserved for the applicant, who will be notified of this via e-mail. 6. At this stage, actual rehab might have already started. If not, rehabilitation must commence within 12 months. Furthermore, applicants must submit ongoing proof of progress. 7. Upon completion of construction, applicant will submit the Request for Issuance of the tax credit, which includes documentation for final review. This documentation will include such things as pictures of the final rehabilitation and the CPA's list of qualifying expenditures. At this stage OEDIT will charge the applicant the issuance fee. 8. OEDIT and History Colorado review the final documentation for compliance with the rehab plan and historic preservation standards. 9. OEDIT will issue the tax credit certificate. The applicant may apply the tax credit certificate to their own tax liability or transfer the tax credit to a third party. Transfers of tax credits must take place through OEDIT's online transfer system. Page 3 of 20 Tax Credit Categories and Program Limits When the applicant fills out their tax credit application, they must estimate their qualifying rehabilitation expenses. If the estimated qualifying rehabilitation expenses are $2 million or less, the rehabilitation is considered to be a small rehabilitation. If the estimated qualifying rehabilitation expenditures are over $2 million, the rehabilitation is considered to be a large rehabilitation. Small rehabilitations and large rehabilitations are both limited in the dollar value of credits that can be reserved in a given calendar year, according to this table: Program Reservation Limits by Category and Calendar Year There is no limit on the number of reservations that may be reserved in any given year, only on the total dollar amounts. If all credits for a prior year are not reserved, OEDIT has the option of moving unused credits from a prior year to the current year. OEDIT also has the option of moving unused credits from one category to another (small rehabilitations to large rehabilitations, or vice-versa). Page 4 of 20 Section 2: Eligibility, Requirements, and Restrictions Applicant Requirements To apply for this tax credit, the applicant must be either: 1) a taxpayer filing a state tax return, or 2) an entity that is exempt from federal income taxation pursuant to section 501(c) of the internal revenue code. In either case, the applicant must have control of the property in one of four ways: * Title to the property (simple ownership) * Ownership of a purchase agreement * Ownership of an option to purchase * Ownership of a leasehold interest with a remaining term of 39 years or longer Property Requirements In order to receive this tax credit, the property being rehabilitated must be a Certified Historic Structure that is at least 50 years old. In order to be a certified historic structure, the property must meet one of these three criteria: * The property must be listed individually or as a contributing property in a district included within the National Register of Historic Places. * The property must be listed individually or as a contributing property in a district that is included within the State Register of Historic Properties. * The property must be designated as a landmark or a contributing property within a designated historic district by a certified local government. An applicant is allowed to apply for the tax credit if they have applied to be a certified historic structure under one of the three criteria listed above. However, the property must be fully designated as a certified historic structure at the time that the applicant submits their request for issuance. If the property is not a certified historic structure at the time the applicant submits their request for issuance, the credit will be denied. Page 5 of 20 Rehabilitation Requirements A certified rehabilitation is defined as repairs or alterations to a certified historic structure that have been certified by the History Colorado as meeting the standards for rehabilitation of the United States Secretary of the Interior. In order to receive the tax credit, the qualified rehabilitation expenditures must exceed 25% of the owner's original purchase price of the property minus the value attributed to the land. This will be calculated in the following manner: * If the applicant is the owner of the property, the qualified rehabilitation expenditures must exceed 25% of the owner's original purchase price of the property minus the value attributed to the land. * If the applicant is an option holder, the qualified rehabilitation expenditures must exceed 25% of the strike price (exercise price) of the property minus the value attributed to the land. * If the applicant is an contract holder, the qualified rehabilitation expenditures must exceed 25% of the contract price of the property minus the value attributed to the land. * If the applicant is the lessee of the property, the qualified rehabilitation expenditures must exceed 25% of the owner's original purchase price of the property minus the value attributed to the land. This figure may need to be retrieved from county records. If the amount of the actual qualifying rehab expenditures do not meet the 25% requirement, the credit will be revoked in full, there will be no partial credit issued. Page 6 of 20 Application Requirements Time Limits on Submitting an Application An owner may apply for a tax credit on a rehabilitation that is not started, under construction, or completed, subject to the following rules: * The owner may apply for the tax credit on a rehabilitation that has not yet started. In this scenario, the owner must commence rehabilitation within one year of the reservation of the tax credit. * The owner may apply for the tax credit on construction that is currently underway, with two conditions. First, no tax credit can be issued for expenditures that were incurred prior to July 1, 2015. Second, no tax credit can be issued for expenditures incurred more than 24 months prior to the date of submission of the full application. * The owner may apply for the tax credit on a completed rehabilitation if the property was placed into service in the last 60 calendar days. This is defined against the date of full submission. Multiple Applications on a Single Rehabilitation Because statute limits this tax credit to $1,000,000 per property per calendar year, an applicant is only allowed to submit one application per calendar year, and the maximum tax credit for an application is $1,000,000. Project Phases When applying for this tax credit, the applicant should define their rehabilitation project as that work which they definitely intend to perform and have the funds/financing to perform, and only that work should be included on the application. If some work is tentative or contingent on funding, that work should be included on a separate, later application. An applicant is allowed to submit one application per property per year, and each application has a limit of $1,000,000 in tax credits. Properties with Multiple Applications Having received a previous credit on a property does not affect an application's status, the way it is reviewed, or its place on the waiting list. Page 7 of 20 Section 3: Program Details Fees There are two fees associated with this tax credit, the application fee and the issuance fee. These fees apply to both small rehabilitations and large rehabilitations, and to properties both in and out of disaster areas. The application fee is assessed when the applicant submits their tax credit application and rehab plan. This fee must be paid in order to submit the application. The application fee is $500, but is only charged on applications that have a requested tax credit amount over $250,000. The application fee is not refunded if the application is denied or not funded for any reason (compliance, lack of funds, etc). The issuance fee is assessed when the request for Issuance is submitted. The issuance fee is charged to all rehabilitations, regardless of the amount of the tax credit. This fee must be paid in order before the tax credit will be issued to the owner. The issuance fee is 3% of the amount of the credit. Both of these fees are paid via the online credit card/online check module that is part of the application. Fees cannot be paid by manual check. Fees cannot be paid by deducting them from the tax credit. The Disaster Area Provision Properties that are located in an area that the President of the United States or the Governor of the State of Colorado has declared to be a major disaster area are eligible for a larger tax credit percentage (see the section on calculating the tax credit amount for details). When the applicant fills out the application, they are required to list the county of the property being rehabilitated. The system will then determine from the county if the applicant qualifies for the disaster area rate or not. The applicant will not directly claim disaster area status. In order to receive the disaster area tax credit rate, the applicant must submit their application within 6 years of the date of the disaster declaration. If the disaster declaration were to expire in before the tax credit were issued, the applicant would still receive the disaster declaration rate. As of June 26, 2015, the following 37 counties are subject to a disaster area declaration (and therefore to the higher tax credit rate): Adams, Arapahoe, Boulder, Broomfield, Chaffee, Clear Creek, Crowley, Custer, Denver, El Paso, Fremont, Garfield, Gilpin, Grand, Hinsdale, Huerfano, Jefferson, Lake, Larimer, Las Animas, Lincoln, Logan, Mesa, Mineral, Moffat, Montezuma, Morgan, Otero, Park, Prowers, Pueblo, Rio Blanco, Rio Grande, Sedgwick, Teller, Washington, Weld. Page 8 of 20 How the Credit is Calculated The historic preservation tax credit amount is calculated according to the following formula: * If the property is in an area that the president of the United States or the governor has declared to be a major disaster area, the credit is 30% of the first $2 million in qualifying rehabilitation expenditures, plus 25% of any qualifying rehabilitation expenditures over $2 million, to a limit of $1 million per property per year. * If the property is in an area that is not in a declared major disaster area, the credit is 25% of the first $2 million in qualifying rehabilitation expenditures, plus 20% of any qualifying rehabilitation expenditures over $2 million, to a limit of $1 million per property per year. This formula can also be displayed in table format: Example of Tax Credit Amount for Selected Expenditures Page 9 of 20 The system will calculate the tax credit, not the applicant. The system will actually calculate the tax credit twice, at the time of reservation, and at the time of issuance: * Reservation: When an applicant applies for the tax credit, they are required to estimate the qualifying rehabilitation expenditures. Based on this estimate, the system will estimate their tax credit, and that amount will be the amount reserved. * Issuance: When the applicant finishes construction, they are required to submit their actual expenses. At this point the system will calculate their actual tax credit, and subject to final review, OEDIT will issue the tax credit certificate. If the actual amount of the tax credit is less than the reserved amount, the applicant is issued a tax credit for the actual amount. If the actual amount of the tax credit is greater than the reserved amount, the applicant is issued a tax credit for the reserved amount, and the applicant is required to submit a new application for the difference between the reserved amount and the actual amount. This new application would get a new RON, go to the end of the line, and possibly be put on the waiting list. No fee would be charged. When an applicant submits a reservation, their application is categorized as either a small rehabilitation or a large rehabilitation based on their estimated qualifying rehabilitation expenses. If the actual expenses differ from the estimate, the application will still remain in the originally assigned pool, even if the difference otherwise would have moved the application from one pool to another. Definition of Qualifying Rehabilitation Expenditures Only Qualifying Rehabilitation Expenditures can be applied toward the calculation of the Historic Preservation Tax Credit amount. Not all rehabilitation expenditures are qualifying rehabilitation expenditures. Examples of non-qualifying expenditures: * Soft costs are not qualifying rehabilitation expenditures. Examples of soft costs are accounting, legal fees, permit fees, etc. * Landscaping is not a qualifying rehabilitation expenditure. * Additions to the property are not considered to be rehabilitation, and are therefore never qualifying rehabilitation expenditures. How the Review Order is Determined Applications are processed on a first-come, first served basis. Applications that are submitted on the same day will be ordered by a daily lottery process, so there is no advantage to submitting an application in the morning over the afternoon. How a Tax Credit Application is Reviewed When OEDIT and History Colorado review applications, they do so independently of the amount of available funds. This means that when an application is approved, one of three things will happen: * The entire value of the credit will be reserved when full funding is available. * The credit will be partially reserved when the amount of funds available is less than the amount of the credit estimated by the applicant. The remaining portion of the credit will be placed on the waiting list, and processed on a first-come, first-served basis. * The full amount of the credit will be placed on the waiting list when the amount of funds available is zero, and processed on a first-come, firstserved basis. Application Accuracy Any application with a material misstatement is subject to denial. Any tax credit that is later found to be based on an application with a material misstatement is subject to denial. OEDIT Neutrality Provided that the application meets all statutory requirements, OEDIT does not discriminate for or against any application. All applications that meet the statutory requirements are processed equally, first-come, first-served, according to the rules of the reviewing queue. Once an application has been submitted, OEDIT does not discriminate between applications based on factors such as property type, location, ownership type, etc. How the Waiting List is Administered Upon submission, each application is given a Review Order Number (RON). Applications will be reviewed in the order of their RON, and upon determination that they substantially complete, they will receive a reservation for the credit amount, provided that the reservation would not exceed the annual program limits for that category. If the full reservation would exceed the annual category limits, the applicant will receive a partial reservation (up to the annual limit), and the excess would be the first application in line the following year (assuming it is not the last year of the program). If the annual limit has been reached, the application will be put on the waiting list for that category. Applications that have been on the waiting list for two years will be revoked. This is required by statute. Applicants that have their applications revoked for the two year clause can re-apply, but the new application would get a new RON at the end of the line, and have to pay a new fee. The amount of the annual program limits and the amount that has been reserved against those limits is subject to change at any time. Certain events can change the annual limits and/or the amount available to reserve: * The annual limit increases every year by the amount of the annual allocation. * OEDIT may choose to move funds from one category to another, changing the annual limit for both categories. * Applications may have a credit issued for less than the reservation amount, increasing the amount available to reserve. * Applications may be revoked. This would result in an increase in the amount available to reserve. Requirements on Rehabilitation Progress There are several requirements on construction progress: * Construction must be started within 12 months after the tax credit is reserved. * Twenty percent of the estimated expenses must be incurred with 18 months after the tax credit is reserved. * If rehabilitation is idle for more than 12 consecutive months, the tax credit may be subject to revocation. * The applicant must submit their request for issuance by the second half of 2019 (date to be determined). Even though the application asks the applicant their expected date of completion, the rehabilitation is not required to be completed by that date. The rehabilitation is only required to meet the requirements listed above. Every applicant is required to file a progress report on the following schedule: * 12 months after the date the credit is reserved. * 18 months after the date the credit is reserved. * 24 months after the date the credit is reserved. * 36 months after the date the credit is reserved. * 48 months after the date the credit is reserved. The progress report must include evidence of progress such as photos, invoices and payments, etc. Please note that this tax credit is for successfully completing a rehab in a reasonable amount of time. There is no partial credit for unfinished rehabilitations. applicants who cannot finish their rehabilitation will have their credit revoked. Requesting the Issuance of the Credit The applicant must have control of the property on the day that they submit their request for issuance. Specifically: * If the applicant is the owner of the property, they must own the property on the date that they submit their request for issuance. * If the applicant has a contract for the purchase of the property, the contract must be in effect on the date that they submit their request for issuance. * If the applicant has a option for the purchase of the property, the option must be in effect on the date that they submit their request for issuance. * If the applicant has a lease on the property, the lease must be in effect on the date that they submit their request for issuance. An applicant has 90 calendar days after the property is placed into service to file for the issuance of the tax credit. For the purposes of this tax credit, a property is deemed to be placed into service when the certificate of occupancy is granted. If no certificate of occupancy will be issued on the property, placed into service is defined as the time when the rehabilitation meets the IRS definition of being substantially complete. If an applicant does not file for the tax credit within 90 days of the property being placed into service, the tax credit will be denied. As part of the application for issuance, the owner must submit their actual qualifying rehabilitation expenditures in the form of a cost and expense certification. These expenditures must be validated according to the following rules: * If the actual qualifying rehabilitation expenditures would result in a tax credit that is less than or equal to $250,000, the owner shall provide OEDIT with a cost and expense certification, prepared by a licensed certified public accountant that is not affiliated with the owner, certifying the total qualified rehabilitation expenditures and the total amount of tax credits for which the owner is eligible. * If the actual qualifying rehabilitation expenditures would result in a tax credit that is over $250,000, the owner shall provide OEDIT with a cost and expense certification, audited by a licensed certified public accountant that is not affiliated with the owner, certifying the total qualified rehabilitation expenditures and the total amount of tax credits for which the owner is eligible. Properties that cannot get a certificate of occupancy cannot submit their application for issuance, and therefore cannot receive the tax credit. If a property is destroyed or is unable to get a certificate of occupancy because of damage to the property, the credit will be revoked. The property must be a certified historic structure at the time the applicant submits their request for issuance. If a property loses its certified historic structure status during the rehabilitation, the tax credit is subject to revocation. Section 4: The Application Process The applicant must apply for the tax credit via the online application system, there is no manual or paper-based application. Notification of major events and the ultimate issuance of the tax credit will take place via e-mail. There are several major steps that the applicant will need to undertake to get their tax credit. These steps are: * Creating an Account * Submitting the Qualifying Questionnaire * Submitting the Full Application and Rehab Plan * Submitting Evidence of Progress * Applying for the Issuance of the Credit. Navigating SalesForce The interfaces used in this system are based on SalesForce, which has certain conventions of navigation and usage: * Required questions have a red bar next to them. Most questions are required. * When moving from section to section, use the "Previous" and "Next" buttons at the top and bottom of the application. Do not use the forward and back buttons on your browser. * If you need help with a question on the application, click on the question mark near the question text for assistance. * SalesForce works best with the Chrome and Firefox browsers. If you are using another browser and have having problems, try using Chrome or Firefox. SalesForce allows a user to partially complete an application without submitting it. These unsubmitted applications are called draft applications. Although there is nothing improper about a draft application, draft applications do not reserve a place in the queue for a credit, and they will not be reviewed by OEDIT. It is recommended that draft applications be submitted as soon as possible. If you create a draft application and later decide not to submit the application, please delete it. Creating an Account In this step, you are creating an account in SalesForce, which is the platform OEDIT uses for many of its programs. Once this account is set up, you will be logging onto the SalesForce portal to submit your applications. In order to create an account, you will need: * A valid e-mail address. To create an account, perform the following steps: * Go to http://oedit.force.com/bfi. * Click on "New User" * Fill in your first name, last name, e-mail and organization. If you are not part of an organization, please enter your first and last name as the organization name. * Click "Submit" to go to the next screen. * You are now on the address screen. Fill out the address fields and click "Create and Continue". * Enter a password (password must be eight characters long and must be a combination of letters and numbers) and click "Submit". * You have now created an account. Click on "Go to Login Page" to login to the system. You have now set up an account with OEDIT to submit your application for the Historic Preservation Tax Credit. Submitting the Qualifying Questionnaire The qualifying questionnaire is a short form to determine if you are eligible to fill out the full application. Every applicant must take the qualifying questionnaire before they can take fill out the full application. To submit the Qualifying Questionnaire, you will need: * Basic information about the property. * The original purchase price of the property. * The amount of the purchase price attributable to land. * The estimated qualifying rehabilitation expenditures. To submit the Qualifying Questionnaire, perform the following steps: * Login to the system at http://oedit.force.com/bfi. * Go to the "Apply" screen. * Click on the application labeled "Historic Preservation Tax Credit Qualification". * Fill out and submit the Qualification Questionnaire. * Check your e-mail for the results of the questionnaire. If you have passed the Qualification Questionnaire, you can fill out the full application. If you did not pass the qualifying questionnaire, you are not eligible for the tax credit. If there was an error in your responses on the QQ, you create and submit a new qualifying questionnaire. If you are applying for more than one property, you must fill out a separate qualifying questionnaire for each property. Submitting the Full Application and Rehab Plan In order to submit the full application and rehab plan, you must have passed the QQ. If you passed the QQ, the full application was automatically created by the system as is waiting on the "Update" screen as a draft. To submit the Full Application and Rehab Plan, you will need: * Details about the property, the owner, and the rehabilitation. * A complete set of work plans (preferably in PDF format). * A complete set of photographs of the property before the rehabilitation was started. * A complete set of construction drawings (preferably in PDF format). To submit the Full Application and Rehab Plan, perform the following steps: * Log into the system at http://oedit.force.com/bfi. * Go to the "Update" tab. If you passed the QQ, there will be an application labeled Historic Preservation Tax Credit Full Application" created. This will have a status of "Draft". * Click the link to start filling out the application. The system will guide you through the sections of the application. * The first sections of the application ask for details on the rehabilitation. If you do not have the answer to a question, even a required question, you can still go to the next section. At the end, you can go back to the parts you missed or save the application in draft status simply by clicking the "Save and Exit" button. You can then come back finish the application later. * After the questions, you will come to the sections on attachments. There are three sets of attachments: Work Plan, Pictures, and Construction Drawings. * All attachments can be uploaded individually or as a ZIP file. Note that each file will need to be selected individually, files cannot be multiselected. Also attaching any file is a two-step process, the file is first selected, then the selection is confirmed. * After the attachments section is the fees section. Any applicant with an estimated tax credit over $250,000 is required to pay the application fee. The fee is $512.02 if paying by credit card, $501.00 if paying by electronic check. * Once you have filled out all required questions and attached all your documents, click "Submit" to submit the application. Section 5: Using the Credit Overview Historic Preservation Tax Credits are a credit against a Colorado state income tax liability. It cannot be used against federal taxes, local taxes or other Colorado taxes. Tax credits can be used by the credit holder, sold to a third party, or used in part and sold in part. The tax credit may be carried forward for ten years from the date of issuance. If the credit cannot be used, sold, or transferred in ten years, it will not be refunded. Pass-Through Entities Any tax credits issued to a partnership, a limited liability company taxed as a partnership, or multiple owners of a property will be passed through to the partners, members, or owners, including any nonprofit entity that is a partner, member, or owner, respectively, on a pro rata basis or pursuant to an executed agreement among the partners, members, or owners documenting an alternate distribution method. Transferring and Selling the Credit An owner may use a tax credit, may transfer a tax credit, or both. The amount of tax credit available for sale is defined as the original amount of the tax credit, minus any tax credit that has been claimed on the owner's tax return(s), minus any previous sales. The seller is responsible for making sure that they do not sell any credits that have already been claimed. Section 6: Program Administration Other Tax Credits If an applicant has received or will receive a tax credit from the old Colorado Historic Preservation Tax Credit for this rehabilitation, they are not eligible to receive a tax credit from this program. However, a property may have received a Colorado tax credit on prior rehabilitations and still participate in this program. This program is completely separate from the federal Historic Preservation Tax Credit. Participation or non-participation in the federal credit does not affect participation in the Colorado tax credit. Other Programs Participants in the Historic Preservation Tax Credit are encouraged to also participate in other OEDIT and History Colorado programs. Participating in the Historic Preservation Tax Credit does not limit your participation in most other state programs. In Conclusion Thank you for your interest in the Historic Preservation Tax Credit. If you have any questions or comments, please contact us at www.advancecolorado.com/hptc or Ken Jensen at 303.892.3840. Page 20 of 20 Colorado Office of Economic Development and International Trade 1625 Broadway, Suite 2700 \| Denver, CO 80202 303.892.3840 www.advancecolorado.com/hptc
Minutes of the City of Mount Rainier Maryland City Council Work Session & Special Meeting Date: 1-20-2015 Place: One Municipal Place, Mount Rainier Presiding officer: Mayor Malinda Miles Councilmember's present: Jesse Christopherson, Brent Bolin, Brian Knedler (via intercom) Councilmember's absent: None City Hall Staff: City Manager Jeannelle Wallace Closed Meeting: Mayor and Council met with the RDA to discuss purchasing a property Meeting called to order at 7:40 pm Pledge of Allegiance Special Meeting Ward I Vacancy MUTC & Street Sense Meeting Public Comment Agenda Resolution establishing the Charter Review Committee Social Media Policy The Vice Mayor Rotation Election Board The letter of Support for the PG417-15 that will have Delegate Jimmy Tarlau introduce legislation regarding the tax differential Ward I Vacancy – Councilman Christopherson Councilman Christopherson received five resumes for the Ward I vacancy. He recommends Jacqueline Riposo for the position. Jacqueline Riposo speaks to the council about her interest in the seat. She wanted to run for Ward I after Bill Updike's term but had only been in the city for one year and was ineligible at that time. Instead she turned her efforts to smaller projects in the city, including the community garden, the 5k, the toolshed and other community activities. She wants to get more involved in the city. She is currently in her last semester of an MBA program, which she believes has provided her with a better understanding of business and an ability to help with the city budget. All of her past experience has been with non-profits. She is familiar with grant writing, shoe string budgets, and engaging a lot of the stakeholders in the community that the non-profit is serving. Councilman Bolin speaks to the re-development going on in the city and the challenge to keep the Mount Rainier character and make the community better. He asks Ms. Riposo if she has any experience with community development issues and transit/ pedestrian issues. Ms. Riposo believes that it is important to keep the Mount Rainier character, especially because that is why she was drawn to the city. Her experience with community design is related to public health and the environment. She finds that the priorities for any city moving forward with development are focused on walkability, safe bike trails, safe transit stops, and welcoming small businesses. She pursued her MBA because she wants to manage non-profits and small businesses that need consulting and help to get off the ground with a small budget. Mayor Miles communicates that one of her concerns is diversity on the council. She asks Ms. Riposo how she sees herself working with some of the other parts of Mount Rainier. Ms. Riposo informs the council that some of her closest friends in Mount Rainier are from the Spanishspeaking community. Also, her closest neighbors have this huge extended family and are very open with her. She attends their close family events such as their weddings and baby showers as if she were family. She feels that she can reach their community because they have such a big family and close friends that she feels they can open up to her. Not only can she be their voice, but she feels she can encourage them to get involved. Mayor Miles: What about your seniors? Ms. Riposo is more than happy to help seniors out with what is needed. She admits that she is not very connected with that community right now but is always looking to get connected with different communities of people. Mayor Miles: Ward I has a large senior population concentrated in the Rainier Manor area. They often tell me about being neglected and forgotten. And so, being the representative for that area, they want to have themselves taken seriously…One of my concerns, and I have said it for years, I love downtown Mount Rainier but Mount Rainier is not downtown. There is Mount Rainier on Arundel Road, on Queens Chapel Rd… What kind of connections do you have or see yourself there? I would love to see more services and more businesses come to the Queens Chapel area. I think that that area is underserved. There is a dense population there without a lot of services. A lot of the focus on development has been on Rhode Island Ave. I think that is great and there are a lot of spaces that are going to be great for development along Rhode Island Ave. but there are a lot of other pockets that can use services and encourage other small businesses to move into those areas. Councilman Knedler is satisfied with the questions asked and has no additional ones. Motion to appoint Ms. Jacqueline Riposo to the Ward I Vacancy Councilman Christopherson 2 nd Councilman Bolin 3-0 Public Comment A resident brings up an issue about an unexplained increase in her Pepco Bill. Mayor Miles agrees to intercede with Pepco on her behalf. Mr. Ernest Wheeler (Rainier Manor Apartments) has an issue with his Comcast service and the bill. Mayor Miles suggests two ways to address the issue: contacting Comcast and filing complaints directly with the Prince George's County Cable Commission. She wants to tackle this because there are probably other residents experiencing this issue. Mayor Miles also proposes that the city sit down with the county to discuss ways to decrease the cost of living for residents, especially seniors in Mount Rainier. The city will follow-up on the water issue in Rainier Manor and have all of the water units tested. Ms. Gady speaks of concerns about the traffic at the stop light on the corner of Buchannan and Queens Chapel Rd. Two people have been killed there. One lady was hit twice. Instead of blinking lights, there needs to be a stop light. People with walkers and wheelchairs take a longer time to get across Queens Chapel Rd. According to Mayor Miles, there is not enough pedestrian and car traffic going down Queens Chapel Road to warrant the installation of a traffic light at the corner of 30 th and Queen Chapel Rd. or at the corner of Buchannan and Queens Chapel Rd. To get this change, residents must voice their concerns to the state delegates and state senators. The city has been urging them to put in a light but was unable to. Another resident talks about walking across Buchannan and Rhode Island with her daughter to get to the stores. Walking down to 30 th is still an issue because crosswalks are not on both sides and the timing of the lights are off. Mayor Miles adds that it is one of the busiest intersections in Prince George's County. Also, the light blinks for you to walk across. She proposes a light called the HAWK, which stays green for pedestrians until they completely cross the street. Councilman Bolin states that the city has asked State Highway Administration and D-Dot to do that in the city. D-Dot was more receptive than SHA. The resident states that this type of light was experimental five years ago and that it is worth it to approach them again. Monday, January 26 th @ 2:00 p.m. there will be a meeting with State Highway engineers. Councilman Christopherson welcomes residents to come and voice their concerns so that SHA puts a face to the voice. MUTC & Street Sense- Councilman Bolin MUTC has worked with Street Sense over the past two years. As part of Street Sense's attempt to close the long-standing gap in the financing, they have considered some changes to the design of the building that were brought up in December. They were asked to return to the MUTC committee to discuss those potential changes. That meeting occurred last week. They were asked to consider and present a smaller building model, different LEED standards, and different options for the massing of the building. Councilman Bolin did not believe that Street Sense provided a sufficient answer to any of those items. Street Sense wants to add units to the building that were originally taken away as part of the MUTC process and take away the community area. The building they are now proposing is the one MUTC rejected a year ago. They were asked to look at other options and then come back but they simply showed what they showed in December. The committee is concerned with the height of the building as it affects nearby residents and the zoning issue. Six stories is going to be a non-starter and they will have to get an exception for zoning. The property was initially negotiated to be five stories and then stepped-down to four. Street Sense explained that it still needed the density and the fifth story across the board. In an effort to get optional ideas for ways to achieve an end that all parties can come to an agreement with, the offer was to provide a solution that has six stories but will provide LEED gold certification. The other option was to come back with five stories and get LEED Silver certification. The committee does not have any jurisdiction to argue LEED certification. The committee is in a bind because the cost-savings solutions did not add up and very little additional information was provided to it by Street Sense. Mayor Miles has two concerns. She wonders if Street Sense can do the project and is the project going to be significant enough to make Mount Rainier a destination place. Right now it does not seem that way to her. She suggests cutting the city's losses. If Street Sense cannot deliver the project to the level that is Mount Rainier worthy, then there is no need to continue further discussions. Street Sense wants an additional commitment from the council before it spends any more money and the council wants to see more options before making a commitment. Councilman Knedler: Five years ago when we were ready to issue the RFP, the county councilmen came in with Street Sense and they tried to convince us not to issue the RFP. They wanted us to give them that contract or that deal, without an RFP. So then, we had all those closed door meetings with politicians. This whole thing was political from the beginning. We ended up issuing the RFP. They did not like that. We got three bids and we went with them because we got strong-armed. I was not with the council at that point, but I was watching what was going on. Here we are how many years later. My word for that would be arrogant. They had no respect for us. They thought they could come in here and twist our arm. We had to play ball. I think we are done. Mayor Miles: I was done on October the 15 th . Where do we go from here? Do we continue to throw good money after bad or do we cut our losses? Now one of the things that has changed tremendously since we first got duped or scooped into where we are is that we are no longer desperate for developers. There are people out there now that are really interested in that corner. There are people out there that are looking at Mount Rainier as a potential place to do their next project. We can see a lot more or better proposals. Mayor Miles asks the Mount Rainier City Hall staff to have a new RFP ready. Motion to recess from special meeting to go into the Work Session Councilman Bolin 2 nd Councilman Christopherson 3-0 Move to table the entire Work session agenda to the February 3, 2015 Regular Meeting of the Mayor and Council with the exception of the letter of Support for the PG417-15 legislative piece that is being introduced by Mr. Tarlau that would ask for the county to provide information on how they come up with the formula tax-differential for municipalities that provide services that would be duplicate of what is provided by the county. Councilman Bolin 2 nd Councilman Christopherson 2-0 Motion to Approve the Letter of Support for PG417-15 Councilman Knedler 2 nd Councilman Bolin 3-0 Motion to adjourn at 8:59 pm Councilman Bolin 2 nd Councilman Christopherson
Extreme weather events drive climate change up boardroom agenda in 2012 Carbon Disclosure Project Global 500 Report London, UK. 12 September 2012. Following increasing incidents of extreme weather events which disrupted business operations and supply chains around the world, climate change has climbed the boardroom agenda, according to the Carbon Disclosure Project (CDP) Global 500 1 Climate Change report released today. With the hottest US summer on record, fires in Russia and flooding in the UK, Japan and Thailand, among other events, 81% of reporting companies now identify physical risk from climate change, with 37% perceiving these risks as a real and present danger, up from 10% in 2010. The CDP report, co-written by professional services firm PwC on behalf of 655 institutional investors representing $78 trillion in assets, provides an annual update on greenhouse gas emissions data and climate change strategies at the world's largest public corporations. This year has seen a 10% increase year-on-year in companies integrating climate change into their business strategies (2012: 78%, 2011: 68%), contributing to a 13.8% reduction in reported corporate greenhouse gas emissions from 3.6 billion metric tons in 2009 as the financial slowdown began to take hold, to 3.1 billion metric tons in 2012. The fall is equivalent to closing 227 gas-fired power stations or taking 138 million cars off the road. A third of companies (31%) however reported no emissions reductions at all. "Extreme weather events are causing significant financial damage to markets," says Paul Simpson, CEO of the Carbon Disclosure Project, "Investors therefore expect corporations to think more about climate resilience. There are still leaders and laggards but the economic driver for action is growing, as is the number of investors requesting emissions data. Governments seeking to build strong economies should take note." A further round of government talks to reduce carbon emissions long-term will take place at the end of November in Doha, Qatar. The average longer-term target for companies' emissions reductions is currently only 1% per year, well below the 4% required by countries to limit global warming to 2 degrees, according to analysis by PwC. Malcolm Preston, global lead, sustainability and climate change, PwC says: "Even with progress year on year, the reality is the level of corporate and national ambition on emissions reduction is nowhere near what is required. The new 'normal' for businesses is a period of high uncertainty, subdued growth and volatile commodity prices. If the regulatory certainty that tips significant long term investment decisions doesn't come soon, businesses' ability to plan and act, particularly around energy, supply chain and risk could be anything but 'normal'." The CDP report features emissions data from 379 companies and rates them according to their climate change transparency with the best disclosers entering CDP's Carbon Disclosure Leadership Index (CDLI) 2 . CDP then assesses companies according to the scale and quality of their emissions reductions and strategies, and ranks these according to performance bands. The best performers enter CDP's Carbon Performance Leadership Index (CPLI). The indices are used by investors to assess corporate preparedness for national or international emissions regulation and to guide investment decisions. Analysis of the companies that have entered the CDLI and CPLI in the past suggests that organizations achieving leadership positions on climate change generate superior stock performance 3 . 1 The Global 500 are the largest companies by market capitalization included in the FTSE Global Equity Index Series. 3 Performance of CDLI and CPLI companies is calculated on an equally weighted basis relative to the FTSE Global Equity Index Series and rebalanced annually on October 1st. Therefore the 2012 CDLI and CPLI companies are not included in this analysis. Note Results presented should not and cannot be viewed as an indicator of future performance. 2 405 companies, representing 81% of the Global 500, responded to the 2012 request for information; due to late submissions, the report contains analysis of 379 responses Climate disclosure leaders Companies on the CDLI are responding to market demand and improving their climate accountability, achieving higher average disclosure scores year-on-year. This year, two companies achieved the maximum carbon disclosures scores of 100: German pharmaceuticals company Bayer and the consumer goods giant Nestle of Switzerland (see Notes to Editor for breakdown of CDLI companies by country). While US companies dominate the CDLI, German companies are proportionally over-represented in the index, as are companies from Finland, Spain and the Netherlands. France, Japan and the United Kingdom are under-represented. Climate performance leaders Companies in the CPLI (see Notes to Editor for breakdown of CPLI companies by country) tend to think long-term about climate change strategy: 55% of CPLI companies identify climate-related risks beyond a ten year timeframe (compared with 29% of non-CPLI companies) while 85% are investing in emissions reduction activities with a payback of more than three years (compared with 60% of non-CPLI companies). World's top ten companies on disclosure and performance Combining both indices establishes the world's best companies in terms of climate change disclosure and performance. German companies dominate the top ten table. \| World’s Top Ten Companies on CPLI and CDLI \| \| \| \| \|---\|---\|---\|---\| \| Company Name \| Country \| Performance Band \| Disclosure Score \| \| Bayer \| Germany \| A \| 100 \| \| Nestle* \| Switzerland \| A \| 100 \| \| BASF* \| Germany \| A \| 99 \| \| BMW \| Germany \| A \| 99 \| \| Gas Natural SDG* \| Spain \| A \| 99 \| \| Diageo* \| UK \| A \| 98 \| \| Nokia Group* \| Finland \| A \| 98 \| \| Allianz Group* \| Germany \| A \| 97 \| \| UBS* \| Switzerland \| A \| 97 \| \| Panasonic* \| Japan \| A \| 96 \| * New entrants in 2012 to Carbon Disclosure Projects' Top Ten List The world's largest non-responders to CDP's request for emissions this year were Apple Inc., Berkshire Hathaway, Royal Bank of Canada, Caterpillar Inc., Amazon.com Inc., Comcast Corporation, America Movil, Lukoil, Bank of China, National Oilwell Varco, Inc. Today – CDP's virtual Global Climate Change Forum featuring some of the world's foremost climate change leaders. Journalists can register to view the event online through the CDP website. The discussion will take place at the following times: San Francisco 06:00 – 7:30 / New York 09:00 – 10:30 / Sao Paulo 10:00 – 11:30 / London 14:00 – 15:30 / Bonn 15:00 – 16:30 Emissions data on all companies responding to CDP can be found in the appendix of the report at https://www.cdproject.net/en-US/Pages/global500.aspx. Individual public company responses to CDP can be downloaded at https://www.cdproject.net/en-US/Results/Pages/responses.aspx. ### 3 405 companies, representing 81% of the Global 500, responded to the 2012 request for information; due to late submissions, the report contains analysis of 379 responses 3 Performance of CDLI and CPLI companies is calculated on an equally weighted basis relative to the FTSE Global Equity Index Series and re-balanced annually on October 1st. Therefore the 2012 CDLI and CPLI companies are not included in this analysis. Not, results presented uld not and cannot be viewed as an indicator of future performance. Note to Editors About CDP The Carbon Disclosure Project (CDP) is an international, not-for-profit organization providing the only global system for companies and cities to measure, disclose, manage and share vital environmental information. CDP harnesses the power of market forces, including 655 institutional investors with assets of US$78 trillion, to collect information from companies on their greenhouse gas emissions and assessment of climate change and water risk and opportunity. CDP now holds the largest collection globally of primary climate change and water data and puts these insights at the heart of strategic business, investment and policy decisions. Please visit www.cdproject.net to find out more. About PwC PwC firms provide industry-focused assurance, tax and advisory services to enhance value for their clients. More than 161,000 people in 154 countries in firms across the PwC network share their thinking, experience and solutions to develop fresh perspectives and practical advice. See pwc.com for more information. PwC's sustainability and climate change is a global network of 700 people. PwC are a leading adviser on sustainability, climate change and green growth working with clients in the public, private and not for profit sectors internationally, helping them to embed sustainability in their strategies and throughout their organisations. For more information, visit www.pwc.co.uk/sustainability 2012 Carbon Disclosure Leadership Index (CDLI) \| Country \| Companies \| \|---\|---\| \| France \| Danone, Saint-Gobain, L'Oreal \| \| Germany \| Bayer, BASF, BMW, Daimler, Siemens, Allianz, Deutsche Post \| \| Japan \| Sony, Panasonic, Honda \| \| Netherlands \| Philips, KPN \| \| Spain \| Gas Natural, Repsol, Iberdrola \| \| Switzerland \| Nestlé, UBS, Swiss Re, Ace \| \| United Kingdom \| Diageo, Centrica, Anglo American \| \| USA \| Microsoft, UPS, Hess, TJX Companies, Cisco Systems, Gilead Sciences, Coca-Cola, Air Products and Chemicals, AT&T, CSX, Goldman Sachs, Google, Home Depot, News Corporation, Spectra Energy, Wells Fargo, E.I. du Pont de Nemours, Exelon, PepsiCo \| \| Other \| Power Assets Holdings (China), Fortum (Finland), Nokia (Finland), Anglo Platinum (SA), Wipro (India), POSCO (South Korea), Samsung (South Korea) \| 2012 Carbon Performance Leadership Index (CPLI) \| \| Country \| Companies \| \|---\|---\|---\| \| Australia \| \| \| \| France \| \| \| \| Germany \| \| \| \| Japan \| \| \| \| Netherlands \| \| \| \| Spain \| \| \| \| Switzerland \| \| \| \| UK \| \| \| \| USA \| \| \| \| Other \| \| \| For media information please contact: Peter Browning / Browning & Associates T: +44 (0) 7760 168 969 / E: email@example.com Catherine von Altheer / Carbon Disclosure Project T: +44 (0)20 7970 5682 / +44 (0) 7794 003 903 / E: firstname.lastname@example.org Rowena Mearley / PwC T: +44 (0)20 7 213 4727 / +44 (0)7841 563 180/ E: email@example.com
HONORING OUR SERVICE MEMBERS ON MEMORIAL DAY By Bob Trotter Social Security Public Affairs Specialist in Milwaukee, WI Traditionally, on Memorial Day we honor those who have made the ultimate sacrifice for our nation. Social Security respects the heroism and courage of our military service members, and we remember those who have given their lives in defense of freedom. The unexpected loss of a service member is a difficult experience for the family. Social Security helps by providing benefits to protect service members' dependents. Widows, widowers, and their dependent children may be eligible for Social Security survivors' benefits. You can learn more about Social Security survivors' benefits at www.socialsecurity.gov/survivors. It's also important to recognize those service members who are still with us, especially those who have been wounded. Just as they served us, we have the obligation to serve them. Social Security has benefits to protect veterans when an injury prevents them from returning to active duty. Wounded military service members can also receive expedited processing of their disability claims. For example, Social Security will provide expedited processing of disability claims filed by veterans who have a U.S. Department of Veterans Affairs (VA) Compensation rating of 100 percent Permanent & Total (P&T). Depending on the situation, some family members of military personnel, including dependent children and, in some cases, spouses, may be eligible to receive benefits. You can get answers to commonly asked questions and find useful information about the application process at www.socialsecurity.gov/woundedwarriors. Service members can also receive Social Security in addition to military retirement benefits. The good news is that your military retirement benefit does not reduce your Social Security retirement benefit. Learn more about Social Security retirement benefits at www.socialsecurity.gov/retirement. You may also want to visit the Military Service page of our Retirement Planner, available at www.socialsecurity.gov/retire2/veterans.htm. Service members are also eligible for Medicare at age 65. If you have health insurance from the VA or under the TRICARE or CHAMPVA programs, your health benefits may change, or end, when you become eligible for Medicare. Learn more about Medicare benefits at www.socialsecurity.gov/medicare. In acknowledgment of those who died for our country, those who served, and those who serve today, we at Social Security honor and thank you. WHAT IS FICA? By Bob Trotter Social Security Public Affairs Specialist in Milwaukee, WI Receiving your first paycheck is an empowering milestone. Do you remember being a little shocked by the taxes that Uncle Sam takes out of each paycheck? Understanding how important your contribution is takes some of the sting away because your taxes are helping millions of Americans — and financially securing your today and tomorrow. By law, employers must withhold Social Security taxes from workers' paychecks. While usually referred to as “Social Security taxes” on an employee’s pay statement, sometimes the deduction is labeled as "FICA." This stands for Federal Insurance Contributions Act, a reference to the original Social Security Act. In some cases, you will see “OASDI,” which stands for Old Age Survivors Disability Insurance, the official name for the Social Security Insurance program. The taxes you pay now mean a lifetime of protection — for retirement in old age or in the event of disability. And when you die, your family (or future family) may be able to receive survivors benefits based on your work as well. Right now you probably have family members — grandparents, for example — who already are enjoying Social Security benefits that your Social Security taxes help provide. Social Security is solvent now and will be through 2033. At that point, we'll be able to fund retirement benefits at 75 percent unless changes are made to the law. In the past, Social Security has evolved to meet the needs of a changing population — and you can count on Social security in the future. Because you're a long way from retirement, you may have a tough time seeing the value of benefit payments that could be many decades in the future. But keep in mind that the Social Security taxes you're paying can provide valuable disability or survivors benefits in the event the unexpected happens. Studies show that of today's 20-year-olds, about one in four will become disabled, and about one in eight will die, before reaching retirement. Be warned: if an employer offers to unlawfully pay you "under the table," you should refuse. They may try to sell it as a benefit to you since you get a few extra dollars in your net pay. But you're really only allowing the employer to deprive you from earning your Social Security credits. This could keep you from qualifying for any benefits, or result in you receiving less than you should. Also, don't carry your Social Security card around with you. It's an important document you should safeguard and protect. If it's lost or stolen, it could fall into the hands of an identity thief. Check out our webinar, "Social Security 101: What's in it for me?" The webinar explains what you need to know about Social Security. You can find it at http://go.usa.gov/cdNeY. If you'd like to learn a little more about Social Security and exactly what you're earning for yourself by paying Social Security taxes, take a look at our online booklet, How You Earn Credits, at www.socialsecurity.gov/pubs/10072.html. You can also learn more at www.socialsecurity.gov. GIVE AN INVALUABLE GIFT THIS MOTHER'S DAY By Bob Trotter Social Security Public Affairs Specialist in Milwaukee, WI Are you struggling to find that perfect gift for Mom this Mother's Day? Like most Americans, her schedule is busy and she might not get to spend as much time with loved ones as she would like. So, in addition to giving her flowers or a gift certificate, give her a gift she'll really appreciate — the chance to spend more time with the ones she loves! Mom can never start planning for retirement too early. If she isn't already retired, she can view her Social Security Statement, verify her earnings records, and find out what benefits she can expect to receive at age 62, her full retirement age, or at age 70. Next time you spend time with your mom, help her quickly and easily sign up for a free, online my Social Security account. You can do it from home, which means less time waiting in line and more time doing the things you want to do together. Signing up for a my Social Security account will give Mom (and Dad) the tools she needs to stay on top of her future Social Security benefits. When she signs up at www.socialsecurity.gov/myaccount , she can do a number of things. First and foremost, she can plan for her retirement. In some states, she can even request a replacement Social Security card online using my Social Security. Currently available in the District of Columbia, Iowa, Kentucky, Michigan, Nebraska, New Mexico, Washington, and Wisconsin, it's an easy, convenient, and secure way to request a replacement card online. We plan to add more states, so we encourage you to check back regularly at www.socialsecurity.gov/ssnumber. The time saved by using our convenient and secure online services is priceless. Helping Mom sign up for a my Social Security account at www.socialsecurity.gov/myaccount is a great, personalized gift that shows you really care! NEWS FOR SAME-SEX COUPLES ABOUT SOCIAL SECURITY By Bob Trotter Social Security Public Affairs Specialist in Milwaukee, WI Last year, the Supreme Court issued a decision in Obergefell v. Hodges, holding that same-sex couples have a constitutional right to marry in all states. As a result, Social Security recognizes more same-sex couples as married for purposes of determining entitlement to Social Security benefits or eligibility for Supplemental Security Income (SSI) payments. We recently updated instructions for employees to process claims and appeals when a determination of marital status is necessary. As part of the new instructions, we have: - Removed from our policy any mention or consideration of the dates when states first recognized same-sex marriages from other states. These dates are no longer relevant. - Added the dates when some foreign jurisdictions allowed same-sex marriage, thereby eliminating the need for a case-specific legal review in many foreign same sex marriage claims. - Updated and simplified our procedures for processing claims involving a transgendered or intersex person, allowing these individuals to self-identify as members of a same or opposite-sex marriage. - Streamlined and clarified the policy instructions, addressing questions raised by advocates and employees. We encourage anyone who believes they may be eligible for benefits to apply now. Learn more at www.socialsecurity.gov/same-sexcouples. SOCIAL SECURITY, A SUPER HERO TO MANY AMERICANS By Bob Trotter Social Security Public Affairs Specialist in Milwaukee, WI Summer movie season is about to start, and that means your favorite blockbuster heroes are about to do battle. Captain America is back to defend the country. The X-Men are joining forces to stop an impending apocalypse. And there will be another Independence Day movie, where the world narrowly escapes total annihilation — again! In a lot of ways, Social Security is a super hero to millions of Americans. Like Captain America, we come to the rescue when disability strikes. One in four of today's 20-year-olds will become disabled before they retire. You can learn more about people with disabilities and how we help them at www.socialsecurity.gov/disabilityfacts. You might not have been born with uncanny superpowers like the X-Men, but you were born with the right to earn retirement and disability benefits. Social Security is a lifeline for most retirees, keeping tens of millions out of poverty. Fifty-one percent of the workforce has no private pension coverage. Thirty-four percent of the workforce has no savings set aside specifically for retirement. You can learn more about the benefits you might be entitled to and about retiring online at www.socialsecurity.gov/retire. You can also have your own Independence Day when you sign up for my Social Security. Go it alone with a personal, secure, my Social Security account. Use it to: - Keep track of your earnings and verify them every year; - Apply for a replacement Social Security card in certain areas; - Get an estimate of your future benefits, if you are still working; - Get a letter with proof of your benefits, if you currently receive them; and - Manage your benefits: o Change your address; o Start or change your direct deposit; o Request a replacement Medicare card; and o Get a replacement SSA-1099 or SSA-1042S for tax season. You'll feel like you have superhuman powers when you do any of these things online at www.socialsecurity.gov/myaccount. Now you know how you can create a blockbuster retirement with our many online services. You don't even need a Bat-computer; any computer will do. Visit our not-so-secret headquarters at www.socialsecurity.gov. QUESTIONS AND ANSWERS GENERAL Question: I received a notice from Social Security recently. It said my name and Social Security number do not match Social Security's records. What should I do? Answer: It's critical that your name and Social Security number, as shown on your Social Security card, match your employer's payroll records and your W-2 form. If they don't, here is what you need to do: - Give your employer the correct information exactly as shown on your Social Security card or your corrected card; or Contact your local Social Security office (www.socialsecurity.gov/locator) or call 1-800- 772-1213 (TTY 1-800-325-0778) if your Social Security card does not show your correct name or Social Security number. For more information, visit our website at www.socialsecurity.gov. Question: How do I report a lost Social Security card? - Answer: You don't have to report a lost Social Security card. In fact, reporting a lost or stolen card to Social Security won't prevent misuse of your Social Security number. You should let us know if someone is using your number to work (call 1-800-772-1213; TTY 1-800-325-0778). If you think someone is using your number, there are several other actions you should take: - Contact the Federal Trade Commission online at www.ftc.gov/bcdp/edu/microsites/idtheft or call 1-877-ID-THEFT (1-877-438-4338); - File an online complaint with the Internet Crime Complaint Center at www.ic3.gov; - Contact the IRS Identity Protection Specialized Unit by calling 1-800-908-4490, Monday – Friday, 8 a.m. – 8 p.m.; and - Monitor your credit report. RETIREMENT Question: What is the benefit amount a spouse may be entitled to receive? Answer: If you're eligible for both your own retirement benefit and for benefits as a spouse, we will always pay you benefits based on your record first. If your benefit as a spouse is higher than your retirement benefit, you will receive a combination of benefits equaling the higher spouse's benefits. A spouse generally receives 50 percent of the retired worker's full benefit, unless the spouse begins collecting benefits before full retirement age. If the spouse begins collecting benefits before full retirement age, the amount of the spouse's benefit is reduced by a percentage based on the number of months before he or she reaches full retirement age. For example, based on a full retirement age of 66, if a spouse begins collecting benefits: - At age 65, the benefit amount would be about 46 percent of the retired worker's full benefit; - At age 64, it would be about 42 percent; - At age 63, 37.5 percent; and - At age 62, 35 percent. However, if a spouse is taking care of a child who is either under age 16 or disabled and receives Social Security benefits on the same record, a spouse will get full benefits, regardless of age. Learn more by reading our Retirement publication at www.socialsecurity.gov/pubs/10035.html. Question: I work in retirement. How much can I earn and still collect full Social Security retirement benefits? Answer: Social Security uses the formulas below, depending on your age, to determine how much you can earn before we must reduce your benefit: - If you are younger than full retirement age: $1 in benefits will be deducted for each $2 you earn above the annual limit. For 2016, that limit is $15,720. - In the year you reach your full retirement age: $1 in benefits will be deducted for each $3 you earn above a different limit, but we count only earnings before the month you reach full retirement age. For 2016, this limit is $41,880. - Starting with the month you reach full retirement age: you will get your benefits with no limit on your earnings. Find out your full retirement age at www.socialsecurity.gov/pubs/ageincrease.htm. DISABILITY Question: My brother had an accident at work last year and is now receiving Social Security disability benefits. His wife and son also receive benefits. Before his accident, he helped support another daughter by a woman he never married. Is the second child entitled to benefits? Answer: The child may qualify for Social Security benefits even though your brother wasn't married to the second child's mother. The child's caretaker should file an application on her behalf. For more information, read our publication, Benefits for Children, available at. www.socialsecurity.gov/pubs/EN-05-10085.pdf Question: I was wounded while on military service overseas. What are the benefits for wounded warriors, and how can I apply? Answer: Through the Wounded Warrior program, Social Security expedites processing of disability claims of current military service members or veterans disabled while on active duty on or after October 1, 2001. Also, service members and veterans who have a Veterans Administration compensation rating of 100% Permanent and Total (P&T) may receive expedited processing of applications for Social Security disability benefits. Keep in mind, this expedited process applies to only the application process. To be eligible for benefits, you must meet Social Security's strict definition of "disability," which means: - You must be unable to do substantial work because of your medical condition(s); and - Your medical condition(s) must have lasted, or be expected to last, at least one year or to result in death. You can apply online at www.socialsecurity.gov/applyfordisability or call our toll-free number, 1-800-772-1213 (TTY 1-800-325-0778). You can find more information for veterans at www.socialsecurity.gov/people/veterans. SUPPLEMENTAL SECURITY INCOME Question: What are the limits on what I can own to be eligible for Supplemental Security Income (SSI)? Answer: SSI provides payments for people with limited income and resources. We count real estate, bank accounts, cash, stocks, and bonds toward the limits on what you can own and still receive SSI. You may be able to get SSI if your resources are worth no more than $2,000. A couple may be able to get SSI if they have resources worth no more than $3,000. If you own property you are trying to sell, you may be able to get SSI while trying to sell it. Social Security does not count everything you own in deciding whether you have too many resources to qualify for SSI. For example, we generally do not count: the home you live in and the land it is on; life insurance policies with a face value of $1,500 or less; your car; burial plots for you and your immediate family; and up to $1,500 in burial funds for you and up to $1,500 in burial funds for your spouse. Learn more about SSI at www.socialsecurity.gov/ssi . Question: I am a single mother and I get Supplemental Security Income (SSI). Can my daughter receive SSI benefits based on my SSI? Answer: No. SSI benefits are based on the needs of the individual and are paid only to the qualifying person. There are no spouse's, children's, or survivors benefits. However, if your daughter is disabled, she might be eligible to receive SSI benefits. To learn more about SSI benefits, read our publication on the subject at www.socialsecurity.gov/pubs/11000.html. MEDICARE Question: How do I get a copy of the form, Application for Help with Medicare Prescription Drug Plan Costs? Answer: If you wish to apply for Extra Help with Medicare prescription drug plan costs, we recommend you use our online application at www.socialsecurity.gov/i1020/. Meanwhile, you can view a sample at www.socialsecurity.gov/prescriptionhelp . There, you can also find instruction sheets in many different languages to help you understand the English application. Soon, the online application also will be available in Spanish. If you prefer not to fill out this application on the Internet, you can call our toll-free number, 1800-772-1213, to ask for a paper application. Also, you can make an appointment at your local Social Security office to apply for Extra Help with Medicare prescription drug plan costs. If you are deaf or hard of hearing, call our toll-free TTY number, 1-800-325-0778. Representatives are available Monday through Friday from 7 a.m. to 7 p.m. Question: If I call 1-800-772-1213, can a Social Security representative take my application for Medicare prescription drug help over the phone? Answer: If an interviewer is available when you call the 800 number, he or she can take your application over the phone. If an interviewer is not immediately available, we can schedule a telephone appointment for you. For the fastest and most convenient way to apply for Medicare prescription drug help, go online to www.socialsecurity.gov/prescriptionhelp.
Product Retirement Notice PRN #[092016-003] September 30, 2016 Joerns Healthcare Announces End of Life Plan for BioClinic Foam Matt This notice serves as formal communication of Joerns Healthcare, Inc.'s intent to initiate the Limited Retirement Mode (LRM) notification for the following products and all related configurations and packages. Limited Retirement Mode (LRM) is a statement by the company that it will no longer manufacture or develop enhancements for these products. Depending on inventory, technical capability, and customer demand Joerns will continue to offer support agreements on products in LRM. LRM is a discretionary phase in the product lifecycle process. The following product(s) are affected: - Select BioClinic Elite, Deluxe, Basic, Imprint, BodyWrap, & DermaTech Mattresses This retirement notice attempts to identify all SKUs affected by the discontinuation of the BioClinic Foam Matt series. It is possible that some part numbers were missed in the list provided. Joerns reserves the right to include omitted SKUs if they are related to the products listed above, even if the SKU is not specifically listed in the notice. Those omitted SKUs are subject to the terms specified within this document. If you are unsure of a specific SKU, please contact your Joerns representative for clarification. Products: \| \| Product Name \| \| SKU \| Description \| \|---\|---\|---\|---\|---\| \| BioClinic DermaTech Mattress \| \| DTF3576NS \| \| \| \| BioClinic DermaTech Mattress \| \| DTF3576NSBA \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3576NZ \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3576NZBA \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3576SZBA \| \| \| \| BioClinic DermaTech Mattress \| \| 550101 \| \| \| \| BioClinic DermaTech Mattress \| \| DTF3580NS \| \| \| \| BioClinic DermaTech Mattress \| \| DTF3580NSBA \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3580NZ \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3580NZBA \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3580SZ \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3580SZBA \| \| \| \| BioClinic DermaTech Mattress \| \| DTS3580NZ \| \| \| \| BioClinic DermaTech Mattress \| \| BBS3580NZBA \| \| \| \| BioClinic DermaTech Mattress \| \| BBS3580NZ \| \| \| \| BioClinic DermaTech Mattress \| \| 550108 \| \| \| \| BioClinic DermaTech Mattress \| \| DTF3584NS \| \| \| \| BioClinic DermaTech Mattress \| \| BBP3584NZ \| \| \| \| BioClinic DermaTech Mattress \| \| DTF3680NS \| \| \| \| BioClinic DermaTech Mattress \| \| DTS3680NZ \| \| \| \| BioClinic DermaTech Mattress \| \| DTS3680NZBA \| \| \| \| BioClinic DermaTech Mattress \| \| DTF3684NS \| \| \| \| BioClinic DermaTech Mattress \| \| DTF3780NSBA \| \| \| \| BioClinic BodyWrap Mattress \| \| BDP3576NZBA \| \| \| \| BioClinic BodyWrap Mattress \| \| BWP3580NS \| \| \| \| BioClinic BodyWrap Mattress \| \| BWP3580NZ \| \| \| BioClinic BodyWrap Mattress BDP3580NZ BIOCLINIC DELUXE 35X80 MATT; NYL BioClinic BodyWrap Mattress BDP3580NZBA BIOCLINIC DELUXE 35X80 MATT; NYL; W/ F \| BioClinic BodyWrap Mattress \| BDP3580SZ \| BIOCLINIC DELUXE 35X80 MATT; STR \| \|---\|---\|---\| \| BioClinic BodyWrap Mattress \| BDP3580SZBA \| BIOCLINIC DELUXE 35X80X6 STRETCH FB \| \| BioClinic BodyWrap Mattress \| BDS3580NZ \| BIOCLINIC DELUXE 35X80 W/ SW; NYL \| \| BioClinic BodyWrap Mattress \| BWP3580NZ \| BODYWRAP PLUS 35 X 80 \| \| BioClinic BodyWrap Mattress \| BDP3584NZBA \| BIOCLINIC DELUXE 35X84 MATT; NYL; W/ F \| \| BioClinic BodyWrap Mattress \| BDP3584SZBA \| BIOCLINIC DELUXE 35X84X6 STRETCH FB \| \| BioClinic BodyWrap Mattress \| BWP3680SZ \| BODY WRAP PLUS,36X80.5,STRETCH \| \| BioClinic BodyWrap Mattress \| BWS3680NZ \| BODY WRAP PLUS SW,36X80.5,NYL \| \| BioClinic BodyWrap Mattress \| BDP3980NZ \| BIOCLINIC DELUXE 39X80 MATT; NYL \| \| BioClinic BodyWrap Mattress \| BDP3980SZBA \| BIOCLINIC DELUXE 39X80 MATT; STR; W/ F \| \| BioClinic BodyWrap Mattress \| BDP3984NZBA \| BIOCLINIC DELUXE 39X84 MATT; NYL; W/ F \| \| BioClinic BodyWrap Mattress \| BDP4276NZBA \| BIOCLINIC DELUXE 42X76 MATT; NYL; W/ F \| \| BioClinic BodyWrap Mattress \| BDP4280NZ \| BIOCLINIC DELUXE 42X80 MATT; NYL \| \| BioClinic BodyWrap Mattress \| BDP4280NZBA \| BIOCLINIC DELUXE 42X80 MATT; NYL; W/ F \| \| BioClinic BodyWrap Mattress \| BDP4280SZ \| BIOCLINIC DELUXE 42X80 MATT; STR \| \| BioClinic BodyWrap Mattress \| BDP4280SZBA \| BIOCLINIC DELUXE 42X80 MATT; STR; W/ F \| \| BioClinic BodyWrap Mattress \| BDP4284NZBA \| BIOCLINIC DELUXE 42X84 MATT; NYL; W/ F \| \| BioClinic Imprint Mattress \| IMF3576NZ \| IMPRINT MATT,35 X 76 X 6 \| \| BioClinic Imprint Mattress \| BEP3576NZBA \| BIOCLINIC ELITE 35X76 MATT; NYL; W/ FB \| \| BioClinic Imprint Mattress \| IMF3580NZ \| IMPRINT MATT,35 X 80 X 6 \| \| BioClinic Imprint Mattress \| IMF3580NZBA \| IMPRINT MATT,35X80X6,FIRE BAR \| \| BioClinic Imprint Mattress \| BEP3580NZ \| BIOCLINIC ELITE 35X80 MATT; NYL \| \| BioClinic Imprint Mattress \| BEP3580NZBA \| BIOCLINIC ELITE 35X80 MATT; NYL; W/ FB \| \| BioClinic Imprint Mattress \| BEP3580SZ \| BIOCLINIC ELITE 35X80 MATT; STR \| \| BioClinic Imprint Mattress \| BEP3580SZBA \| BIOCLINIC ELITE 35X80X6.5 STRETCH FB \| \| BioClinic Imprint Mattress \| IMP3580NSBA \| IMPRINT PERIMETER,35X80, NYL, SEWN, W/FB \| \| BioClinic Imprint Mattress \| IMS3580NZ \| IMPRINT PERI SW,35X80,NYLON \| \| BioClinic Imprint Mattress \| IMS3580NZBA \| IMPRINT PERI SW,35X80,FIRE BAR \| \| BioClinic Imprint Mattress \| BES3580NZBA \| BIOCLINIC ELITE 35X80 W/ SW; NYL; W/ F \| \| BioClinic Imprint Mattress \| IMF3580NS \| IMPRINT MATT35X80X6NYLSEW \| \| BioClinic Imprint Mattress \| IMF3584NZ \| IMPRINT MATT,35 X 84 X 6 \| \| BioClinic Imprint Mattress \| BEP3584NZ \| BIOCLINIC ELITE 35X84 MATT; NYL \| \| BioClinic Imprint Mattress \| BEP3584NZBA \| BIOCLINIC ELITE 35X84 MATT; NYL; W/ FB \| \| BioClinic Imprint Mattress \| IMF3584NS \| IMPRINT MATT35X84X6NYLSEW \| \| BioClinic Imprint Mattress \| IMP3676NZ \| IMPRINT PERI,36X76.5,NYLON \| \| BioClinic Imprint Mattress \| IMF3680NZ \| IMPRINT MATT,36X80.5,NYLON \| \| BioClinic Imprint Mattress \| IMF3680NZBA \| IMPRINT MATT,36X80.5,FIRE BARR \| \| BioClinic Imprint Mattress \| IMF3780NZ \| IMPRINT MATT,36.25X82,NYLON \| \| BioClinic Imprint Mattress \| IMF3680NS \| IMPRINT MATT36X80.5 NYLON SEWN \| \| BioClinic Imprint Mattress \| BEP3980NZBA \| BIOCLINIC ELITE 39X80 MATT; NYL; W/ FB \| \| BioClinic Imprint Mattress \| BEP4280NZ \| BIOCLINIC ELITE 42X80 MATT; NYL \| \| BioClinic Imprint Mattress \| BEP4280SZ \| BIOCLINIC ELITE 42X80 MATT; STR \| \|---\|---\|---\| \| BioClinic Imprint Mattress \| BEP4280SZBA \| BIOCLINIC ELITE 42X80 MATT; STR; W/ FB \| \| BioClinic Imprint Mattress \| BES4280NZBA \| BIOCLINIC ELITE 42X80 W/ SW; NYL; W/ F \| Impacted SKU's and Recommended Replacement Products: \| \| Current SKU \| \| New SKU \| Product Description \| \|---\|---\|---\|---\|---\| \| DTF3576NS \| \| DTF3576NZBA \| \| \| \| DTF3576NSBA \| \| DTF3576NZBA \| \| \| \| BBP3576NZ \| \| DTF3576NZBA \| \| \| \| BBP3576NZBA \| \| DTF3576NZBA \| \| \| \| BBP3576SZBA \| \| DTF3576NZBA \| \| \| \| 550101 \| \| DTF3580NZBA \| \| \| \| DTF3580NS \| \| DTF3580NZBA \| \| \| \| DTF3580NSBA \| \| DTF3580NZBA \| \| \| \| BBP3580NZ \| \| DTF3580NZBA \| \| \| \| BBP3580NZBA \| \| DTF3580NZBA \| \| \| \| BBP3580SZ \| \| DTF3580NZBA \| \| \| \| BBP3580SZBA \| \| DTF3580NZBA \| \| \| \| DTS3580NZ \| \| DTS3580NZBA \| \| \| \| BBS3580NZBA \| \| DTS3580NZBA \| \| \| \| BBS3580NZ \| \| DTS3580NZBA \| \| \| \| 550108 \| \| DTF3584NZBA \| \| \| \| DTF3584NS \| \| DTF3584NZBA \| \| \| \| BBP3584NZ \| \| DTF3584NZBA \| \| \| \| DTF3680NS \| \| DTF3680NZBA \| \| \| \| DTS3680NZ \| \| DTS3680NZBA \| \| \| \| DTS3680NZBA \| \| DTS3680NZBA \| \| \| \| DTF3684NS \| \| DTF3684NZBA \| \| \| \| DTF3780NSBA \| \| DTF3684NZBA \| \| \| \| BDP3576NZBA \| \| BWP3576NZBA \| \| \| \| BWP3580NS \| \| BWP3580NZBA \| \| \| \| BWP3580NZ \| \| BWP3580NZBA \| \| \| \| BDP3580NZ \| \| BWP3580NZBA \| \| \| \| BDP3580NZBA \| \| BWP3580NZBA \| \| \| \| BDP3580SZ \| \| BWP3580NZBA \| \| \| \| BDP3580SZBA \| \| BWP3580NZBA \| \| \| \| BDS3580NZ \| \| BWS3580NZBA \| \| \| \| BWP3580NZ \| \| BWP3584NZBA \| \| \| \| BDP3584NZBA \| \| BWP3584NZBA \| \| \| \| BDP3584SZBA \| \| BWP3584NZBA \| \| \| \| BWP3680SZ \| \| BWP3680NZBA \| \| \| \| BWS3680NZ \| \| BWS3680NZBA \| \| \| \| BDP3980NZ \| \| BWP3980NZBA \| \| \| \| BDP3980SZBA \| \| BWP3980NZBA \| \| \| \| BDP3984NZBA \| BWP3980NZBA \| \|---\|---\| \| BDP4276NZBA \| BWP4276NZBA \| \| BDP4280NZ \| BWP4280NZBA \| \| BDP4280NZBA \| BWP4280NZBA \| \| BDP4280SZ \| BWP4280NZBA \| \| BDP4280SZBA \| BWP4280NZBA \| \| BDP4284NZBA \| BWP4284NZBA \| \| IMF3576NZ \| IMP3576SZBA \| \| BEP3576NZBA \| IMP3576SZBA \| \| IMF3580NZ \| IMP3580SZBA \| \| IMF3580NZBA \| IMP3580SZBA \| \| BEP3580NZ \| IMP3580SZBA \| \| BEP3580NZBA \| IMP3580SZBA \| \| BEP3580SZ \| IMP3580SZBA \| \| BEP3580SZBA \| IMP3580SZBA \| \| IMP3580NSBA \| IMS3580SZBA \| \| IMS3580NZ \| IMS3580SZBA \| \| IMS3580NZBA \| IMS3580SZBA \| \| BES3580NZBA \| IMS3580SZBA \| \| IMF3580NS \| IMP3580NS \| \| IMF3584NZ \| IMP3584SZBA \| \| BEP3584NZ \| IMP3584SZBA \| \| BEP3584NZBA \| IMP3584SZBA \| \| IMF3584NS \| IMP3584SNS \| \| IMP3676NZ \| IMS3676SZBA \| \| IMF3680NZ \| IMP3680SZBA \| \| IMF3680NZBA \| IMP3680SZBA \| \| IMF3780NZ \| IMP3680SZBA \| \| IMF3680NS \| IMP3680NS \| \| BEP3980NZBA \| IMP3980SZBA \| \| BEP4280NZ \| IMP4280SZBA \| \| BEP4280NZBA \| IMP4280SZBA \| \| BEP4280SZ \| IMP4280SZBA \| \| BEP4280SZBA \| IMP4280SZBA \| \| BES4280NZBA \| IMS4280SZBA \| *Contact your Joerns representative to discuss replacement options that would best fit your requirements. Regions Affected: ☐ Asia Pacific (AP) ☐ Europe, Middle East, Africa (EMEA) ☐ Latin America (LA) North America (NA) Channels Affected: Acute (AC) Veterans Affairs (VA) Post Acute (PA) Home Care (HC) Reason for Retirement: In order to better serve our customers and meet their needs in a timely manner, a portfolio consolidation and product upgrade is necessary within the BioClinic Foam Mattress Portfolio. Select configurations will be added to better meet the needs of patients and caregivers alike. The upgraded mattresses provide superior performance to existing BioClinic mattresses and will help drive clinic outcomes for our customers. Discontinued products have designated migration suggestions where applicable. Additionally, unnecessary flame retardant chemicals have been eliminated and replaced with plant-based raw materials along with a fire sock in order to provide a purer material with improved durability for customers. Timeline of Events: Service and Warranty: Joerns will maintain our commitment to our customers by supporting and servicing discontinued product at all domestic service centers throughout the life of all warranties in place, as long as the required parts are commercially available. Service parts will remain in inventory for seven years after the final sale date of discontinued products when an end of service announcement is released. Contact: Joerns Healthcare is committed to providing you with a superior level of customer service. Please contact your Joerns representative for additional information regarding this communication. All official End of Life notifications and phase information is posted on the support area of our website at: http://www.joerns.com.
PROFESSOR OF MEDICINE EMORY UNIVERSITY MEDICAL CENTER ATLANTA, GA Alan L. Plummer, MD was born in Ogallala, Nebraska in 1940. He received his undergraduate degree from the University of Nebraska and earned his MD (1966) from Northwestern University. He spent his internship at Passavant Memorial Hospital at Northwestern, and his residency and Fellowship in Pulmonary Diseases and Critical Care at the Mayo Clinic. Dr. Plummer moved to Emory in the fall of 1971 and is currently a Professor of Medicine at the Emory University School of Medicine. He has served as The Emory Clinic Section Chief for Pulmonary, Allergy and Critical Care and has served as the Director of the Emory University Division of Pulmonary, Allergy and Critical Care. He is the Medical Director of the Respiratory Care Department at Emory University Hospital, the Medical Director of the Pulmonary Function Laboratory of The Emory Clinic and is the Associate Medical Director of the Emory University Hospital Pulmonary Function Laboratory. Dr. Plummer participated in all three phases of the HSIAO studies to develop the RBRVS payment system. He is the RUC Advisor for the ATS and has served as a RUC member and as an Alternate RUC committee member for the Pulmonary Community. He was a Consulting Editor for the Pulmonary Coding Alert and is the Editor of the ATS Coding and Billing Quarterly. He also has served as President of NAMDRC, is active in NAMDRC affairs and is still active in a number of state and national medical organizations. He greatly enjoys his fantastic, wonderful eleven grandchildren and looks forward to spending quality time with each one. He also enjoys golf, boating, exercise, yoga, reading, and traveling with his marvelous wife, Ginny. OBJECTIVES: Participants should be better able to: 1. Become more familiar with the new diagnostic coding system, ICD-10-CM. 2. Learn how to code using ICD-10 in the ICU. 3. Learn how and why documentation is important for coding in the ICU. SATURDAY, MARCH 14, 2015 10:30 AM 1 ICD-10-CM Coding in the ICU NAMDRC Annual Meeting March 14, 2015 Alan L. Plummer, MD, FCCP Professor of Medicine Pulmonary, Allergy, Critical Care & Sleep Division Emory University School of Medicine DISCLOSURE Dr. Plummer has declared no conflicts of interest related to the content of his presentation. Disclaimer Professor of Medicine, Emory University School of Medicine Editor, ATS Coding & Billing Quarterly ATS RUC Advisor Opinions rendered are my own. No warranty or guarantee of fitness is made or implied. Keys to Successful Coding & Billing Documentation + Proper Coding = Successful Billing Question One On which date will ICD-10-CM have to be used? 1. July 1, 2015 2. October 1, 2015 3. January 1, 2016 4. October 1, 2016 Question One On which date will ICD-10-CM have to be used? 1. July 1, 2015 2. October 1, 2015 3. January 1, 2016 4. October 1, 2016 1. 2. 3. 4. ICD-10-CM * ICD-10 developed by WHO in 1989 & released in 1994. * US implemented it for mortality reporting on January 1, 1999. * NCHS developed the US clinical modification for diagnosis: ICD-10-CM. * CMS developed a procedure code set: ICD-10PCS (Hospital coding only). ICD-10-CM * October 1, 2015 all MDs will have to use it. * ICD-9-CM will cease to exist at midnight 9/30/2015. * October 1, 2011 upgrade for ICD-9-CM was the last revision for ICD-9-CM. * No ICD-9-CM coding changes planned for 2015. * ICD-10-CM will be used in all clinical settings: inpatient and outpatient. ICD-10-CM * AMA has been able to delay ICD-10 three times since 2009 & is still trying to delay it. * CMS is adamantly against another delay. * Hospitals and other vendors want ICD-10. * There is a bill before Congress to delay ICD-10CM until 2017. * Currently this bill is not picking up any steam for passage, but SGR resolution has to be finished by March 31, 2015. ICD-10-CM Benefits * Flexible: can quickly incorporate emerging diagnoses. * More specificity for precise diagnosis. * Improved ability to measure health care services. * Supports improved public health surveillance. * Reflects advances in medicine & medical technology. * Uses current medical terminology. ICD-10-CM Use in Other Countries * No procedure code set. * Government funding helped pay for implementation. * Not used for reimbursement. * Went from no coding standard to ICD-10. * Implemented for inpatient facilities only. * Rolled out in phases across each country. * Less codes than US CM modification. ICD-10-CM Implementation Steps * Step 1: Conduct impact analysis * Step 2: Contact your software vendors * Step 3: Contact your billing service * Step 4 : Contact your payers * Step 5: Undergo installation of system upgrades * Step 6: Conduct internal testing * Step 7: Update internal processes * Step 8: Conduct staff training * Step 9: Conduct external testing w trading partners * Step 10: Make the switch to ICD-10-CM ICD-10-CM Implementation Steps * To ensure a smooth transition from ICD-9 to ICD-10, steps for implementation should be well underway. * You have 6 months before 10/01/2015. * A team to facilitate the implementation should be in place and functioning. * By now, the team should have started or completed Steps 1-5. ICD-10-CM Implementation Steps * Step 1: Conduct impact analysis * Step 2: Contact your software vendors * Step 3: Contact your billing service * Step 4: Contact your payers * Step 5: Undergo installation of system upgrades * Step 6: Conduct internal testing * Step 7: Update internal processes * Step 8: Conduct staff training * Step 9: Conduct external testing w trading partners * Step 10: Make the switch to ICD-10-CM ICD-10-Implementation Steps * Coders should already be in training for the use of ICD-10-CM. * Coder training should be finished by 8/01. * ICD awareness campaign should begin in AprilMay 2015. * Specialty-specific training should start by April 1, 2015. * MD, provider training should start by 8/01. ICD-10-CM Implementation Steps * By August 1 st Steps 1-9 should be finished * External testing with trading partners and vendors should be thorough & completed well before 8/01. * Master billing sheets for each specialty should be finished by 8/01. * The focus should be on MDs and other providers training during August and Sept. ICD-10-CM Implementation Steps * Step 1: Conduct impact analysis * Step 2: Contact your software vendors * Step 3: Contact your billing service * Step 4: Contact your payers * Step 5: Undergo installation of system upgrades * Step 6: Conduct internal testing * Step 7: Update internal processes * Step 8: Conduct staff training * Step 9: Conduct external testing w trading partners * Step 10: Make the switch to ICD-10-CM Question Two All of the following will help a smooth transition from ICD-9 to ICD-10 except: 1. Well-organized plan for implementation. 2. Implementation completed by 8/01 except for MD & other provider training. 3. Coder training. 4. Start MD & provider training on 9/01. 5. Have Master Bill completed by 8/01. Question Two All of the following will help a smooth transition from ICD-9 to ICD-10 except: 1. Well-organized plan for implementation. 2. Implementation completed by 8/01 except for MD & other provider training. 3. Coder training. 4. Start MD & provider training on 9/01. 5. Have Master Bill completed by 8/01. ICD-10-CM \| ICD-9-CM \| ICD-10-CM \| \|---\|---\| \| 3-5 characters in length \| 3-7 characters in length \| \| ~13,000 codes \| ~68,000 codes \| \| Numeric codes except for E and V codes \| Alphanumeric codes \| \| Limited space for new codes \| Flexible for adding new codes \| \| Lacks detail \| Very specific \| \| Lacks laterality \| Has laterality \| 1. 2. 3. 4. 5. Question Three Which of the following statements is true about ICD-10-CM? 1. It is an update of ICD-9-CM. 2. Has 13,000 codes. 3. Uses alphanumeric codes. 4. Lacks flexibility and specificity. ICD-10-CM \| ICD-9-CM \| ICD-10-CM \| \|---\|---\| \| 3-5 characters in length \| 3-7 characters in length \| \| ~13,000 codes \| ~68,000 codes \| \| Numeric codes except for E and V codes \| Alphanumeric codes \| \| Limited space for new codes \| Flexible for adding new codes \| \| Lacks detail \| Very specific \| \| Lacks laterality \| Has laterality \| Question Three Which of the following statements is true about ICD-10-CM? 1. It is an update of ICD-9-CM. 2. Has 13,000 codes. 3. Uses alphanumeric codes. 4. Lacks flexibility and specificity. Question Three Which of the following statements is true about ICD-10-CM? 1. It is an update of ICD-9-CM. 2. Has 13,000 codes. 3. Uses alphanumeric codes. 4. Lacks flexibility and specificity. 1. 2. 3. 4. ICD-10-CM Cross-Walking with ICD9CM * Forward from ICD-9-CM to ICD-10-CM. * Backward from ICD-10-CM to ICD-9-CM. * No single crosswalk. * NCHS & CMS developed the General Equivalency Mappings (GEMs). * CMS has developed reimbursement maps. ICD-10-CM Cross-Walking * No ability always to have a 1:1 map. between ICD-9-CM and ICD-10-CM. * Mappings can be 1:1, 1:many, many:1, 1:none. * Some concepts changed between ICD-9-CM & ICD-10-CM. * If new concept in ICD-10-CM, can't be mapped to an ICD-9-CM code. ICD-10-CM Cross-Walk Example It is October 1, 2015. You have a patient with proven idiopathic pulmonary fibrosis (516.31) in the ICU. Your new ICD-10-CM book has not arrived yet. You have to use an ICD-10-CM code for billing purposes. What do you do? Final solution: Look up ICD-10-CM on www.cdc.gov/nchs/icd.htm or www.roadto10.org/ and find the code for idiopathic pulmonary fibrosis (J84.112). Easiest solution: Look in 2015 ICD-9-CM book for 516.31 and the cross-walk should be there. ICD-9-CM Respiratory Failure Codes * 518.81 Acute respiratory failure * 518.82 ARDS * 518.83 Acute & chronic respiratory failure * 518.84 Chronic respiratory failure ICD-10-CM Respiratory Failure Codes * J80 ARDS * J96 Respiratory Failure, NEC * J96.0 Acute respiratory failure J96.00 ARF, unspecified whether w hypoxia or hypercapnia J96.01ARF w hypoxia J96.02 ARF w hypercapnia Respiratory Failure Codes * J96.1 Chronic respiratory failure J96.10 CRF, unspecified whether w hypoxia or hypercapnia J96.11CRF w hypoxia J96.12CRF w hypercapnia * J96.2 Acute & chronic respiratory failure J96.20ARF & CRF, unspecified J96.21 ARF & CRF w hypoxia J96.22 ARF & CRF w hypercapnia Respiratory Failure Codes * J96.9 Respiratory failure, unspecified J96.90 RF, unspecified whether w hypoxia or hypercapnia J96.91RF, unspecified w hypoxia J96.92RF, unspecified w hypercapnia Use a 5 character code, if possible. Respiratory Failure Codes * 518.81 ARF will be replaced by 8 new ICD-10CM codes. * 518.82 ARDS will be replaced by J80, ARDS. * 518.83 CRF will be replaced by 4 new ICD-10CM codes. * 518.84 Acute and chronic respiratory failure will be replaced by 4 new codes. * 4 ICD-9-CM respiratory failure codes will be replaced by 17 new ICD-10-CM codes. Respiratory Failure Codes * 518.81 Acute RF will be replaced by: * J96.0 ARF * J96.00 ARF unspec. w hypox, hypercarb * J96.01 ARF with hypoxia * J96.02 ARF with hypercarbia * J96.9 Respiratory failure, unspecified * J96.90 RF, unspec., w hypox, hypercarb * J96.91 RF, unspec., with hypoxia * J96.92 RF, unspec., with hypercarbia Respiratory Failure Codes * 518.83 Chr. resp. failure replaced by: * J96.1 Chronic respiratory failure * J96.10 Chr. resp. failure, unspec. whether w hypoxia or hypercarbia * J96.11 Chr. respiratory failure w hypoxia * J96.12 Chr. respiratory failure w hypercarb * Use a 5 character code when possible Respiratory Failure Codes * 518.84 Acute & chronic respiratory failure replaced by: * J96.2 Acute & chronic respiratory failure * J96.20 A&CRF, unspec., whether w hypoxia or hypercarbia * J96.21 A&CRF w hypoxia * J96.22 A&CRF w hypercarbia * Use a 5 character code when possible Respiratory Failure Coding: Case One A patient with acute bronchitis and a low SpO2 is admitted to the ICU. Which ICD codes would you use? ICD-9-CM: 518.81 (ARF) 466.0 (Acute bronchitis) ICD-10-CM: J96.01 (ARF w hypoxia) J20.9 (Acute bronchitis, unspecified) Respiratory Failure Coding: Case Two A patient with chronic bronchitis and emphysema on LAMA, LABA, ICS, albuterol and long-term O2 therapy is seen in the office for follow-up. Which ICD codes would you use? ICD-9-CM: 518.83 (CRF) 491.20 (Obstructive CB) ICD-10-CM: J96.11 (CRF w hypoxia) J44.9 (COPD, unspecified) Respiratory Failure Coding: Case Three A patient with chronic bronchitis & emphysema with acute bronchitis enters the ICU on 0.24 Ventimask. ABGs in ED: PaO2 54 torr, PaCO2 58, pH 7.33 on air. Which ICD codes would you use? ICD-9-CM: 518.84 A & CRF 491.22 Obs. bronchitis w AB ICD-10-CM: J96.21 A & CRF w hypoxia J96.22 A & CRF w hypercarb. J44 0 COPD w acute bronch Respiratory Failure Codes Following Trauma and Surgery * Currently there are three codes: * 518.51 Acute respiratory failure following trauma and surgery * 518.52 Other pulmonary insufficiency, NEC, following trauma and surgery * 518.53 Acute and chronic respiratory failure following trauma and surgery Respiratory Failure Codes Following Trauma and Surgery * J95.82 Postprocedural respiratory failure * J95.821 Acute postprocedural respiratory failure * J95.822 Acute and chronic postprocedural respiratory failure * J95.88 Other intraoperative compli. of respiratory system, NEC * J95.89 Other postproced. compl. and disorders of respiratory system, NEC Respiratory Failure Coding: Case Four A patient develops respiratory failure following RU Lobectomy for lung cancer and is moved to the ICU. PaO2 53 torr, PaCO2 33 torr, pH 7.36 on air. Which ICD Codes would you use? ICD-9-CM: 518.51 ARF following surgery 162.3 RUL lung cancer ICD-10-CM: J95.1 ARF following T-surg. C34.1 RUL lung cancer New ICU Respiratory Codes * J95.85 Complication of respirator (ventilator). * J95.850 Mechanical complication of respirator (ventilator). * J95.851 Ventilator associated pneumonia (add code for organism, B95.-, B96.-, B97.-). [ICD-9CM 997.31.] * J95.859 Other complication of ventilator Other ICU Respiratory Codes ``` * 518.7 TRALI J95.84 • 491.21 Obs. bronchitis, exacerb. J44.1 • 491.22 Obs. bronchitis, acute br. J44.0 • 492.8 Emphysema J43 Panlobular emphysema J43.1 Centrilobular emphysema J43.2 Other emphysema J43.8 Emphysema, unspecified J43.9 ``` Other ICU Respiratory Codes Other ICU Respiratory Codes * 519.0 Tacheostomy compl. J95.0 * 519.00 Unspec. trach. compl. J95.00 * 519.01 Infection of tracheostomy J95.02 * 519.02 Mech. Compl. of trach J95.03 * 519.09 Other trach complications J95.09 Hemorrhage from trachJ95.01 TE fistula following trachJ95.04 Non-pulmonary ICU Codes Time-Based Codes Critical Care Codes Critical care can occur in outpatient and inpatient venues or in the ICU. Patient must be critically ill: one or more organ systems failing, life threatening. More than one MD can provide critical care to a single patient, but not at the same time. Critical Care Documentation * No documentation guidelines like we have for E/M. * Document all organ failures (heart, kidney, etc.) * Document that patient is critically ill. * Document treatment, procedures, etc. * Document total daily time spent with patient providing critical care. you are doing for the patient. "0800—0835" "Total critical care time: 40 minutes" ICD-10-CM Documentation * Documentation in the chart must support the diagnosis code submitted on the claim. * Higher level of detail in ICD-10-CM for critical care will require more detailed documentation. -Greater detail about patient's condition -More information about initial treatment or follow-up care. -Better documentation of ABGs. Critical Care Time Total Duration of Critical Care Codes Critical Care: 2015 Reimbursement Critical care reimbursement remains virtually the same as in 2014 until March 31, 2015. ICD-10-CM Resources * AMA: www.ama-assn.org/go/ICD-10 * National Center for Health Statistics (NCHS) www.cdc.gov/nchs/icd.htm * CMS: www.roadto10.org/ * American Academy of Professional Coders (AAPC) www.aapc.com * American Health Information Management Association (AHIMA) www.ahima.org * American Hospital Association (AHA) www.aha.org Conclusions * ICD-10-CM begins at 00:00 10/01/2015. * AMA is still trying to delay or eliminate it. * ICD-10-CM is totally different than ICD-9. * ICD-10-CM is alphanumeric and contains 3 to 7 characters. * Plans for implementation of ICD-10-CM should be well underway. * Costs of implementation will be high, but key planning will decrease the costs. Conclusions * ICD-10-CM coding in the ICU will be more complex than ICD-9-CM coding. * 4 ICD-9-CM respiratory failure codes increase to 17 new ICD-10-CM codes. * 3 ICD-9-CM post surgery or trauma codes increase to 5 new ICD-10-CM codes. * 4 new ICD-10-codes addressing ventilator dysfunction have been added. Conclusions * Documentation for ICD-10-CM coding in the ICU will increase. * Documentation of ABGs, all organ failures, treatment strategies, response to therapy will all be enhanced. * Payments for critical care will remain stable in 2015 until March 31, 2015. * New payment schedule starting April 1, 2015, most likely. Questions? ?????????
Date: November 7, 2016 To: Interested Person From: Brandon Rogers, Land Use Services 503-823-7597 / email@example.com NOTICE OF A TYPE Ix DECISION ON A PROPOSAL IN YOUR NEIGHBORHOOD The Bureau of Development Services has approved a proposal in your neighborhood. The mailed copy of this document is only a summary of the decision. The reasons for the decision are included in the version located on the BDS website http://www.portlandonline.com/bds/index.cfm?c=46429. Click on the District Coalition then scroll to the relevant Neighborhood, and case number. If you disagree with the decision, you can appeal. Information on how to do so is included at the end of this decision. CASE FILE NUMBER: LU 15-212386 LDP GENERAL INFORMATION Applicant: Kirsten Van Loo/Vanloo 2 Associates 30495 SW Buckhaven Rd Hillsboro, OR 97123 Owner: Jadee LLC 16869 SW 65th Ave #317 Lake Oswego, OR 97035 Developer: Mac Even/Even Better Homes Po Box 2021 Gresham, OR 97030 Site Address: 522 N IVY ST Legal Description: BLOCK 2 LOT 12, RIVERVIEW SUB Tax Account No.: R710800540 State ID No.: 1N1E27AB 06600 Quarter Section: 2730 Neighborhood: Boise, contact firstname.lastname@example.org Business District: North-Northeast Business Assoc, contact at email@example.com Northeast Coalition of Neighborhoods, contact Zena Rockowitz at 503- 388-5070. District Coalition: Plan District: Albina Community Zoning: Residential 1,000 (R1) with the Alternative Design Density "a" overlay zone Case Type: Land Division Partition (LDP) Procedure: Type Ix, an administrative decision with appeal to the Oregon Land Use Board of Appeals (LUBA). Proposal: The applicant proposes to divide the 4,321 square foot site into three parcels for development of single dwellings. Parcel 1 has access and frontage on N Ivy Street and is proposed to be 1,599 square feet. Parcels 2 and 3 have access and frontage on N Cook Street and are proposed to be 1,150 and 1,152 square feet respectively. The existing house is proposed to be removed. The site contains trees subject to the tree preservation standards of Title 33. Sanitary sewer service for all parcels will be provided from existing sanitary sewer line located in N Ivy Street. Water service will be provided by existing utilities located in N Cook Street and N Ivy Street. Stormwater management will be provided with on-site treatment and disposal to the public stormwater utility located in N Ivy Street. This partition is reviewed through a Type Ix land use review because: (1) the site is in a residential zone; (2) fewer than four lots are proposed; (3) none of the lots, utilities, or services are proposed within a Potential Landslide Hazard or Flood Hazard Area, and; (4) no other concurrent land use reviews (such as an Adjustment, Design Review, or Environmental Review) are requested or required (see 33.660.110). For purposes of State Law, this land division is considered a partition. To partition land is to divide an area or tract of land into two or three parcels within a calendar year (See ORS 92.010). ORS 92.010 defines "parcel" as a single unit of land created by a partition of land. The applicant's proposal is to create 3 units of land. Therefore, this land division is considered a partition. Relevant Approval Criteria: In order to be approved, this proposal must comply with the approval criteria of Title 33. The relevant criteria are found in Section 33.660.120, Approval Criteria for Land Divisions in Open Space and Residential Zones. FACTS Site and Vicinity: The site is developed with a single family residence constructed in 1902. The site gently slopes down to the south west, with an elevation change of four feet. The site is a through lot, with frontages on both N Cook and N Ivy Streets. The surrounding neighborhood is developed with a mix of single dwellings and duplexes. BoiseEliot/Humboldt Elementary School is located at the end of the block, and Boise-Eliot Community Garden is located in close proximity. The site is also located in close proximity to the Fremont Bridge onramp and Legacy Emanuel Hospital. The street grid in the surrounding neighborhood is well developed. Infrastructure: * Streets – The site has approximately 40 feet of frontage on both N Cook and N Ivy Streets. There is one driveway entering the site from N Ivy Street that serves the existing house on the site. At this location both N Ivy and N Cook are classified as Local Service Streets for all modes in the Transportation System Plan (TSP). Tri Met Bus Line #4 is available to serve the site at N Fremont and N Kerby Street. N Cook Street is improved with a 12-ft sidewalk corridor with a 5-5-2 configuration. N Ivy Street is a 15-ft wide ROW improved with a 14-ft roadway with curbs and no sidewalk along the site's frontage. * Water Service – There is an existing 8-inch water main in N Ivy Street and an 8 inch water main in N Cook Street. The existing house is served by a 5/8-inch metered service from this main. * Sanitary Service - There is an 8-inch public combined sewer in N Ivy Street. * Stormwater Disposal – There is no public storm-only sewer currently available to this property, however the sanitary sewer line located in N Ivy Street is a combined sewer utility. * Zoning: Residential 1,000 (R1) with the "a" Alternative Design Density overlay zone. The R1 designation is one of the City's multi-dwelling zones which is intended to create and maintain higher density residential neighborhoods. The zone implements the comprehensive plan policies and designations for multi-dwelling housing. The "a" overlay is intended to allow increased density that meets design compatibility requirements. It fosters owner-occupancy, focuses development on vacant sites, preserves existing housing stock, and encourages new development that is compatible with the surrounding residential neighborhood. This land division is not using any provisions of the "a" overlay. Land Use History: City records indicate there are no prior land use reviews for this site. Agency Review: Several Bureaus have responded to this proposal and relevant comments are addressed under the applicable approval criteria. Exhibits "E" contain the complete responses. Neighborhood Review: A Notice of Proposal in Your Neighborhood was mailed on February 2, 2016. No written responses have been received from the Neighborhood Association or notified property owners in response to the proposal. ZONING CODE APPROVAL CRITERIA APPROVAL CRITERIA FOR LAND DIVISIONS IN OPEN SPACE AND RESIDENTIAL ZONES 33.660.120 The Preliminary Plan for a land division will be approved if the review body finds that the applicant has shown that all of the following approval criteria have been met. Due to the specific location of this site, and the nature of the proposal, some of the criteria are not applicable. The following table summarizes the criteria that are not applicable. Applicable criteria are addressed below the table. \| Criterion \| Code Chapter/Section and Topic \| \|---\|---\| \| C \| 33.631 - Flood Hazard Area \| \| D \| 33.632 - Potential Landslide Hazard Area \| \| E \| 33.633 - Phased Land Division or Staged Final Plat \| \| F \| 33.634 - Recreation Area \| \| I \| 33.639 - Solar Access \| \| J \| 33.640 - Streams, Springs, and Seeps \| \| L \| 33.654.110.B.2 - Dead end streets \| \| \| 33.654.110.B.3 - Pedestrian connections in the I zones \| \| \| 33.654.110.B.4 - Alleys in all zones \| \| \| 33.654.120.C.3.c - Turnarounds \| \| \| 33.654.120.D - Common Greens \| \| 33.654.120.F - Alleys \| \|---\| \| 33.654.120.G - Shared Courts \| \| 33.654.130.B - Existing public dead-end streets and pedestrian connections \| \| 33.654.130.C - Future extension of dead-end streets and pedestrian connections \| \| 33.654.130.D - Partial rights-of-way \| Applicable Approval Criteria are: A. Lots. The standards and approval criteria of Chapters 33.605 through 33.612 must be met. Findings: Chapter 33.612 contains the density and lot dimension requirements applicable in the R3 through IR zones. The applicant is proposing one single family parcel and two parcels for attached, single family homes. Because single-dwelling development is proposed for all of the site, the applicant must demonstrate how the proposed lots meet the minimum density and do not exceed the maximum density stated in Table 120-3 at the time of the preliminary plan review. Minimum density in the R1 zone is one unit per 1,450 square feet. However, section 33.120.205.C.2 states that in the R1 zone, if the site is less than 10,000 square feet in area, the minimum density is 1 unit per 2,000 square feet. The site area is 4,320 square feet; therefore minimum density is calculated at 1 per 2,000. Maximum density is calculated at one unit per 1,000 square feet. The total site area shown on the applicant's survey is 4,320 square feet. Site area devoted to streets is subtracted from the total site area before calculating the minimum and maximum density. A public street dedication for SE Ivy Street is required that totals 419 square feet. Therefore, the resulting lot size for calculating density is 3,901 square feet. Based on the above information, the site has a minimum required density of two units and a maximum density of four units. The applicant proposes three units. In this zone, there are no minimum lot area requirements for lots designated for development of attached houses, detached houses, or duplexes. For this reason, it is necessary to condition the minimum and maximum density allowance on each lot in the land division. This is required in order to avoid development on the site or further division of lots that would result in non-compliance with the overall density requirements of the site. The required and proposed lot dimensions are shown in the following table: \| \| R1 \| \| Minimum \| \| Minimum \| \| Minimum \| Minimum \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| lot area \| \| lot width * \| \| lot depth \| front lot line \| \| \| \| \| (square feet) \| \| (feet) \| \| (feet) \| (feet) \| \| \| Attached Houses \| \| none \| \| 15 \| \| none \| 15 \| \| \| Detached Houses \| \| none \| \| 25 \| \| none \| 25 \| \| Parcel 1 (Detached House) \| \| none \| \| 39.9 \| \| none \| \| \| \| Parcel 2 (Attached House) \| \| none \| \| 20 \| \| none \| \| \| * Width is measured from the midpoints of opposite lot lines. The findings above show that the applicable density and lot dimension standards are met. Therefore, this criterion is met. B. Trees. The standards and approval criteria of Chapter 33.630, Tree Preservation, must be met. Findings: The regulations of Chapter 33.630 require that trees be considered early in the design process with the goal of preserving high value trees and, when necessary, mitigating for the loss of trees. To satisfy these requirements, the applicant must provide a tree plan that demonstrates, to the greatest extent practicable, the trees to be preserved provide the greatest environmental and aesthetic benefits for the site and the surrounding area. The tree plan must also show that trees are suitable for preservation, considering the health and condition of the tree and development impacts anticipated. Tree preservation must be maximized, to the extent practicable, while allowing for reasonable development considering the intensity of development allowed in the zone and site constraints, including existing utility easements and requirements for services and streets. Trees that are healthy, native and non-nuisance species, 20 or more inches in diameter and in tree groves are the highest priority for preservation. Additional considerations include trees that are slower growing native species, buffering natural resources, preventing erosion and slope destabilization and limiting impacts on adjacent sites. Some trees are exempt from the requirements of this chapter, if they are dead, dangerous or dying, a nuisance species, within 10 feet of a building to remain on the site, within an existing right-of-way, or within an environmental zone. In order to identify which trees are subject to these requirements, the applicant provided a tree survey (Exhibit C.2) and arborist report (Exhibit A.3) showing the location and size of trees on and adjacent to the site. The applicant's arborist report identifies each tree, evaluates tree condition and suitability for preservation or its exempt status, and specifies a root protection zone and tree protection and preservation measures. Based on this information, three trees are subject to the preservation requirements of this chapter; Tree #2, a 9-inch sweetgum; Tree #4, an 8-inch red oak; and Tree #6, a 10.5-inch English walnut tree, which provide a total of 27.5-inches of tree diameter. Note that none of the trees measure 20 or more inches in diameter. The applicant had originally proposed to mitigate for tree preservation, providing no arborist report (Exhibit A.1, Exhibit G.4). The proposal was revised to propose preservation of 10.5 inches of tree diameter (Tree #6, 10.5 inch English Walnut tree), which is equivalent to 38 percent of the total tree diameter, so the proposal would be in compliance with Option 4 of the tree preservation standards, which requires preservation of at least 35 percent of the total tree diameter on the site when all of the trees are less than 20 inches in diameter. However, as the utility plans for the lots were developed, Parcel 1 became encumbered with a 10-foot utility easement and the proposed development was shifted towards Tree #6 to accommodate the utility easements. The preliminary clearing and grading plan (Exhibit C.4) and the approved plumbing code appeal utility plan (Exhibit G.2) illustrate proposed development within the required Root Protection Zone (RPZ) of Tree 6 that was initially proposed to be preserved. The original proposed development plan (Exhibit A.2) illustrates proposed development outside of the required RPZ, however this plan predates Exhibits C.4 and G.2 and is no longer accurate. The location of the proposed development has been shifted to the east to provide for a 10-foot, shared utility easement for sanitary sewer and stormwater utilities for Parcels 2 and 3. Additionally, the proposed storm drain utility service, a stormwater planter and the proposed residence for Parcel 1 encroaches into the proposed root protection zone of Tree 6. The arborist report does not address this particular encroachment into the RPZ, since the report pre-dates the plumbing code appeal. After the required street dedication for N Ivy Street of 10.5 feet, Parcel 1 will be 1,599 square feet in area. Within the R1 zone, a building coverage of 60 percent of the site area is allowed (up to 957 square feet for this site). The sanitary sewer and storm water easements along the west property line encumber 400 square feet of the site which will not be developable with buildings. Additionally, the storm drain utility line for Parcel 1 along the east property line encroaches into the proposed RPZ of Tree 6. Combined with required building setbacks, the proposed driveway and the required outdoor area of 48 square feet, the site is significantly encumbered. Based upon the impact of the specific development proposed, the characteristics of the site, the development expected in the R1 zone and requirements to provide services to the site, on site tree preservation is not suitable for the site. As described above, the minimum tree preservation standards of 33.630.100 cannot be fully met as determined by the criteria of 33.630.200. The applicant has proposed to make a payment to Portland's Tree Planting and Preservation Fund to replace the functions of the English Walnut tree (Exhibit A.9). The applicant's arborist report has also identified one tree located on an adjacent site located within 15 feet of potential disturbance area of Parcel 1. The tree has been identified as Paulownia tomentosa (Empress Tree), which is categorized as a nuisance species by the Portland Plant List. Therefore, this tree is exempt from tree preservation requirements, per Section 33.630.030.A. With a condition of approval requiring the applicant to pay into the City's Tree fund for 10.5 inches of trees prior to approval of the final plat, the approval criteria will be met. Based on these factors, no additional mitigation is warranted to satisfy the approval criteria. G. Clearing, Grading and Land Suitability. The approval criteria of Chapter 33.635, Clearing, Grading and Land Suitability must be met. Findings: The regulations of Chapter 33.635 ensure that the proposed clearing and grading is reasonable given the infrastructure needs, site conditions, tree preservation requirements, and limit the impacts of erosion and sedimentation to help protect water quality and aquatic habitat. Clearing and Grading In this case the site is primarily flat, and is not located within the Potential Landslide Hazard Area. The applicant has provided a grading plan (Exhibit C.4) illustrating that no significant clearing or grading will be required on the site to make the new lots developable and to construct the required curb, sidewalk and tie-in paving. This criterion is met. Land Suitability The site is currently in residential use, and there is no record of any other use in the past. Although the site is currently connected to the public sanitary sewer, there is an old septic system on the site. The City has no record that this facility was ever decommissioned. Prior to final plat, the applicant must meet the requirements of the Site Development Section of the Bureau of Development Services for the decommissioning of this facility. The applicant has proposed to remove the existing house to redevelop the site. In order to ensure that the new lots are suitable for development, a permit must be obtained and finalized for demolition of all structures on the site and sewer capping prior to final plat approval. The Site Development section of BDS has commented (Exhibit E.5) that fill was placed on the site at some point in the past. Site Development requested a geotechnical investigation with recommendations for foundation design and identification of impacts to on-site stormwater disposal as required by Section 33.635.200. In response, the applicant submitted a report prepared by Hardman Geotechnical Services dated December 11, 2015 and revised on May 11, 2016 and revised on June 21, 2016 and June 28, 2016 (Exhibit A.5). Based upon the information provided by the applicant, Site Development has determined that the proposed land division will result in lots that are suitable for development. With a condition of approval requiring decommissioning of the old septic system, the new lots can be considered suitable for development, and this criterion is met. H. Tracts and easements. The standards of Chapter 33.636, Tracts and Easements must be met; Findings: No tracts are proposed or required for this land division, so criterion A does not apply. The following easements are proposed and/or required for this land division: * A Private Sanitary Sewer Easement is required across the relevant portions of Parcel 1, for a sanitary sewer lateral connection that will serve Parcels 2 and 3. * A Private Storm Sewer Easement is required across the relevant portions of Parcel 1 for a stormwater lateral that will serve Parcels 2 and 3. * A Private Storm Sewer Easement is required across the relevant portions of Parcel 2 for a stormwater lateral that will serve Parcel 3. * A Private Sanitary Sewer Easement is required across the relevant portions of Parcel 2 for a sanitary sewer lateral connection that will serve Parcel 3. As stated in Section 33.636.100 of the Zoning Code, maintenance agreements will be required describing maintenance responsibilities for the easements described above and facilities within those areas. This criterion can be met with the condition that a maintenance agreement(s) is prepared and recorded with the final plat. In addition, the plat must reference the recorded maintenance agreement(s) with a recording block, substantially similar to the following example: “Declaration of Maintenance agreements for sanitary sewer and stormwater easements has been recorded as document no. ___________, Multnomah County Deed Records.” With the conditions of approval discussed above, this criterion is met. K. Transportation impacts. The approval criteria of Chapter 33.641, Transportation Impacts, must be met; and, Findings: The transportation system must be capable of safely supporting the proposed development in addition to the existing uses in the area. Evaluation factors include: street capacity and level-of-service; vehicle access and loading; on-street parking impacts: the availability of transit service and facilities and connections to transit; impacts on the immediate and adjacent neighborhoods; and safety for all modes. Mitigation may be necessary to reduce impacts. The Development Review Section of the Portland Bureau of Transportation (PBOT) has reviewed the application against the evaluation factors and has provided the following findings (see Exhibit E.2): Street Capacity and Levels of Service: The proposal will result in a net increase of 2 single-family residences. These residences can be expected to generate 20 daily vehicle trips with 2 trips occurring in each of the AM and PM Peak Hours. This small increase in peak hour vehicles will not have significant impact on intersection levels of service or street capacity. No mitigation is needed. Connectivity: The site is less than 80-ft from the north/south aligned N Commercial Ave. Connectivity requirements do not apply. Vehicle Access/Loading: Parcel 1 will have a driveway to provide access to parking and loading. Parcels 2 and 3 are not proposed to have off street parking. Parking and loading will occur in the street. On-Street Parking Impacts: One of the new lots will have at least one on-site parking. Onsite parking is not required do to the site's proximity to frequent transit service. Tri-Met line #4 is less than 500-ft walking distance away. Impacts to the on-street parking supply should be minimal. Availability of Transit: Tri Met Bus Line #4 is available to serve the site at N Fremont and N Kerby Avenue. Neighborhood Impacts: The site is being developed with three new single-family residences in compliance with the existing R1 zoning. In addition, standard frontage improvements including sidewalks will reduce the potential for conflicts between pedestrians and vehicles. Safety for All Modes: Sidewalks along both sides of the area streets provide adequate pedestrian facilities. Given the low vehicle speeds and volumes on N Ivy and N Cook, cyclists can safely share the roadway. PBOT has reviewed and concurs with the information supplied and available evidence. No mitigation is necessary for the transportation system to be capable of safely supporting the proposed development in addition to the existing uses in the area. These criteria are met. L. Services and utilities. The regulations and criteria of Chapters 33.651 through 33.654, which address services and utilities, must be met. Findings: Chapters 33.651 through 33.654 address water service standards, sanitary sewer disposal standards, stormwater management, utilities and rights of way. The criteria and standards are met as shown in the following table: 33.651 Water Service standard – See Exhibit E.3 for detailed bureau comments. The Water Bureau has indicated that service is available to the site, as noted on page 2 of this report. The water service standards of 33.651 have been verified. 33.652 Sanitary Sewer Disposal Service standards – See Exhibit E.1 for detailed comments. The Bureau of Environmental Services has indicated that service is available to the site, as noted on page 2 of this report. There is no public sanitary sewer available in N Cook Street. The applicant proposes to serve Parcels 2 and 3 via an easement over Parcel 1 to sewer services located in N Ivy Street. BES has indicated this route of service is acceptable. Plumbing Code Appeals 13845 and 13846 have been approved to support reduced skin to skin separation for the sewer and storm water laterals. The easements must be shown on the final plat. With this condition, the sanitary sewer service standards of 33.652 have been verified. 33.653.020 & .030 Stormwater Management criteria and standards – See Exhibit E.1 No stormwater tract is proposed or required. Therefore, criterion A is not applicable. The applicant has proposed the following stormwater management methods: Stormwater from Parcels 1, 2 and 3 will be directed into flow-through planters that remove pollutants and suspended solids. The water will drain from the planters to the existing, combined sanitary sewer main located in N Ivy Street Street. Each lot has sufficient size for individual planter boxes, and the Bureau of Environmental Services has indicated that the treated water can be directed to the existing combination sewer located in N Ivy Street. There is no combined sewer main available in N Cook Street. The applicant proposes to serve Parcels 2 and 3 via a easements over Parcel 1 and Parcel 2 to connect to the combined sewer services located in N Ivy Street. BES has indicated this route of service is acceptable. Plumbing Code Appeals 13845 and 13846 have been approved to support reduced skin to skin separation for the sewer and storm water laterals. The easements must be shown on the final plat and maintenance agreements are required. With this condition, the stormwater management criteria and standards of 33.653 have been verified. 33.654.110.B.1 Through streets and pedestrian connections Generally, through streets should be provided no more than 530 feet apart and pedestrian connections should be provided no more than 330 feet apart. Through streets and pedestrian connections should generally be at least 200 feet apart. The dimensions of the block on which the subject property is located are approximately 280 feet by 108 feet. Therefore, the block meets the noted spacing requirements. In addition, the site is not within an area that has an adopted Master Street Plan, so criterion d. does not apply. For the reasons described above, this criterion is met. 33.654.120.B & C Width & elements of the right-of-way – See Exhibit E.2 for bureau comment In reviewing this land division, Portland Transportation relies on accepted civil and traffic engineering standards and specifications to determine if existing street improvements for motor vehicles, pedestrians and bicyclists can safely and efficiently serve the proposed new development. In this case Portland Transportation has determined that curb and sidewalk improvements must be made in order to ensure that safe pedestrian travel is possible within the proposed development. To accommodate these improvements, as well as an associated stormwater facility discussed later in this report, additional right-of-way must be dedicated along the frontage of the site. N Cook Street is improved with a 12-ft sidewalk corridor with a 5-5-2 configuration. Reconstruction with a 4.5-6-1.5 will not be required because the site complies with TRN 1.22. N Ivy Street is a 15-ft wide ROW improved with a 14-ft roadway with curbs and no sidewalk along the site's frontage. A 10.5-foot dedication is required for N Ivy Street. The N Ivy Street frontage will be required to be improved with a 6-ft sidewalk separated from the curb with a 4-ft furnishing zone. With those improvements, two additional dwellings can be safely served by this existing street without having any significant impact on the level of service provided. This criterion is met, with the condition that curb and sidewalk improvements are made, and the required right-of-way dedication is shown on the Final Plat. 33.654.130.A - Utilities (defined as telephone, cable, natural gas, electric, etc.) Any easements that may be needed for private utilities that cannot be accommodated within the adjacent right-of-ways can be provided on the final plat. At this time no specific utility easements adjacent to the right-of-way have been identified as being necessary. Therefore, this criterion is met. DEVELOPMENT STANDARDS Development standards that are not relevant to the land division review, have not been addressed in the review, but will have to be met at the time that each of the proposed lots is developed. Future Development Among the various development standards that will be applicable to these lots, the applicant should take note of: * Attached Houses. Development standards for attached houses in the R1 zone are found at 33.120.270.C and include regulations regarding setbacks, building coverage, maximum building length, and appearance. * Demolition Delay. Chapter 24.55 requires notification and demolition delay when an application for a permit to demolish a residential primary structure in an area with a residential Comprehensive Plan Map designation is submitted to BDS. Existing development that will remain after the land division. The applicant is proposing to remove all of the existing structures on the site. Therefore, this land division proposal can meet the requirements of 33.700.015. Based upon the information above, this land division proposal can meet the requirements of 33.700.015. OTHER TECHNICAL REQUIREMENTS Technical decisions have been made as part of this review process. These decisions have been made based on other City Titles, adopted technical manuals, and the technical expertise of appropriate service agencies. These related technical decisions are not considered land use actions. If future technical decisions result in changes that bring the project out of conformance with this land use decision, a new land use review may be required. The following is a summary of technical service standards applicable to this preliminary partition proposal. As authorized in Section 33.800.070 of the Zoning Code conditions of approval related to these technical standards have been included in the Administrative Decision on this proposal. * The applicant must meet the requirements of the Fire Bureau in regards to addressing requirements; ensuring adequate hydrant flow from the nearest fire hydrant or obtaining an approved Fire Bureau appeal to this requirement; fire apparatus access, including aerial access. These requirements are based on the technical standards of Title 31 and Fire Bureau Policy B-1. CONCLUSIONS The applicant has proposed a three parcel partition for development of single dwellings as shown on the attached preliminary plan (Exhibit C.1) and the proposed development plan (Exhibit C.3). As discussed in this report, the relevant standards and approval criteria have been met, or can be met with conditions. The primary issues identified with this proposal are: stormwater and sewer lateral easements, grading and soil stability at the time of construction, tree preservation and required street dedication and public improvements to N. Ivy Street. With conditions of approval that address these requirements this proposal can be approved. ADMINISTRATIVE DECISION Approval of a Preliminary Plan for a three-parcel partition that will result in construction of single dwellings as follows; one parcel for a detached house and two parcels for construction of attached houses as illustrated with Exhibits C.1 and C.3, subject to the following conditions: A. The final plat must show the following: 1. The applicant shall meet the street dedication requirements of the City Engineer for N Ivy Street. The required right-of-way dedication must be shown on the final plat. 2. A private sanitary sewer easement, for the benefit of Parcels 2 and 3, shall be shown and labeled over the relevant portions of Parcel 1. A private sanitary sewer easement, for the benefit of Parcel 3 shall be shown and labeled over the relevant portions of Parcel 2. The easement area must correspond to granted plumbing code appeal number 13845 and 13846. 3. A private storm sewer easement, for the benefit of Parcels 2 and 3, shall be shown and labeled over the relevant portions of Parcel 1. A private storm sewer easement, for the benefit of Parcel 3 shall be shown and labeled over the relevant portions of Parcel 2. The easement area must correspond to granted plumbing code appeal number 13845 and 13846. 4. A recording block for each of the legal documents such as maintenance agreement(s), acknowledgement of special land use conditions, or Declarations of Covenants, Conditions, and Restrictions (CC&Rs) as required by Conditions B.5 below. The recording block(s) shall, at a minimum, include language substantially similar to the following example: "A Declaration of Maintenance Agreement for private sanitary sewer and stormwater easements has been recorded as document no. ___________, Multnomah County Deed Records." B. The following must occur prior to Final Plat approval: Utilities 1. The applicant shall meet the requirements of the Fire Bureau for ensuring adequate hydrant flow from the nearest hydrant. The applicant must provide verification to the Fire Bureau that Appendix B of the Fire Code is met, the exception is used, or provide an approved Fire Code Appeal prior final plat approval. 2. The applicant shall meet the requirements of the Fire Bureau for fire apparatus access and roadway width as required by Chapter 5 and Appendix D. Alternatively, for access the applicant will be required to install residential sprinklers in the new house on Parcel 1 if applying the exception. Existing Development 3. A finalized permit must be obtained for demolition of the existing residence on the site and capping the existing sanitary sewer connection. Note that Title 24 requires a 35-day demolition delay period for most residential structures. 4. The applicant shall meet the requirements of the Site Development Section of the Bureau of Development Services for the decommissioning the cesspool on the site. Required Legal Documents 5. A Maintenance Agreement shall be executed for the private sewer and stormwater utility easements described in Conditions A.2 and A.3 above. The agreement shall include provisions assigning maintenance responsibilities for the easement area and any shared facilities within that area, consistent with the purpose of the easement, and all applicable City Code standards. The agreement must be reviewed by the City Attorney and the Bureau of Development Services, and approved as to form, prior to final plat approval. 6. If required, the applicant will be required to meet any requirements identified through a Fire Code Appeal/install residential sprinklers in the new dwelling units. Please refer to the final plat approval report for details on whether or not this requirement applies. An Acknowledgement of Special Land Use Conditions describing the sprinkler requirement must be referenced on and recorded with the final plat. Other 7. The applicant must pay into the City Tree Fund the amount equivalent to 10.5 inches of trees (planting and establishment, fee in lieu per inch). Payment must be made to the Bureau of Development Services, who administer the fund for the Parks Bureau. D. The following conditions are applicable to site preparation and the development of individual lots: 1. The minimum and maximum density for the lots in this land division are as follows: 2. The applicant must meet the requirements of the Fire Bureau in regards to addressing requirements; ensuring adequate hydrant flow from the nearest fire hydrant or obtaining an approved Fire Bureau appeal to this requirement; fire apparatus access, including aerial access. These requirements are based on the technical standards of Title 31 and Fire Bureau Policy B-1. 3. Foundation and ground preparation shall be in accordance with the recommendations of the Geotechnical Engineering Report dated May 11, 2016 (as revised) prepared by Hardman Geotechnical Services Inc. or as specified by Site Development. \| Lot \| Minimum Density \| Maximum Density \| \|---\|---\|---\| \| 1 \| 1 \| 1 \| \| 2 \| 1 \| 1 \| Staff Planner: Brandon Rogers Decision rendered by: _________________________________________ on November 3, 2016 By authority of the Director of the Bureau of Development Services Decision mailed November 7, 2016 About this Decision. This land use decision is not a permit for development. A Final Plat must be completed and recorded before the proposed lots can be sold or developed. Permits may be required prior to any work. Contact the Development Services Center at 503-823-7310 for information about permits. Procedural Information. The application for this land use review was submitted on August 5, 2015, and was determined to be complete on January 28, 2016. Zoning Code Section 33.700.080 states that Land Use Review applications are reviewed under the regulations in effect at the time the application was submitted, provided that the application is complete at the time of submittal, or complete within 180 days. Therefore, this application was reviewed against the Zoning Code in effect on August 5, 2015. ORS 227.178 states the City must issue a final decision on Land Use Review applications within 120-days of the application being deemed complete. The 120-day review period may be waived or extended at the request of the applicant. In this case, the applicant requested that the 120-day review period be extended by 245 days (Exhibit A.7 and A.8). Therefore, the 120 days will expire on: January 27, 2017. Some of the information contained in this report was provided by the applicant. As required by Section 33.800.060 of the Portland Zoning Code, the burden of proof is on the applicant to show that the approval criteria are met. The Bureau of Development Services has independently reviewed the information submitted by the applicant and has included this information only where the Bureau of Development Services has determined the information satisfactorily demonstrates compliance with the applicable approval criteria. This report is the decision of the Bureau of Development Services with input from other City and public agencies. Conditions of Approval. If approved, this project may be subject to a number of specific conditions, listed above. Compliance with the applicable conditions of approval must be documented in all related permit applications. Plans and drawings submitted during the permitting process must illustrate how applicable conditions of approval are met. Any project elements that are specifically required by conditions of approval must be shown on the plans, and labeled as such. These conditions of approval run with the land, unless modified by future land use reviews. As used in the conditions, the term "applicant" includes the applicant for this land use review, any person undertaking development pursuant to this land use review, the proprietor of the use or development approved by this land use review, and the current owner and future owners of the property subject to this land use review. This decision, and any conditions associated with it, is final. It may be appealed to the Oregon Land Use Board of Appeals (LUBA), within 21 days of the date the decision is mailed, as specified in the Oregon Revised Statute (ORS) 197.830. Among other things, ORS 197.830 requires that a petitioner at LUBA must have submitted written testimony during the comment period for this land use review. Contact LUBA at 775 Summer St NE Suite 330, Salem, OR 97301-1283 or phone 1-503-373-1265 for further information. The file and all evidence on this case are available for your review by appointment only. Please call the Request Line at our office, 1900 SW Fourth Avenue, Suite 5000, phone 503823-7617, to schedule an appointment. I can provide some information over the phone. Copies of all information in the file can be obtained for a fee equal to the cost of services. Additional information about the City of Portland, city bureaus, and a digital copy of the Portland Zoning Code is available on the internet at www.portlandonline.com. Recording the land division. The final land division plat must be submitted to the City within three years of the date of the City's final approval of the preliminary plan. This final plat must be recorded with the County Recorder and Assessors Office after it is signed by the Planning Director or delegate, the City Engineer, and the City Land Use Hearings Officer, and approved by the County Surveyor. The approved preliminary plan will expire unless a final plat is submitted within three years of the date of the City's approval of the preliminary plan. EXHIBITS A. Applicant's Statement NOT ATTACHED UNLESS INDICATED 1. Original Submittal and Applicant's Narrative 3. Arborist Report (01/28/2016) 2. Applicant's Response to Incomplete Letter and Revised Narrative (01/28/2016) 4. On Street Parking Study (01/28/2016) 6. Stormwater Management narrative (Revised 08/16/16) 5. Geotechnical Report (06/28/2016) 7. 120-Day Extension (05/23/16) 9. Applicant's Request for Tree Mitigation 8. 120-Day Extension (08/15/16) B. Zoning Map (attached) 1. Preliminary Land Division Plan (attached) C. Plans/Drawings: 2. Existing Conditions Plan and Tree Survey (01/28/2016) D. Notification information: 3. Proposed Development and Clearing and Grading Plan (10/10/2016) 1. Mailing list E. Agency Responses: 2. Mailed notice 1. Bureau of Environmental Services 3. Water Bureau 2. Bureau of Transportation Engineering and Development Review 4. Fire Bureau 6. Life Safety Section of BDS 5. Site Development Review Section of BDS 7. Bureau of Parks, Forestry Division 1. Original LU Application G. Other: 2. Plumbing Code Appeal 4. Incomplete Lette 3. Public Improvement Plans The Bureau of Development Services is committed to providing equal access to information and hearings. Please notify us no less than five business days prior to the event if you need special accommodations. Call 503-823-7300 (TTY 503-823-6868).
North Yorkshire County Council County Hall Northallerton North Yorkshire DL7 8AD Our Reference: 3230/RW Your Reference: PP-06853438 Dear Sir/Madam, Application for Planning Permission –Kiosks at Middleton Tyas Waste Water Treatment works 1. Introduction Yorkshire Water ("the Applicant") has commissioned Arcus Consulting Services Ltd ("Arcus") to act as the Agent to submit an application for planning permission for three kiosks ("the Development"). The kiosks comprise a Ferric Dosing Kiosk, a Motor Control Centre Kiosk ("MCC Kiosk") and a Potable Water Booster Kiosk ("PWB Kiosk") all located at Middleton Tyas Waste Water Treatment Works, Cow Lane, Richmond, DL10 6RQ, UK (Easting: 423370, Northing: 506210) ("the Site"). 2. Reason for the Application The National Environment Programme, from the Environment Agency has dictated that all water companies in England and Wales must reduce phosphorous in waste water by March 2020. The Development is one of sixteen sites that are part of the Yorkshire Water Tight Phosphorus Delivery Programme ("TPDP") which is a significant contributor towards the Applicant's commitment to protect and improve the water environment measured by length ("km") of river improved. The programme comprises sixteen wastewater treatment sites which are required to achieve 0.5 – 1.0 mg/l phosphorus consent by 31 st March 2020. Delivery of this programme will improve 196.2 km of river length. The proposed solution is based on conventional removal techniques which centre on chemical precipitation to remove phosphorus from the sewage via primary and secondary sludge and replacing existing sampling points in order to facilitate successful sampling. Developments at waste water treatment works are generally defined as permitted development under Schedule 2 of the Town and County Planning (General Permitted Development) Order 2015. Part 13 B, states that statutory sewerage undertakers have Permitted Development Rights ("PDR") for developments that are not above ground level required in connection with the provision, improvement, maintenance or repair of a sewer, outfall pipe, sludge main or associated apparatus. Therefore, the wider upgrades to equipment and plant within the sewage 1C Swinegate Court East 3 Swinegate York YO1 8AJ 13 th December 2018 works are permitted development, however, due to the proposed kiosk housings being larger than is permitted under the regulations a planning application is required. 3. Design and Elements of the Development The Development comprises of three Glass Reinforced Plastic ("GRP") kiosks that would be green in colour (colour reference: BS4800 14-C-39), described as Holly green/ Holly bush green. The use of GRP materials will mean that the maintenance requirements will be reasonably low and the appearance of the Development will not deteriorate over time. The Development will be designed in terms of scale and density in order to accommodate all the facilities required. One of the three kiosks is a MCC Kiosk and scaled at 11.00 metres ("m") (length) x 4.00 m (width) x 3.50 m (height). This kiosk would be used to house a control panel for operational activities of the Site, such as viewing the activity status and controlling the alarm and alert systems. The second kiosk is a PWB Kiosk scaled at 3.60 m (length) x 1.90 m (width) x 2.44 m (height). This kiosk would be used to house a potable water booster pump station required to supply essential health and safety equipment. Internally there would be a pair of duty-standby pumps and a 1 cubic metre ("m 3 ") potable water storage tank which is intended to supply clean water to new safety showers, eyebaths and other safety equipment. The remaining kiosk is a Ferric Dosing Kiosk which would be used to house equipment, pumps, piping. The Ferric Dosing Kiosk scaled at 6.10 m (length) x 2.90 m (width) x 2.99 m (height), with a minimum chemical cubic capacity of 5.0 m 3 . As part of the Development, a limited amount of hazardous substance would be required as per the TPDP. The chemicals comprise of 12.5% Ferric Sulphate (as Fe2 (SO4)3), which will be housed in the Ferric Dosing Kiosk. The following table states the chemical quantities. Table 1 Chemical Quantities \| Total ferric storage if combined ferric storage required for 14 days \| \| Expected minimum ferric storage tank size \| Caustic storage required m3 (14 days) and Dose Rate \| \| \| \|---\|---\|---\|---\|---\|---\| \| Fe (SO ) 12.5% 2 4 3 \| \| \| NaOH 25% \| \| \| \| m3 \| Tonnes \| m3 \| Peak pump rate l/hr \| m3 \| Tonnes \| Furthermore, the Development includes a request for 1.5 m a micro-siting allowance around the proposed kiosks. This is requested as the site is an operational water treatment site and the surrounding development proposed as part of the TPDP programme will be permitted development. The kiosks may need some freedom of movement to allow micro-siting to allow for unforeseen ground condition or to accommodate minor revisions to the wider permitted development scheme. The micro-siting allowance makes no difference to the assessment of the kiosk locations or their acceptability in planning terms. 4. Relevant Planning Documents and Policies Under section 38 (6) of the Planning and Compulsory Purchase Act 2004, when determining a planning application Local Planning Authorities are required to make planning decisions in accordance with the policies of the relevant development plans unless material provisions indicate otherwise. The following Development Plans and policies will be used to assess the acceptability of the Development. In an effort to be concise the full text is not set out within this covering letter. Full policy wording is available within the documents mentioned below. National Planning Policy Framework ("NPPF") 1 The NPPF seeks to ensure sustainable forms of development and good design alongside the protection and enhancement of the environment. The provision of appropriate infrastructure to facilitate sustainable development runs throughout the document. Paragraph 8 (c) states that one of the overarching objectives of the planning system is "to contribute to protecting and enhancing our natural, built and historic environment", including amongst other things by "minimising waste and pollution". Under the heading "Conserving and enhancing the natural environment", paragraph 170 (e) states that planning decisions should contribute to and enhance the natural and local environment and "Development should, wherever possible, help to improve local environmental conditions such as air and water quality, taking into account relevant information such as river basin management plans". The sole purpose of the Development is to improve water quality by reducing phosphorous in waste water as part of the Yorkshire Water TPDP and in accordance with the Environment Agency's National Environment Programme. North Yorkshire Waste Local Plan ("NYWLP") 2 _ As the North Yorkshire County Council ("NYCC") is the Waste Planning Authority for North Yorkshire, the NYCC has a duty, under the under the Town and Country Planning Act 1990, to prepare a Waste Local Plan. The NYWLP was adopted in 2006, and is the key document for determining waste related applications and is a framework for waste management. NYWLP was due to expire on 17 May 2009, however, the government has issued a direction allowing some policies to be extended, or 'saved', until the policies being developed in the Minerals and Waste Development Framework supersede them. - Policy 7/2 Waste Water Treatment Works – this policy states that new works, or extensions to works to treat waste water and sewage sludge will be permitted provided that: the proposal is required to improve the treatment of sewage sludge and waste water or discharge standards; or is required to increase capacity; and the proposal will not have any unacceptable adverse impact on the local amenity. The Mineral and Waste Joint Plan ("MWJP") 3 1 Department for Housing, Communities and Local Government (2018) National Planning Policy Framework, [Online], Accessible on https://www.gov.uk/government/uploads/system/publications/national-policyframework-2 (Accessed on 07/09/2018) North Yorkshire County Council (2006) North Yorkshire Waste Local Plan, [Online] Available at: 2 https://www.northyorks.gov.uk/sites/default/files/fileroot/Planning%20and%20development/ Mi d%20waste%20planning/Waste_local_plan.pdf (Accessed on 14/03/2018) ner al s% 20an MWJP is scheduled to supersede the NYWLP in March 2018, however it has not yet been adopted and is still in the Examination process. Although the MWJP is not actively in force, it is a material consideration as it close to adoption. The MWJP is the joint waste plan between City of York Council, North York Moors National Park Authority and NYCC. - Policy W08: Managing Waste and Sewage Sludge – proposals for new infrastructure and for the increase of capacity for the management of waste water and sewage sludge will be permitted in line with requirements identified in Asset Management Plans ("AMP") produced by waste water infrastructure providers within the Plan area. This policy goes on to state that preference will be given for the expansion of existing infrastructure rather than the development of new facilities. Section 6.89 of the MWJP goes on to states that that provision of adequate capacity for treatment of waste water is necessary in order to ensure that plans for growth, such as housing and economic development can be delivered. Richmondshire Local Plan 2012-2028 (RLP) 4 The Richmondshire Local Plan 2012-2028: Core Strategy was adopted in December 2014 and sets out the strategic development policies for that part of the district that lies outside the Yorkshire Dales National Park. These key documents will be used in the assessment of the Development below. - CP1: Planning Positively – when considering development proposals the Council will take a positive approach that reflects the presumption in favour of sustainable development. - CP3: Achieving Sustainable Development – Support will be given for sustainable development which promotes, amongst other matters, "the efficient use of land and infrastructure" and "the quality of natural resources including water". - CP17: Providing and Delivering Infrastructure – Any adverse impacts from new infrastructure should be minimised and decisions on the provision of new infrastructure should be taken on the basis of environmental sustainability as well as cost. 5. Legislation The following section of legislation, are those that are consider to be applicable to the Development. Water Industry Act 1991 (As Amended) 5 Section 67 of this act enables the Secretary of State to prescribe standards for wholesomeness for water by means of stating the requirements of the purpose for which the water is suitable along with the requirements as to the substances that are to be present or absent from the water and as to the concentrations of substances and any other characteristics of water. 6. Site Designation There are no designations identified around the Site, and the Development will also not result in any odour or noise impacts. 3 North Yorkshire County Council (2016) Minerals and Waste Joint Plan, [Online], Available at: https://www.northyorks.gov.uk/sites/default/files/fileroot/About%20the%20council/Partnerships/Publication _main_plan_document_%28Nov_2016%29.pdf (Accessed on 14/03/2018) 4 Richmondshire District Council (2014) Richmondshire Local Plan Core Strategy, [Online], Available at: https://www.richmondshire.gov.uk/media/9616/core-strategy-2012-28. pdf. 5 Water Industry Act 1991, Available at https://www.legislation.gov.uk/ukpga/1991/56/contents, (Accessed on 06/03/2018) 7. Flood Risk Assessment The Site is identified to be in a Flood Zones 1 6 , this indicated that there is a medium to high probability of flooding and so a Flood Risk Assessment is not required. 8. Assessment of the Development The Development is located at the Middleton Tyas Waste Water Treatment Works and comprises: a Ferric Dosing Kiosk, designed to accommodate and facilitate the storage of equipment, pumps, and piping; a MCC Kiosk designed to house a control panel for operational actives; and a PWB Kiosk designed to house standby-duty pumps and a clean water storage tank. The Development is effectively a means of accommodating the requirements of the National Environment Programme, set by the Environment Agency that will come in force in March 2020. The Development also requests for a 1.5 m micro-siting. Essentially this would provide some degree of flexibility and would be a means of accommodating any unforeseen ground conditions and future development aspects undertaken as part of the TPDP programme as permitted development. The Development is supported under the NYWLP policy 7/2 as it is improves the treatment of waste water or discharge standards and will not have any unacceptable adverse impact on the local amenity and the emerging MWJP Policy W08. Furthermore, the Development adheres to the draft policy requirements of the RLP (2014). The Development and does not pose any obvious detrimental effects in terms of noise or odour. A Flood Risk Assessment is not required. Overall, the wider sewage works and plant upgrades are generally considered to be permitted development as identified under the Town and Country Planning (General Permitted Development) Order 2015. Due to its scale, which is merely for the enclosure and protection of various equipment and piping, the Development is outwith the scope of permitted development and planning permission is required. 9. Application Submission This planning application consists of the following submissions: - Application Cover Letter; - Site Location; - Non-Applicable Items Covering Letter; - Site Layout (showing development boundaries); - Elevations and plan of PWB Kiosk; and - Elevations and plan of Ferric Dosing Kiosk; - Elevations and plan of MCC Kiosk. Yours faithfully, Planning Consultant 6 Gov.uk (2018) Interactive Flood Map, [Online], Available at https://flood-map-for-
AUTHORIZED FEDERAL SUPPLY SCHEDULE PRICELIST Protocol Institute Inc. dba The Protocol School of Washington Professional Services Schedule (PSS) Contract PSS Training Services (SIN 874-4) \| PSS Support Product (SIN 100-3) CONTRACT NUMBER: GS-10F-0357Y Contract Period: June 25, 2012 through June 24, 2022 Business Size: Small, woman-owned business NAICS Codes: 511199, 541611, 611430, 611710, 611699, 611210 Industrial Group: 00CORP, Class R499 CONTRACT ADMINISTRATION Susan Landry \| firstname.lastname@example.org 132 Stonemark Lane Columbia, SC 29210 803.407.4177 \| 202.575.5600 www.psow.edu Contract Number: GS-10F-0357Y TABLE OF CONTENTS The Protocol School of Washington is the only nationally accredited educational institution providing international protocol, cross-cultural awareness, business etiquette and image training that prepares professionals with the critical behaviors necessary to build lasting business relationships. PARTIAL CLIENT LIST Department of the Army Department of the Air Force Department of the Navy Department of Homeland Security US Department of Commerce Department of Justice, Attorney General's Office US Department of Treasury Central Intelligence Agency Federal Bureau of Investigation Department of Education Department of Energy Environmental Protection Agency CUSTOMER INFORMATION 1a. Awarded SINs: 874-4 & 100-03 Awarded Disaster/Recovery SINs: 874-4RC & 100-03RC 1b. Identification of the lowest priced model number and lowest unit price for that model for each special item number awarded in the contract. This price is the Government price based on a unit of one, exclusive of any quantity/dollar volume, prompt payment, or any other concession affecting price. Those contracts that have unit prices based on the geographic location of the customer, should show the range of the lowest price, and cite the areas to which the prices apply. 1c. If the Contractor is proposing hourly rates a description of all corresponding commercial job titles, experience, functional responsibility and education for those types of employees or subcontractors who will perform services shall be provided. If hourly rates are not applicable, indicate "Not applicable" for this item. 2. Maximum Order: $1,000,000 3. Minimum Order: $100.00 4. Geographic Coverage: Domestic only 5. Point(s) of production: Same as company address 6. Discount from list prices or statement of net price: Government net prices (discounts already deducted). 7. Quantity discounts: None Offered 8. Prompt payment terms: Net 30 days 9a. Government Credit Cards: Accepted 9b. Discount for Payment by Credit Card: will accept over $3,000 10. Foreign items: None 11a. Time of Delivery: Specified on the Task Order 11b. Expedited Delivery: Contact Contractor 11c. Overnight and 2-day delivery: Contact Contractor 11d. Urgent Requirements: Contact Contractor 12. F.O.B Points(s): Destination 13a. Ordering Address(es): Same as Contractor 13b. Ordering procedures: see GSA/FSS Schedule 14. Payment address(es): 132 Stonemark Lane \| Columbia, South Carolina, 29210 15. Warranty provision: Contractor's standard commercial warranty. 16. Export Packing Charges (if applicable): N/A 17. Terms/conditions of Government purchase card acceptance: Contact Contractor 18. Terms/conditions of rental, maintenance, and repair: N/A 19. Terms/conditions of installation: N/A 20. Terms/conditions of repairs: N/A 20a. Terms/conditions for any other services: N/A 21. List of service and distribution points: N/A 22. List of participating dealers: N/A 23. Preventive maintenance: N/A 24a. Special attributes: N/A 24b. Section 508 compliance: www.Section508.gov 25. DUNS number: 83-7698513 26. Registration (CCR) database: Registered Protocol Officer Training On-Site 5 Day On-Site Customer Facility Minimum 15 Students/ Maximum 30 Students $6,090.68 per student with minimum of 15 students ($4,872.56 per student for additional students, with maximum of 30 students) + travel expenses, meals and accommodations for 3 training facilitators and 1 training coordinator. (4.2 CEUs Awarded) Master the fundamentals of operational protocol. This five-day comprehensive training of expert instruction, guided exercises and coaching in the fundamentals of operational protocol planning V.I.P visits, meetings, ceremonies, and special events. With the evolution of globalization, protocol has become a highly sophisticated and strategic asset in today's business, military, and diplomatic world. Become a trusted advisor, an expert, and a recognized leader in planning and orchestrating V.I.P. visits, meetings, ceremonies, and special events. Leaders will count on you to advise and guide them in U.S. and foreign order of precedence, customs, and cultural differences. You will be a strategic asset, using your finely honed talents to enhance business relationships. Our team of experts will train you in the essentials of: Protocol History and Competencies \| Precedence \| Seating \| Titles & Forms of Address \| Flags and Logos \| Gifts \| Logistics \| Military Protocol \| Ceremonies \| VIP Excellence \| Dining Etiquette \| Leadership \| Legendary Service \| Personal Diplomacy Outclass with eClass – Principles of Professionalism Online Learning Students will capitalize on the most convenient, cost-effective way to sharpen their professional image. The Protocol School of Washington has applied the latest scientific principles of Web-based learning to our curriculum, ensuring meaningful practice activities and the proper amount of learner guidance and interaction. A list of classes is provided below. Lesson 1 - Make a Good Impression with the Right Business Attire Everyone is looking at you. Will it be for the right reasons, or the wrong ones? Professional business attire can yield an instant edge over the competition. State the importance of a good first impression \| List the elements of a well-dressed professional \| Identify basic pieces of a professional wardrobe \| Learn the importance of selecting best colors, shapes, fits & proportions. Lesson 2 - Making an Entrance and Mingling with Confidence Students will learn how to navigate the accepted channels of small talk, while sharing professional business attributes and avoiding topic faux pas. Describe the elements and value of an effective entrance \| List 3 purposes for making "small talk" \| List 6 tips for improving one's mingling proficiency \| State & describe appropriate handshaking. Lesson 3 - Project Professionalism Through Body Language Eye contact and posture project professionalism if used appropriately. While these nuanced indicators may not show up on standardized tests, they introduce you to everyone you meet before you have had the chance to say word one. Make your first impression a positive one! Learn why eye contact is important \| State the appropriate amount of eye contact time \| Describe poor posture & the power of good posture\| State differences in personal space Lesson 4 - Electronic Communications Technology has changed the world, and it has changed the rules as well. You'll learn how to use electronic communication devices effectively and not be seen as rude and annoying to potential clients and business associates. State components of a voice message & greeting \| Identify time when it is inappropriate to use a cell phone \| List the rules for sending effective e-mail messages Set of all Four Lessons: Outclass with eClass Bundle 100-03 REFERENCE BOOK Honor & Respect The Official Guide to Names, Titles, and Forms of Address (2nd Edition, 2013) by Robert Hickey, The Protocol School of Washington, South Carolina, 552 pp., ISBN: 978-0-615-19806-4. \| Course Title \| \| Course \| \| Minimum \| \| Maximum \| \| Price per Course \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| Length \| \| Participants \| \| Participants \| \| or Person \| \| Protocol Officer Training On-site at Customer Facility \| 5 Days \| \| 15 \| \| 15 \| \| Per Person \| \| \| Students 16-30 for above course \| \| \| 16 \| \| 30 \| \| Per Person \| \| Service Contract Act: The Service Contract Act (SCA) is applicable to this contract as it applies to the entire PSS Schedule and all services provided. While no specific labor categories have been identified as being subject to SCA due to exemptions for professional employees (FAR 22.1101, 22.1102 and 29 CFR 541.300), this contract still maintains the provisions and protections for SCA eligible labor categories. If and / or when the contractor adds SCA labor categories / employees to the contract through the modification process, the contractor must inform the Contracting Officer and establish a SCA matrix identifying the GSA labor category titles, the occupational code, SCA labor category titles and the applicable WD number. Failure to do so may result in cancellation of the contract. \| Online Learning Course Title \| \| Course \| \| Minimum \| \| Maximum \| Unit of Issue \| GSA Price \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| Length \| \| Participants \| \| Participants \| \| (w/IFF) \| \| Outclass with eClass Principles of Professionalism: Bundle of 4 classes includes Lessons 1 thru 4 \| 2.5 Hours \| \| 1 \| \| 99 \| \| Per Person \| \| \| Outclass with eClass Principles of Professionalism: Bundle of 4 classes includes Lessons 1 thru 4 \| 2.5 Hours \| \| 100 \| \| 999 \| \| Per Person \| \| \| Outclass with eClass Principles of Professionalism: Bundle of 4 classes includes Lessons 1 thru 4 \| 2.5 Hours \| \| 1000 \| \| + \| \| Per Person \| \| \| SIN \| Online Learning Course Title \| \| Course \| \| Minimum \| \| Maximum \| \| Unit of \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| Length \| \| Participants \| \| Participants \| \| Issue \| \| 874-4 \| Lesson 1: Make a Good Impression with the Right Business Attire \| 35 min. \| \| 1 \| \| 99 \| \| Per Person \| \| \| 874-4 \| Lesson 1: Make a Good Impression with the Right Business Attire \| 35 min. \| \| 100 \| \| 999 \| \| Per Person \| \| \| 874-4 \| Lesson 1: Make a Good Impression with the Right Business Attire \| 35 min. \| \| 1000 \| \| + \| \| Per Person \| \| \| 874-4 \| Lesson 2: Project Professionalism through Body Language \| 45 min. \| \| 1 \| \| 99 \| \| Per Person \| \| \| 874-4 \| Lesson 2: Project Professionalism through Body Language \| 45 min. \| \| 100 \| \| 999 \| \| Per Person \| \| \| 874-4 \| Lesson 2: Project Professionalism through Body Language \| 45 min. \| \| 1000 \| \| + \| \| Per Person \| \| \| 874-4 \| Lesson 3: Making an Entrance and Mingling with Confidence \| 35 min. \| \| 1 \| \| 99 \| \| Per Person \| \| \| 874-4 \| Lesson 3: Making an Entrance and Mingling with Confidence \| 35 min. \| \| 100 \| \| 999 \| \| Per Person \| \| \| 874-4 \| Lesson 3: Making an Entrance and Mingling with Confidence \| 35 min. \| \| 1000 \| \| + \| \| Per Person \| \| \| 874-4 \| Lesson 4: Electronic Communications \| 35 min. \| \| 1 \| \| 99 \| \| Per Person \| \| \| 874-4 \| Lesson 4: Electronic Communications \| 35 min. \| \| 100 \| \| 999 \| \| Per Person \| \| \| 874-4 \| Lesson 4: Electronic Communications \| 35 min. \| \| 1000 \| \| + \| \| Per Person \| \| \| SIN \| Support Product Description \| \| Unit of \| \|---\|---\|---\|---\| \| \| \| \| Issue \| \| 100-03 \| Honor & Respect The Official Guide to Names, Titles, and Forms of Address (2nd Edition, 2013) by Robert Hickey, The Protocol School of Washington, South Carolina, 552 pp., ISBN: 978-0-615-19806-4. \| Each \| \| 8
FEBRUARY 7, 2015 NCA WINTER TRACK & FIELD CLINCIANS Session # 1 - 8:00-8:45 AM Matt Bingle, University of Minnesota – Sprints: Matt is in his fourth season as director of women's track & field and cross country for the Golden Gophers. Entering his 12th season overall at Minnesota in 2014-15, his influence as the program's recruiting coordinator and his ability to attract some of the nation's top talent has been the primary reason for Minnesota's success both in the Big Ten and on the national scene. His coaching contributions have paid dividends for the Golden Gophers during the past 11 seasons as evidenced by the four Big Ten titles and a pair of top-20 NCAA finishes in track & field. Before arriving at Minnesota, Bingle spent five years (1997- 2002) at Eastern Michigan as an assistant coach of both the Eagles' women's cross country and track & field teams. Prior to accepting the position at Eastern Michigan and one season (1997) as an assistant men's and women's coach for cross country and track & field at California-Irvine. Bingle entered the coaching ranks at Northern Arizona where he served as a graduate assistant coach from 1995-97. Bingle owns a USATF Level II Certification and served as the assistant technical manager of the NCAA Indoor Track & Field Championships from 1995-97. He is a veteran director of the Minnesota Track/Cross Country Camps. Peter Miller, University of Minnesota – Discus: Is in his second season with the Golden after joining the University of Minnesota women's track & field staff in summer 2013. Miller, a former Gopher student-athlete, serves as an assistant coach for throws and high jump. In his first season with the Gophers, Miller coached the 2014 Minnesota throwers to a pair of Big Ten runner-up finishes and one Second Team AllAmerican award. Minnesota's throwers secured 12 indoor career-best throws and added 22 more lifetime-best marks during the outdoor season. Miller returned to his alma mater after two successful seasons as the throws coach for the University of North Dakota men's and women's track & field teams. In 2012, Miller's throwers broke eight school records and won three Great West Conference individual titles. During the 2013 season, UND's throwers were responsible for seven more school records, four NCAA qualifiers, four USA Junior National qualifiers, one USATF Junior All-American, one All-Academic award winner and 35 UND top-10 performances. In addition to his success as a coach, Miller played a key role in the fundraising and construction of a hammer cage in UND's practice facilities. He also helped design the school's new indoor practice facility and the current indoor and outdoor throwing areas. Prior to his arrival at UND, Miller coached throws and combined events at Wisconsin-River Falls for three years FEBRUARY 7, 2015 NCA WINTER TRACK & FIELD CLINCIANS Session # 2 - 9:00-9:45 AM Dick Booth, University of Alabama – Horizontal Jumps: The Hall of Fame coach is in his third season on the University of Alabama track and field coaching staff as the Crimson Tide's jumps coach. As one of the world's most successful jumps coaches, Booth's career has included 49 NCAA individual champions and 165 All-America performances. Under Booth's direction, Alabama jumpers have earned 11 All-America citations in just two years. In the summer of 2012, Booth received one of the highest honors in collegiate coaching as he was named to the U.S. Track & Field and Cross Country Coaches Association (USTFCCCA) Hall of Fame for a nearly 40-year career that has established him as one of the preeminent jumps coaches in the world. The veteran coach joined the UA staff after two seasons at Florida where his jumpers helped the Gators to the national championship at the 2011 NCAA Indoor Championships. Prior to joining the Gators, Booth spent a combined 27 seasons as the men's field-events coach at the University of Arkansas with a four year-hiatus between Razorback tenures to serve as the head coach at Louisiana-Lafayette. Every Arkansas school record-holder in the men's field events was either coached or recruited by Booth. Booth served as fieldevents coach at the Arkansas from 1978-84 and 1988-2009. During his second stint at Arkansas, the Razorbacks captured 14 NCAA indoor track titles with a string of eight consecutive outdoor championships between 1992 and 1999 and another championship streak from 2003-06. A native of Blue Mound, Kan., Booth completed collegiately in the quarter mile at Ottawa University. He began his coaching career in the Kansas high school ranks with positions at Wellington (Kan.) High School, Fort Scott (Kan.) High School and Shawnee Mission South. He gained a reputation as one of the premier prep field events coach in the country while working with four state record holders in seven seasons at Shawnee Mission South. Andrew Valmon, University of Maryland – Relays: Andrew Valmon is in his 12th season at the helm of the Maryland track and field program. His experience as an Olympic Gold Medalist, combined with 18 years of collegiate coaching and an expanding experience on the international level, have helped bring Maryland's cross country and track programs to prominence. On the track, Valmon has spent his time producing multiple All-Americans. During his tenure, 41 student-athletes have earned All-America honors for their performances on the national stage. In addition, 16 school records have been established. In the summer of 2012, Valmon reached the highest level of his coaching career when he was chosen as the head coach of the U.S. track & field team at the London Olympics. As a result of Valmon's leadership, Team USA achieved the second highest medal count in history. Twenty-nine medals were earned in the sport of track & field, including nine gold, 13 silver, and seven bronze medals. Valmon is no stranger to relay success at the highest level. Prior to joining the coaching ranks, Valmon forged an outstanding career as a professional and Olympic level 400-meter runner. He earned gold medals as a member of the United States 4x400 relay teams in the 1988 and 1992 Olympic Games. Valmon, who won two Olympic Gold Medals during his career as an athlete, came to Maryland in 2003 after serving on the track and field staff at Georgetown University beginning in 1995. Valmon is the founder of the Avenue Program (www.avenueprogram.org), an organization designed to positively impact the lives of underprivileged youths by introducing them to successful athletes and professionals, as well as organizing track and field clinics. FEBRUARY 7, 2015 NCA WINTER TRACK & FIELD CLINCIANS Session # 3 - 10:00-10:45 AM Cliff Rovelto, Kansas State University – High Jump: - Under the direction of Cliff Rovelto, the Kansas State Track and Field program has not only experienced a consistent stream of success, but has also established itself as a force among fellow elite programs in the nation. Rovelto is in his 23rd season as the head coach at Kansas State and his 27th at the school overall. The steady progression of the K-State program culminated in 2001 with Rovelto being honored by his peers as the women's outdoor National Coach of the Year by the U.S. Track Coaches Association. During his tenure, he has led Kansas State to back-to-back Big 12 Conference women's outdoor team championships in 2001 and 2002 and has earned consecutive Midwest Region Coach of the Year honors, giving him five such honors in his 23 seasons as the Wildcats' head coach. Prior to the start of the 2005 season, Rovelto earned the United States Women's Track and Field College Coaches Award for Service at the USA Track and Field Convention. This past season saw Rovelto lead the Wildcat men's and women's squads to top-20 finishes at the NCAA Outdoor Championships. The men's 19th-place finish made it four-straight seasons they have finished in the top25, a program first, while the women's 20th-place finish was their second-best placing in the past decade they finished 13th in 2011. It was a complete effort as of the 13 K-State entries in Eugene, Oregon, 10 earned at least first or second team All-American status. Rovelto has also coached some of the nation's top jumpers and helped establish K-State as one of the elite high jumping schools in the nation with seven NCAA Champions in his tenure as head coach. While at Kansas State, he has coached 51 All-Americans and 30 conference champion high jumpers, while leading 23 All-Americans and 17 conference champs in the long and triple jump. In the pole vault, he has coached a two-time NCAA runner-up and a two-time NCAA third-place finisher. Ryun Godfrey, Kansas State University – Middle Distance: Coach Godfrey is in his first season with KSU. He is a seasoned veteran of track and field and cross country with a resume that boasts 30 conference titles and numerous Coach of the Year awards, enters his first year with the Wildcats as the head cross country and assistant track and field coach. Prior to joining K-State's staff, Godfrey spent 14 years at North Dakota State University as the head women's track and field and cross country coach. Specializing in the sprints/mid-distance/distance events, he coached eight All-Americans in indoor track, 11 All-Americans in outdoor track, and two Academic All-Americans in cross country. Most recently, Godfrey swept the 2014 U.S. Track & Field and Cross Country Coaches Association (USTFCCCA) indoor and outdoor women's Coach of the Year awards for the Midwest Region - one of only four women's coaches to accomplish such a feat this past season. He was also named Summit League Women's Coach of the Year in cross country and indoor track and field, a honor he has won a combined 17 times including sweeping the award each of the last three years. Under Godfrey's guidance, the Bison won 14 league titles after joining the Division 1 Summit League in 2007 and became the first school in league history in 2012 to win five straight conference titles in both indoor and outdoor track. In addition, the program has claimed the league's "Triple Crown" the past three seasons as well - a cross country, indoor and outdoor track and field conference title sweep. Godfrey's most notable season as head coach came in 2008-09, where NDSU, in its first year of eligibility for the Division I Championships, saw Laura Hermanson compete at the NCAA Indoor Championships in the 800 meter. She would go onto to finish seventh and earn the Bison's first ever All-America honors. Individually, Godfrey has coached 11 women since 2009 to a combined 15 total Division I All-America honors - three of which were directly coached by Godfrey in the 800 meter race.
LEGISLATIVE ASSEMBLY FOR THE AUSTRALIAN CAPITAL TERRITORY STANDING COMMITTEE ON HEALTH, AGEING AND COMMUNITY SERVICES (Reference: Inquiry into the implementation, performance and governance of the National Disability Insurance Scheme in the ACT) Members: MR C STEEL (Chair) MRS E KIKKERT (Deputy Chair) MRS V DUNNE MS C LE COUTEUR MR M PETTERSSON TRANSCRIPT OF EVIDENCE CANBERRA TUESDAY, 22 MAY 2018 Secretary to the committee: Ms K Harkins (Ph: 620 70524) By authority of the Legislative Assembly for the Australian Capital Territory Submissions, answers to questions on notice and other documents, including requests for clarification of the transcript of evidence, relevant to this inquiry that have been authorised for publication by the committee may be obtained from the Legislative Assembly website. WITNESSES i Privilege statement The Assembly has authorised the recording, broadcasting and re-broadcasting of these proceedings. All witnesses making submissions or giving evidence to committees of the Legislative Assembly for the ACT are protected by parliamentary privilege. "Parliamentary privilege" means the special rights and immunities which belong to the Assembly, its committees and its members. These rights and immunities enable committees to operate effectively, and enable those involved in committee processes to do so without obstruction, or fear of prosecution. Witnesses must tell the truth: giving false or misleading evidence will be treated as a serious matter, and may be considered a contempt of the Assembly. While the committee prefers to hear all evidence in public, it may take evidence incamera if requested. Confidential evidence will be recorded and kept securely. It is within the power of the committee at a later date to publish or present all or part of that evidence to the Assembly; but any decision to publish or present in-camera evidence will not be taken without consulting with the person who gave the evidence. Amended 20 May 2013 The committee met at 1.47 pm. O'DEA, MS KARNA MILFORD, MS JANET HECKENDORF, MR DAVID THE CHAIR: Good afternoon, everyone, and welcome. I formally declare open this public hearing of the Standing Committee on Health, Ageing and Community Services inquiry into the implementation, performance and governance of the national disability insurance scheme in the ACT. The committee will be hearing from individuals and carers with lived experience of the NDIS in the ACT. I remind witnesses of the protections and obligations afforded by parliamentary privilege and draw your attention to the privilege statement on the desk. Can you confirm for the record that you understand the privilege implications of the statement? Ms O'Dea: I do. Mr Heckendorf: Yes. Ms Milford: I do as well, yes. THE CHAIR: Proceedings are being recorded for transcription purposes. We will get underway with five-minute statements from each of you, and then we will have questions from the committee. Ms O'Dea: I have two participants in the local NDIS—a daughter with quite severe autism and cognitive limitations, and a son whom I suspect under the current scheme might be excluded if they bring up autism level 2, which is quite amusing. I wrote a submission because—I will be blunt—I am sick of seeing a lot of other parents who cannot advocate for themselves being screwed over. I am talking about my lived experience as a carer. I am talking about caring for quite hard people. These are the ones with what is euphemistically called "challenging behaviour". Challenging behaviour can be aggression. I think it is called oppositional conduct disorder if they have enough brains to be able to do that. My son can pinch, bite and scratch with the best of them. I can pinch, bite and scratch with the best of them because I am not putting up with being pinched, bitten or scratched. But I have found these are the common themes, and they were also mentioned by Camilla Rowland and I think the carers lady, Kerry Smith, or whatever her name was. Challenging behaviour is not properly addressed in the NDIS, and that brings me to another issue: providers are still cherrypicking. I can name or two three providers who do not want difficult people because they are difficult. But I also would say that maybe those people do not get enough funding so that they can employ one on one for those people, so that would be a fault of the NDIS and the provider. I also think all providers should be like aged-care people—they should be registered and regulated. There should be some penalties if they do not accept all comers. The other thing is that I am really, really angry about respite. People in the NDIS like my two only live in the community because they have what are called informal supports. Informal supports are the families that provide the infrastructure, which look after these people. In the case of our son it is me, my husband—who is now my boy's primary carer—and his sister. My daughter is now in a group home with another girl who has similar challenges. I will not name that girl but the care has been quite good. If I had Lucette living with me I would buy a unit and push them over the balcony— and I am not being funny. She is really, really hard work, and unless you look after somebody who is like a toddler you do not understand. I was so ropeable last year with the debacle at Marymead. What you need to understand is a lot of parents like me who are doing the hard yards are still only in the caring game because they get a break from the caring. If we did not get every second weekend off I would not be caring for my son. I have been doing this gig for 30 years and I am fed up to the back teeth. I also have a husband who is sick every now and again and who drops his bundle, which annoys me because I am still working. But I am saying to you that what you need to understand is the NDIS is not only about the participants, particularly in the case of people with mental illness or cognitive limitations. You need to look after the people who are basically providing the care, and the NDIS is predicated on informal supports, which is usually only the family. And I am sure you are getting a lot of submissions with families saying, "I'm looking after Billy. Billy's a pain in the neck. This is what I need for Billy." I really, really get tired of seeing stories in the paper like the story of an elderly man who is 85 or so who has a 48-year-old son. The NDIS needs to step up to the plate to help facilitate those parents to transition these children to supported accommodation before the parents drop dead. You need to do the transitioning while the parent is able. I think that poor man's wife had died. There used to be a scheme under the ACT government that catered for older carers, I think it was 65 and up. They provided adequate respite, and I think they also started to encourage people to consider what they were going to do with Billy, Mary or Sara. You need to think about that because you have to remember that families die. I am sorry; I love my normal daughter. I do not think she wants to inherit her two disabled siblings like she inherits the lounge suite. She might keep an eye on them but she is not going to care for them, so that is why I am using the care provider Care Plus Services and we are looking at an intentional community with another friend to cater for my son. I expect the ACT government to step up to the plate for that because, I am sorry, you are really not out of that space despite what you would think, and I am not being rude. That is the reality of it. You need to help older parents with things such as estate planning, supported accommodation and what they are going to do with these children when they die. Who is going to keep an eye on them, because most of them will need somebody to look after them, whether it is a sibling, a cousin, a circle of support or whatever trendy thinking people can come up with? THE CHAIR: Thank you very much. Ms O'Dea: I have not finished. I will be quick. The other thing you need to realise in Canberra is that you need a provider of last resort. This is to deal with the very difficult people who all the other providers reject. And can you please exercise goodwill and stop buck passing between yourselves and the NDIS. If people relinquish they relinquish because they are so fed up and desperate. You cannot leave those people in Marymead or the Disability Trust house or Ricky Stuart House; there needs to be an arrangement whether they are under 18 or over 18, because they still need care due to their cognitive limitations. Yes, I really do want you two to work together with parents to work out who is the provider of last resort. Who is going to take on these difficult people? Please do not leave them languishing. As another parent I know who has relinquished her child said, "I have relinquished his care because I cannot do it anymore. But I haven't relinquished my child." You need to bear that in mind. So they are my issues, and I really do want you to understand that you are signatories to the NDIS agreement. You can say to them what the ACT people need, and it is not all the NDIS. The NIDS, I have found, have had some very good people and, because I can advocate, I have on the whole got what I have needed. But it is not just funding; you need the supports in place and you need to look after both the caree and the person who does the caring. If my husband gets very sick—I will be blunt—I am relinquishing my son because I do not want to be a single carer. I do not have the mental wherewithal. That is why my friend and I are looking into an intentional community, and we expect the ACT government to help us with that. THE CHAIR: Mr Heckendorf, you have provided and tabled your opening statement, so thank you very much. Ms Milford: I am a carer—but I prefer "support person"—for my son who has a psychosocial disability, having a chronic, severe ongoing mental illness and complex needs. I have been a strong advocate for the inclusion of people with a psychosocial disability into the NDIS and, importantly, for their complex needs to be understood by the NDIA. Our son's initial NDIS package made a positive difference in his life and in ours. He has never had so much ongoing relevant support. Being considered a success story, I became involved in promoting the NDIS, presenting and advising in many forums. When his first annual plan review was due, we all prepared for the interview and attended with some trepidation. We were quietly confident that current services and supports would continue and were hopeful that additional requests would be granted. It was then an immense shock and very distressing when we received the new plan. The funding was less than a quarter of the original plan. How were we going to pay for current services and support? In addition, and somewhat absurdly, NDIA had added a plan manager to employ other services but with inadequate funding for these services. My advocacy work was now a very cruel, ironic joke. There was no explanation from NDIA, no covering letter as to why they felt this cut in funding was justified. We were devastated. The consequences of this were terrifying. The new plans would have left our son with only token NDIS support, and we were too frightened to tell our son, knowing that this would have an adverse impact on him and the progress he had made to date. This process highlighted that the NDIA seemed to have very little understanding of psychosocial disability. What damage were they inflicting on people with psychosocial disability and their carers and families by giving them funding, hope and a better quality of life one year and then taking it away the next? This reinforces what has continually happened to them in the past. After an urgent plan review and ongoing negotiations we clawed back a lot of the funding to produce a valuable package to continue with current support services, along with a plan manager to manage the plan. This was not completely satisfactory, but it was an improvement. We also realised that we were not alone, as we found out from our service provider, who is working with NDIA on behalf of their other clients who also had their funding slashed. After further negotiations, corrections, seven plan revisions and with the assistance of Community Services, we received a workable plan with better funding. During this period one of our key workers had not been paid for over five months and our service provider had delays in payments as well. The NDIA computer system was problematic, and even NDIA staff were unable to fix their own data errors without generating another plan. Our plan manager discovered that a data entry by NDIA had shifted the decimal point, resulting in underfunding for one key worker. Our service provider was also having problems with the NDIA recognising the correct payment rate for their staff during the mental health recovery focus practices. NDIA insisted in paying them at a lower rate that was less than core support. We are very worried and apprehensive about our upcoming annual plan review. We do not want any further trauma or anxiety in our lives or to have to deal with the fallout of any funding cuts in our son's plan. Having to continuously fight for his funding is something we do not want to contemplate. We cannot continue to do this for the rest of our lives. We should not have to fight. THE CHAIR: Thank you. We will take questions from the committee. I will go first, with a question to Ms O'Dea. It is in relation to respite services. What sort of respite is currently provided and what level of funding is provided for that respite? Ms O'Dea: My son got a very good plan this year of $220,000. That is because he leaves school at the end of the year. That will be a whole new ball game, but I have already started the transition process. He goes to Marymead. He needs one-on-one. He is high needs; he is large; he is 6 foot 2. He can be difficult for other people. But, as I said, he will not try it on with me because I have no patience. I have no patience at all with government and I have no patience with my son. But Marymead have been pretty good. They have had some very good carers. A lot of the boys and girls I have seen at Marymead would be similar. They would have severe to moderate autism. They have cognitive issues and they have challenging behaviour. Marymead has always stepped up to the plate, or usually stepped up to the plate. Twenty years ago they took on the difficult ones no-one wanted. A lot of the providers only want the cute, cuddly ones. I am sorry, I have not met many cute, cuddly ones. A lot of them have issues and, at the least, you live it. I can only talk about autism at the lower end of the spectrum. But even the high functioning ones can often have mental health issues. They can have OCD. They can be equally as trying for the people who look after them. I will be honest. I think parents do a pretty sterling job. I have met brothers and sisters who are still doing a sterling job. I sometimes think, "Why are those poor siblings still carrying the can?" They probably have had their childhoods marred to some extent. People say, "You should not say they are a burden." They are a burden of care because you worry. I cannot just up sticks, go away and have a lovely holiday with my spouse. As Vicki knows, we have been married for a very long time, but everything is planned. I went to Norfolk Island last year because I was knackered. Do you know what "knackered" means? It means that we are ready for the knackery—to go. My husband could not come with me. I am getting really tired of that. I want a life where I do not have to always think, "What am I going to do with the person I have to look after?" I am sick of caring. I am so sick of it. I do not think you understand until you care for somebody. If you look after somebody with dementia, that can be very hard and very tiring, but they die. People who are physically hale and hearty last a long time. That is why I want my son in very good supported accommodation. It is so that I actually can be his mum, not his carer, his warder, his custodian. I am very tired of it. THE CHAIR: What does that $22,000 incorporate? Is it enough to fund the respite that you think is adequate? Ms O'Dea: Getting every second weekend off means, for example, that my husband can go to Sydney to have a look at the museum of funny medical things at the University of Sydney. I want to do that. We are going to a retreat next weekend. Sometimes when he is sick, he spends the day in bed and I go to the library in peace. They are not exactly world-shattering things. I do a lot of dog walking, partly for my son's benefit and partly for my own benefit. I can catch up with my sister-in-law and go to the films. I cannot just bugger off whenever I like because you cannot leave my son. You cannot take him to the films. I do not think he would cope going to church. We go separately to mass because we are Catholic. That is the reality, but I am getting really tired of the reality. If my husband died, I am sorry but I have friends who are single carers, and it is a very hard thing to do. MS LE COUTEUR: I am interested in anyone's views on this but particularly Mr Heckendorf's views about options for review. You talked about the ACT government and how previously it was clear how a plan and support could be reviewed. Now that does not seem to be the case. Could you talk more about that and the needs you have for it? Mr Heckendorf: As you would be aware, there has been recent media coverage that has said that reviews of plans—not annual plans but requests for reviews—have been taking up to nine months in the ACT. You spend eight and nine months and you have an annual review anyway. It makes the whole review process a joke because you are not achieving very much by having such a long review process. Does that cover your question or was there more? MS LE COUTEUR: Is there more that could be done in the ACT? Mr Heckendorf: Under the previous regime, if you had significant disabilities, the chances were that you had a relationship with Disability ACT. Disability ACT knew what was going on, spoke to the service providers and came up with solutions, and often very creative solutions, and so forth. It was not perfect. The funding was always an issue but you were taken care of at the local level. There seems to be a real paranoia of opening the floodgates if the NDIA agrees to anything out of the ordinary or provides for something that is not standard. MS LE COUTEUR: Do either of you ladies have a view about that question, about review options, given you both have had issues with— Ms Milford: With their plan review? MRS DUNNE: Yes. Ms O'Dea: I have had actually good plans. I am sorry to butt in on you, Janet. The staff I have dealt with—I have actually asked for the plan—have been very good. My daughter Lucette gets an enormous plan because it is 24/7 support. Actually, I have found with the NDIS that the money has been quite generous for us. That is my experience, but there have been a lot of cruel stories in the press. They all have a foundation. The worst was a man with motor neurone disease being told he did not need a lift in his car—he bought the van himself—because he may not last. How long might a man with motor neurone disease last? Stephen Hawking had motor neurone and he lasted a long time. That was a cruel, nasty and rotten thing to say to some poor devil suffering from that. That disgusted me. MRS DUNNE: In your case, you seem to have had a review process. Ms Milford: Yes, we had a review process. We asked for a face-to-face meeting and we asked for someone with a background in mental health. We got the face-to-face but the person obviously did not have any background in mental health. There was the clinical manager, a support coordinator, me and my husband at the review plan. We had all written our bit. Because I am an advocate, I knew the process. I had a carer's statement and everything else. We were all saying that the support should continue, and we wanted a few other things. We had no idea at the interview how it went—absolutely none. Our support coordinator said that she had been to several interviews and she never knew what the outcomes were going to be, because they were all different, and that you did not get an idea at the time. Also, the compulsory questions were mostly on physical disability. There were not any on psychosocial. The person we had obviously had no idea. My son was actually unwell during the interview. His clinical manager had to talk to him. But the guy would have had absolutely no inclination that anything was—had no idea. So we had no idea when we left. I could not really expand on a lot of things. It was a kind of strange interview. Anyway, we thought that it was working—we had never had so much help—and that we were actually making progress. But he needs ongoing, continuous help, probably for the rest of his life. It fluctuates and it is hard. The other thing, too, is that if it is a parent and a child, there is often tension. I have heard this from other people too. It has destroyed relationships between family members because often the carer has to tell, in front of the person—especially if it is an adult child—how bad they are to get the supports that they need. That can be absolutely ruinous. When we first went, I did a carer statement. Mental Health Australia has a carers' checklist that you can go through and fill in. They have lots of information from all the documents that you have put in—from your practitioners and from reports that you might have had. We put in as much information in the first instance as we possibly could. We also put in the impact on the family and the carer, what we did and all this. I think, based on the forms that you have to fill in, they have enough information there without having to interrogate you in front of the person you care for. If they really need to, why can't you have two interviews? Why can't you take the carer aside and have a separate interview? Ms O'Dea: Yes, good point. Ms Milford: Often in a situation there is more than one perspective. It is not until you get a few perspectives that you get the true picture. With something like psychosocial disability, it is very complex. It is very hard. You have years of experience of what works and what does not work. In the psychosocial disability or mental health space, we talk about recovery focus. Recovery does not mean getting better. It means giving them hope and giving them recovery-based practices that capacity build, that get them to be able to live a more independent life. It also takes a long time and a lot of repetition to get them to that stage. You probably have to keep doing it, but it is to give them independence and self-esteem. I could go on. MRS DUNNE: I will follow up on that because this is something that came up in evidence elsewhere, Ms Milford. You touched on recovery. Ms Milford: Yes. MRS DUNNE: There seems to be a perception in the NDIS that if they put enough money in an early program they will need to do less in future because people will get better. Ms Milford: Well, they will not necessarily get better. If they have a severe chronic mental illness it does not mean they will get better. And, within that, it fluctuates and they need different kinds of help at different times. I mean, a lot of people say they might need more help when they are ill, but if they have got funding in there for job training, if they are unwell then they cannot do the job training. It is not just when they are unwell; it is when they are well as well. It is quite complicated. MRS DUNNE: I do not want to put words in your mouth, but could you summarise that your experience was that you dealt with people who did not have sufficient understanding of your son's condition to make the right decisions? Ms Milford: Yes. And it did not seem that he had read some of the documents. I guess because he did not have the background he probably was not asking the relevant questions. I was ready to explain and talk and blah, but I had nothing. It was just a strange interview, which demonstrated to me that he did not know anything about psychosocial disability. I think he knew a little bit about anxiety but not the anxiety that our son experiences or people with mental illness would experience. He had no depth of understanding, and he had no training. We were asking for the same supports, plus a plan manager, so that we could employ people that were not registered with NDIA and they would look after the finance, and they gave us a plan manager but we did not have enough money to pay for the support we already had. MRS DUNNE: How long did that take, the review process? You clawed back some money, but what proportion of it did you claw back? Ms Milford: In the first instance we had an interim plan which was really reduced. In three plans it was still reduced and then we got probably up to about 80 per cent back. We did not get it up to what it was before, but nearly. Then we had another one that was increased, and another one that was the same. Our service provider had a lot of clients who had had their funds slashed and they were working with NDIA to get them to understand. They use qualified staff. You have to be a peer support worker who understands capacity building and is recovery focused. With some degree of psychosocial disability, goals and aspirations could be anything from: "I want to get up out of bed in the morning" to "I want to get a job" and anything in between. And it is even difficult for them to be able to articulate that. We used peer support workers—Your Choice I think, but I have written it all in my submission. They were able to work with my son over months—it depended on his medication, how well he was, what time of day et cetera—to get him to say what his goals and aspirations were. We also put in what he needed. It is his plan and it is his choice and control, and it is to make a better life and a more independent life for him. What made a big difference when we got the plan was that we had managed to get a transfer for housing. It is absolutely appalling the housing they are put in; they are put in amongst drug dealers and criminals, and it is just a nightmare. He was in Brian Hennessy, and we refused to let him out of there until he got better accommodation. So we managed to get a transfer to a better environment, in a little townhouse that was much, much better. It was near us and it was in a neighbourhood with other people with disabilities and older people, and he was safe. He felt safe. The problem with most of them is that they do not feel safe, and that adds to the trauma et cetera. MRS DUNNE: And that contributes to them being unwell. Ms Milford: Yes, it does. And it also affects the workers who are trying to help them because they do not want to go into places like that. They miss appointments. It is traumatic for the workers to go into places like that to help them. Anyway, that was a big plus, and it was also a big thing to be able to implement his plan. The only thing was that he only had one bedroom, and it would have been better if we had two so that in the event he became unwell we could have someone stay overnight and it would save calling in a CAT team or taking him to emergency or getting him into the psych ward. It can be managed, but you need somebody to be there. And, because it is a one-bedroom unit, you cannot have that. But there was no way we were going to go back to Housing and say we wanted another unit because God knows where they would have put us. MRS DUNNE: That lengthy process, how long did that take? Ms Milford: For the first plan, or the— MRS DUNNE: From when you had your funding reduced until when you got it back up to 80 per cent. Ms Milford: I have got dates. Our initial plan was from 20 May 2016 to 19 May 2017, and then we had an interim plan—we were away when the end of it should have taken place—and that was drastically cut. So that was 2 June 2017 to 1 September 2017. Meanwhile, we got an interview in July. So we got a plan on 5 July then we got another plan on 17 July, another plan on 18 July, another one on the 19th, one on the 24th, and then the final one on 26 October. It was because the computer system would not allow them to go in and correct or be flexible—that was part of the reason—to change data. They had to regenerate a new plan. I do not know if that has been fixed. MRS DUNNE: It took essentially five months to claw back up to 80 per cent? Ms Milford: No, the final plan we got was a much better plan, and it was more than we had before. But it was in stages. MRS DUNNE: And you are about to start another plan review? Ms Milford: The plan from 26 October is the one we are on now. MRS DUNNE: So that runs for a year? Ms Milford: It runs for a year, yes. I have heard you can get two-year plans, but I think that is new, so I do not know. That would be good, because it is very stressful. As carers and as families, we are all traumatised, especially in mental health. MRS DUNNE: All of you have substantial plans. Is the funding inside that flexible or are there particular buckets of money? Ms O'Dea: It is allocated to buckets. The 150 is a bucket for Mal's respite. I am sorry, I have not brought his plan. There was so much for capacity building, which amuses me. It took Malcolm two years to learn to peg out clothes on the line. I mean, he can learn, but you have to be constantly on his case. I do not know about Malcolm; he is not going to write the great Australian novel or get a Rhodes scholarship. I wish he could, but it took me 10 years to teach him to read and that was bashing it in and bashing it out. He can read, but I do not know. I heard the priest Peter Day, who runs HOME, and he said that they got tired of telling bureaucrats that sometimes these people are not going to improve; they are just going to be at the level they are and maybe you just have to accept it and realise that unless Jesus comes back there is not going to be a miracle. Seriously, you could get rid of the NDIS if the government funded Jesus's return, but he is not coming back in our time. He could heal all of them, but I have not seen it happening. Ms Milford: In our case the NDIS was our last hope, and it is the last hope for a lot of people. It did give us more choice and control. We were not a charity case just to be given what they thought they could give us and it would only last six months or something. The scheme has huge potential if it is done properly. We were able to have ongoing, continuous support, and that is what you never get. And you never get specific help for that individual's needs, and that is what the NDIS is supposed to do. It is supposed to give them a better quality of life. There was a big push to put my son in a group house. He had been in a group house before and he did not want to go back. We have all been in group houses as teenagers or whatever. Would you want to go back to a group house because it would be safer and it is manageable and easier to control? The NDIS has enabled him to stay in his unit on his own, with the support. He needs all that support around him. His physical health is pretty bad, so that needs a lot of support as well. MRS DUNNE: But do you have flexibility? Some people have more flexibility than others. Ms Milford: There is some flexibility. That is what we found, too: some of the headings kept changing, and I think that was one of the problems. We had a key worker, who we have still have, and we were so lucky our workers carried on providing services and supports when they were not getting paid. That does not happen for everybody. In a lot of ways we were lucky because I had been familiar with the NDIS from the beginning and I am also an advocate. But there are consumers who have no-one. Sometimes the support worker is the only person they have got and that support worker is not allowed to advocate for them. There is a shortage of advocates. We have only got ADACAS, and I think Carers have got a couple of advocates. In New South Wales all the advocacy agencies have gone to the wall because they all got block funding and now they get nothing. We need advocacy for these people because they do not have a voice. MRS DUNNE: Mr Heckendorf, do you have flexibility in your funding? Mr Heckendorf: We do. My wife and I are both physically disabled, so we have carers coming in from six in the morning for most of the day, until 9 pm. Our main agency at the moment is trying to argue that for all of my wife's lifting they should have double staff. The NDIS has refused them funds based on that premise. We personally would prefer not to have double staff because having both her carers and then another carer for me in the house at the same time or having two carers all day every day would just feel too crowded. We just do not feel the need is there to have double staffing for the lifting and so forth. But going back to your original question, at the moment we self-manage our plans because in a few months we are moving interstate, to Queensland. In order to facilitate the changing of jurisdiction, we have decided to self-manage so that we can engage the services we need going into a jurisdiction that does not yet have the NDIS rolled out. Self-funding gives us the flexibility of buying in the services we need. The downside, though, is that even though we can engage the specialist services we need, we cannot engage the non-traditional supports we need. Ms Milford: I did not answer the question about the flexibility. We found that sometimes the headings were changing, and that is why some workers had difficulty getting paid. There is some flexibility, but some of them have to be categorised under headings. I think if you have a plan manager and you can employ people outside who are not registered you get more flexibility. They say it is self-managed, but we do not want to self-manage because it is not sustainable. We are going to die or not be able to do it, and it causes tension et cetera. MR PETTERSSON: Mr Heckendorf, in your opening statement you say that your conjugal supports were funded before the NDIS. Why are those conjugal supports not funded now? Mr Heckendorf: I think it is because of ignorance when you mix sex workers with disability with government funding. As if one was not stigmatised enough, when you multiply it threefold you get people ducking for cover, trying to find different ways of avoiding funding that type of service. MR PETTERSSON: But public servants previously said it was okay? Mr Heckendorf: Yes. MR PETTERSSON: But now that it has gone to the NDIA to approve it, they say no? Mr Heckendorf: And the NDIA itself in the first two years approved it, although with each plan it became more and more vague, like: "We didn't want to know about this, but keep it there and we will see what we can do for you." But this year the delegate actually wrote to us and gave us two pages of reasons why it is not covered under the NDIS. If you are interested I can provide you, through the secretariat, with a copy of that decision. MR PETTERSSON: That would be a good idea. THE CHAIR: We are at the time where we have to close this particular segment. When available, a proof transcript will be provided to give you an opportunity to check the transcript and make any corrections needed. Thank you very much. BANNISTER, MS LOUISE FANNING, DR VANESSA MUIR, MRS KARINA MUIR, MR CLIVE THE CHAIR: Welcome. I remind witnesses of the obligations and protections provided by parliamentary privilege. I draw your attention to the pink privilege statement on the table before you. Can you state for the record that you understand the implications of the privilege statement? Ms Bannister: Yes, I understand. Dr Fanning: Yes, I understand. Mrs Muir: Yes, I understand THE CHAIR: Thank you for attending today. We will commence with opening statements from each of the witnesses. Ms Bannister, would you like to start? Ms Bannister: Yes. I am very nervous. I hope I can get through this. I have given everybody a copy of my submission in case I can't. I was very excited about the introduction of the NDIS scheme. It was going to be such a positive, life-changing event. The reality has been far from this. I have found the process— MRS DUNNE: Take a breath. THE CHAIR: You can take a break for few minutes if you like and we can come back to you. Ms Bannister: I found the process very disempowering. Thank you. I have become very depressed and anxious about my future and my relationship with my partner. I promised myself I was not going to do this. I am sorry. I will pull myself together. For me, the issues have been around the lack of transparent communication for the entire NDIS process. There should be options for good two-way communication. You should be able to see and comment on your draft plan. Where else are you expected to agree to and sign a contract before even being able to read the fine print first? I am on my third plan now. With this third plan I actually asked to see a draft and I was allowed to. Previously, I was not and when the plan arrived it was completely a surprise. It was not what we discussed. If there are issues around funds approval you should be given the opportunity to supply the necessary extra information prior to being told that you have been unsuccessful and will need to go to decision review. Everyone I know has had to go to decision review. Surely this indicates that the current process is broken. I know a lot of people who are on the NDIS plans and they have all gone to decision review. I am currently going through the process at the moment. The plan document is not useful to someone who self-manages. It provides me with details about me, which I already know, but gives me very little detail or guidance on what I can spend my allocated funds on. I was allocated $147,000 in my core funding last year and no-one could explain to me what it was for, except that it definitely was not for my requested major home modifications. The money was put into my core budget, and my core budget is substantially for cleaning and gardening. There needs to be an easy communication channel for participants seeking clarification on different or unexpected amounts in their plans. I am also concerned about the NDIA second-guessing approved OT and physio report recommendations. The NDIA needs to recognise and respect these experts. My OT has written her reports four times over my three plans, regarding my major home works. Once again, her recommendations have not been accepted outright. This time I have been asked by the NDIA to supply quotes and yet another OT report for installing a platform lift in my lounge room instead of raising the floor level, even though my OT has clearly stated in every report that a platform lift is not a viable option in our very limited space. We have put a lot of love and money into our home to make it ours. I do not want my home to look like a hospital or institution. Surely it is not unreasonable to have a home that is accessible, well designed and aesthetically pleasing to the eye. In another lifetime I would have liked to be an interior decorator. Planners have all suggested that we look at other accommodation options, which we have explored. The short answer is that I do not want to move, nor could we afford the move. When I contacted the Ginninderry developers last year, I was told that there were no suitable properties for me at the moment within my budget. They suggested that I contact a developer who was building a group home in the Dickson area. I was rather shocked and taken aback by this suggestion. I am married with a family. Our local real estate agent rang me a couple of months ago to say that they had found another possible property. The real estate was valued at $799,000 and it would still need major bathroom and other modifications to make it wheelchair accessible. That is 6½ times our original mortgage, which we still owe $80,000 on due to the renovations we have done over the years. My partner is due for retirement next year; so I just cannot see us taking on that sort of cost now. I would also like to raise today my concerns about the rumblings that the taxi subsidy scheme is earmarked to cease. If I lose my taxi subsidy I will lose my ability to participate in the workforce and my many community roles. I will also be in danger of becoming seriously isolated. I am a very active community member and disability advocate. Social engagement is an important part of my keeping mentally well. My NDIS transport payment is only $94.50 per fortnight. The taxi fare to my current place of work is $45 each way. I am also registered as a casual teacher at CIT. It costs approximately $70 each way to travel to CIT. Can the ACT government please work to ensure that the taxi subsidy scheme is not lost and that people with disabilities are not left stranded and isolated in their homes? I thank the committee members today for their time and deliberations. Many thanks for letting me tell my story. THE CHAIR: Thank you, Ms Bannister. Dr Fanning, would you like to provide an opening statement? Dr Fanning: Thank you. I am not sure whether I am the only one coming before you who is not on the NDIS. The reason I am not on the NDIS, I believe, is a failure of communication and a failure of transition arrangements between the ACT government and the NDIS. I was diagnosed with multiple sclerosis, which, as you probably know, is a progressively disabling neurodegenerative condition, in 1998. I have been on the disabled pathway for 20 years. For most of that 20 years I have funded my own requirements, but in 2013 I applied for support from the ACT government, under the enhanced services offer grant, and I received one. The letter I received at that time said that I was a person considered in priority need. I was advised that it was successful in April 2014 and I think it was paid in May 2014. The letter that I received from the then minister, Joy Burch, said that she hoped that it would help me meet my needs pending the launch of the NDIS in July 2014. From that correspondence, and from the chain of events, I assumed that I was a registered recipient of disability assistance in the ACT and that my details would be made available to the NDIS, as per the transition arrangements on the NDIS website, and that I would be contacted in due course. After I became aware that my peers with multiple sclerosis were being contacted by the NDIS, I rang the NDIS and asked when I would be contacted. They said they had no record of me. By then I had turned 65. So they said, "Sorry; too late." I wrote to the ACT minister; I wrote to the federal minister; I wrote to the chair of the NDIA; I wrote to my local member. I had made an initial inquiry of the Ombudsman. I made every representation I could think of. To be fair, the then minister for disability, Chris Bourke, was very sympathetic to my situation and basically said, "Surely, this is not the way the system is intended to work?" But the end result was that I was told there was absolutely no discretion under the legislation for me to be admitted to the NDIS, even though at the time it was launched in the ACT I was of eligible age, I clearly had a permanent and worsening disability and I was a resident of Canberra. I met all the criteria and I was trapped by what I would describe as a "gotcha" mentality on the part of the NDIS. I was very disappointed that, although the ACT minister made representations to the federal minister, at no stage did the ACT government acknowledge that my information should have been made available to the NDIS. I should have been asked if I wanted my information to be made available to the NDIS or they should have advised me on what I needed to do. I have had a career in government. I had to retire eventually, due to the impact of my illness. But I am thinking that if a person like me can be caught out by an administrative requirement like that and be excluded from the NDIS basically because of an administrative error, whatever the reason for that administrative error, there is a serious problem for people who are living in much more marginal situations than I am or for people with a cognitive disability. Going forward, it would appear that there is absolutely no discretion in the legislation for me to be admitted to the NDIS post hoc and the assistance for which I am eligible now is simply aged care. My disability is totally non-age related and I have very specific requirements. The kind of assistance I need is the kind of assistance that I want to help me stay well, to engage in the community, to continue my voluntary work and not to be socially isolated, like my neighbour here. Under aged care, I have no choice of provider, so I cannot go to a specialist in neurological conditions. I have to go to the physiotherapist that is available through aged care. I have a limited choice. There are a whole range of differences between what is available under aged-care support and under NDIS support. The NDIS support is, quite rightly, an insurance scheme. The government expects people to work until the age of 70 and to continue to participate in the community. That is exactly what I want to do. That is exactly what the NDIS is supposed to support and, of course, to provide support to my husband. He also has some health issues. If anything should happen to him, I would be in very grave difficulty indeed because I depend very much on him for assistance in my daily living. I think I will pause there. THE CHAIR: Thank you, Dr Fanning. Mrs Muir, do you have an opening statement? Mrs Muir: Yes. This is basically a summary of my submission. I would like to thank you for the opportunity to talk about my experience with the NDIS and also for your continued support. I am going through my second review at the moment. You have provided advocacy and support for me through Wendy Kipling. I entered the NDIS with many hopes and dreams. It is a great Australian initiative, an insurance scheme based on United Nations principles. I can live in my own home and have a solution for my children if my husband is unable to care for me. I can now directly employ support by self-managing, due to the high education level of Canberrans and the number of tertiary institutions. That is important to remember. I am very lucky. My husband and I have work history in interviewing, writing job descriptions, negotiating agreements and mentoring staff. I can develop and implement health and wellness plans with exercise physiologists who share my dreams of innovative health outcomes. To turn to the NDIS, I needed to accept that I am permanently disabled, that my disabilities are degenerative and can only get worse. I have major psychosocial disabilities, Parkinson's, rheumatoid arthritis and rare genetic hemiplegic migraines. The NDIS did not seem to use any existing record system to smooth my past into the scheme, nor did it implement the Productivity Commission's inquiry recommendations from health groups I belong to. I had to advise all my medical professionals, including my Oxford graduate neurologist, how to write impact statements about my disabilities. Since joining, it has become apparent to me that the NDIS has several major issues that seriously impact its ability to deliver necessary and reasonable person-centred support to me. The NDIS does not seem to be adequately resourced with appropriately skilled people to provide trauma-informed care. The Blue Knot Foundation is a national leader in the needs of one in four adults in Australia who have experienced childhood trauma. They say that there are often major consequences for victims of abuse when services are not trauma informed. The basic trauma-informed principles are fivefold: safety, trustworthiness, choice, collaboration and empowerment. Conversations with me should be informed by these principles. If it is a safe environment, it is a collaborative approach and people engage in a way that helps them to feel empowered. It is a trauma-informed way of relating and will minimise the risk of any underlying trauma being compounded and minimise the risk of re-traumatisation for me. The NDIA lacks a record management system to efficiently track who I am, to assist in the planning process and to alleviate the stress of each plan review. I need to re-explain my disabilities, my goals and my progress against these goals, including impact statements against outcomes, over and over again. Staff at the NDIA are removed and isolated from me and cannot support me now, with Feros Care as the local area coordinator in the ACT. I believe this isolation builds a level of distrust, ignorance and misunderstanding between NDIA staff and me. This results in uninformed, inconsistent and inadequate decisions by the NDIA regarding me and my plans. Many people with psychosocial disabilities have felt betrayed and disempowered. The process of plan review is flawed. It is tedious, stressful and, in my case, damaging to my health and wellbeing. Instead of a simple review of my plan each year with slight adjustments, I must start from scratch and, because of the inadequate systems and resources and the isolation of staff, plan outcomes are impossible to predict. They appear to depend on the planner assigned by the system rather than on my needs. I am scared about my future with Parkinson's and its cognitive changes to my brain. I cannot keep learning new language and rules, provide annually copious medical reports and empirical-based evidence to NDIA staff who know little about me. As my husband and I age, I do not want to figure out which slice of my disabilities is funded by Medicare, NDIS, ACT Health or my private health insurance. The current system repeatedly triggers my obsessive compulsive behaviour, a by-product of Parkinson's medication. Having to repeat my history is traumatic. With nearly all major plan reviews I have had long admissions to hospital, ironically triggered by a scheme which is meant to support me. I have shared my private life with many NDIS service providers. These are strangers I need to invite into my home. I am fearful and traumatised as my complex case care goals go to their boards. I am upset when they cannot help or I need to change my needs to fit their skills. My personal concern, in analysing the safety and quality framework, is how come we pay so little for support workers to daily look after the most vulnerable members of our community, do not mentor and supervise them, give them no career path, have me worried about who will come, and leave me responsible for telling service providers that they did not turn up for work? Finally, this is not person-centred care. THE CHAIR: Thank you for your testimony. We will go to questions. We are running slightly over time. However, I think we will have to extend in order to incorporate the number of questions that we need to ask. I will kick off and ask about the funding for coordination that was not provided in your latest plans. When you did have that funding, what was it used for? What has the change been now that, I am assuming, Feros Care has taken over that responsibility for coordinating? Mrs Muir: Feros Care has provided no support coordination for us. Probably for about our fourth or fifth plan that came out in September last year, we were given a lot of money but no support coordination. Feros Care said that they would go back and organise the house renovations that had missed the plan, which had been sitting on the NDIS portal since July 2017, and ask for support coordination. What we got instead—in January there were two changes of personnel in Feros Care, and we did not even know what they submitted to the NDIS—was less than one-fifth of our plan in September, with no support coordination, no house modifications and, again, as with the September plan, this incredible 1½ thousand for us to engage an independent contractor to write a report to the NDIS, with no explanation of what that report was to include. THE CHAIR: Do you think it is their role as the local area coordinator to track outcomes under your NDIS plan? Mrs Muir: I do not know what their role is; no-one has ever explained it to me, and they definitely have not. I have not seen anyone from Feros Care since we had a very good gentleman who advocated for us and got us our plan in September. Since then we have seen one lady, and she only lasted in Feros Care six weeks. The lady that we have now, I have had one phone call from her to tell us that our new plan was out. She was excited. She thought we would be happy. She did not know what the value of the plan was before. I have never heard from Feros Care since. We actually went and sat in the NDIS office at Braddon to facilitate a second review of that plan in September. MRS DUNNE: I asked a lot of questions the last time around; so I will pass to Mrs Kikkert. MRS KIKKERT: I am okay with questions for the moment. MR PETTERSSON: I had a question for Ms Bannister. You had $147,000 put into core funding. You did not know why it was there. You did not do anything with it. Is it normal for large amounts of money to appear in someone's package? Ms Bannister: It is on the portal, yes. My previous plan had been about—I cannot remember exactly but I think about $27,000 for most things. So when we got this extra huge amount we just assumed it was that they had approved the modifications. I asked for advice. I tried to get on to the NDIA and I was unsuccessful. I went to a local service provider who has been assisting me with various NDIA questions and has offered me some support coordination when I need a bit of help, because I am self-managing. They suggested that there had been a few mistakes like this that had happened. What they would normally do is quarantine the money somewhere because they knew that all this stuff was going to come in for the modifications. Then when the quotes came through, they would release that money into the appropriate bucket and I could access it. They said what had happened was that, instead of quarantining that money, they had accidentally put it into my core funding. They said, "So do not panic; just go ahead, get your reports done, get your quotes, submit them all, and when you put them all in they will realise that there has been a little bit of a glitch and they will just put the money in the appropriate bucket." MRS DUNNE: They will just fix it up. Ms Bannister: We have heard nothing. We have had all our paperwork in. I think my planning meeting was in October-November the previous year. We got all of our reports in by the beginning of March, and we heard nothing until June-July. I got only two emails within five minutes of each other saying that we had been unsuccessful for various odd reasons. They said my modifications had not been approved because there was no building mentioned in my plan. MRS DUNNE: Presumably you live in a home. Ms Bannister: At the time of the discussion with my planner, we had originally tried to put a granny flat in for my daughter to move into out the back, because she is actually one of my carers. Ironically, after putting a lot of money into that, our building permission was denied because we had not made it wheelchair accessible. This was because it was for my daughter. We were trying to make it as big as possible for her. It did not have a wheelchair accessible bathroom in it. They turned it down because it needed to have a much larger bathroom. Then we just flipped it. We decided to look to see if we could get a bigger loan and build a granny flat for us and put my daughter in the house. That got squashed because my daughter ended up moving out and buying her own little place in the time we were trying to mess around with all this. In all this, we went to see the planner. We told the planner that these were all the things we had been looking at. She said, "Go ahead and investigate the granny flat option." She did not think that was a good idea, anyway. She said to look at alternative accommodation elsewhere in Canberra that might be accessible—that is, sell and move, or look at modifying your home. We tackled all three of those things. As I said, my daughter moved out in the meantime. She moved out in the middle of January, after my plan. So we stopped the granny flat idea because we could not afford to do that unless she was actually renting our existing home off us. We started looking at other homes. That did not appear to be a good, viable option. So we went back to doing the modifications—the three steps that she suggested that we do. Again, as I said, we went through the NDIA-recommended OT again—this is the second time I have used her—to look at this new option of actually just raising the floor in half of my house by one step, because I have a split-level home. That step is getting bigger every year and it is getting harder every year. I got my builder to give me a quote; she got her builder to give quotes. We put it all in. She wrote up all the reports. I think that is the one she had to write twice because they changed the formatting halfway through. She had to redraft the report. We put that all in. Again, we did not hear anything until June-July when we got the two emails saying that it had been turned down. MRS DUNNE: Had you already modified your bathrooms previously? Ms Bannister: We have done as much as we can to the house. It is only a very small house. It is only about—I am not sure—I think 10½ or 11 squares. Everyone says we have a lovely ensuite. That is actually our one and only bathroom in the house. It is only a very small bathroom. We took out a bathtub and put a second toilet in to allow much bigger circulation space and opened the shower up so that I can actually get in. We have taken out walls. We have put a deck and a ramp on the front of the house so that I can get in through the front of the house because there is a drop-down from the front door into the lounge room. We have done as much as we can on our own over the last 10, 11 years but we could not solve the floor problem. MRS DUNNE: You cannot solve the floor issue. Ms Bannister: No. MRS DUNNE: You also, Mrs Muir, have a requirement for modifications to the home? Mrs Muir: Like Louise, we have done most of the renovations ourselves. We have a son who is a commercial builder. Just before my husband retired, we renovated the house to suit my needs. We were only talking about a path access down the backyard and a railing on the ramp that my son put in. Mr Muir: We just got funding for that in the last couple of weeks. Mrs Muir: In the last two weeks under the second review. It had been sitting on the NDIS portal since July last year. It had been written by an occupational therapist in 2016. MRS DUNNE: Dr Fanning, you have fallen through a hole. You said you had been accepted into the disability scheme in the ACT and therefore had expected you would just be transferred. What gave you that expectation? Dr Fanning: Firstly, I had been classified as being in priority need and, secondly, the wording of the letter from the minister said, "We hope this helps you achieve your goals, pending the launch of the NDIS in the ACT in July." And this was about six weeks, eight weeks before the launch. MRS DUNNE: When the NDIS was launched did you make any approaches to the NDIS or you waited for them to come to you? Dr Fanning: I was under the mistaken impression that my information would be transferred to the NDIS. On the NDIS website it said at the time something like "What do I need to do?" in the frequently asked questions, and the answer was: "You don't need to do anything. We will be in touch with you." MRS DUNNE: How long did you wait before you were in touch with them? Dr Fanning: I have lost track of this a bit, but I think it was under 12 months. It was early in the following year. MRS DUNNE: By which time you had ticked over? Dr Fanning: By which time I had turned 65. THE CHAIR: Were there any appeal rights that you explored? Dr Fanning: Yes, I appealed. THE CHAIR: You went to the AAT? Dr Fanning: No, I appealed the decision with the NDIS. I considered going to the AAT. I took legal advice about that, and the lawyer said, "The legislation is extremely unusual and allows absolutely no discretion to the decision-maker. You will only win in the AAT if they have made an error in law," and they had not made an error in law. I have to say I was so stressed and angry and upset. Like Louise, I had really thought the NDIS was going to make a huge difference to my life, so I was full of confidence that this was going to be a benefit to me. To find out that I could be so arbitrarily excluded and that no redress was available to me was devastating. In the end I thought it was detrimental to my health to pursue this. As I said, I wrote at least half a dozen letters to everyone I thought could have the power to change that decision. I thought surely the minister or the chair of the NDIA has the power to make an ex gratia decision, or whatever they call it, an act of grace? MRS DUNNE: Are you aware of anybody else in similar circumstances? Dr Fanning: Yes, I am. It must surely be a common problem. As I said, I am not ignorant about government; I am not inexperienced. It just came as a total, devastating blow for me to find out that I had been excluded basically due to a technicality. I think the only thing that might have made a difference would have been if the ACT government had gone to the NDIS and said, "It was our mistake. We should have contacted Vanessa Fanning," or "We should have given Vanessa Fanning's details to you," but they did not do that. MRS DUNNE: Did you ask for that? Dr Fanning: Yes. MR PETTERSSON: Anecdotally, how many people do you know of who are in a similar situation? Dr Fanning: Probably half a dozen. MS LE COUTEUR: And that is just in the ACT? Dr Fanning: Yes, but that would be a tiny proportion, I would think. MR PETTERSSON: They are just the ones you are aware of? Dr Fanning: Yes. I have to say, I think the age 65 cut-off is very arbitrary and discriminatory, but that is another issue. But why should someone 65 or over with a non-age-related disability be excluded, given what we know about people's life expectations and work expectations? We are changing the pension age, we are changing the retirement age, but we are saying that at the age of 65 people are not entitled to have the support of the NDIS. If one of you were to have a car accident and become a paraplegic at the age of 65, you would not get any support. MS LE COUTEUR: I presume the government would say there is a whole aged-care system, which presumably you have some knowledge of. Dr Fanning: Yes. MS LE COUTEUR: Would you like to talk about how the NDIS differs? You have made it fairly clear that you think the NDIS is a superior system. Dr Fanning: The aged-care system is designed to help the frail elderly, and a lot of people with a disability are actually in very good health and are capable of working and participating in the community. They want to and expect to participate in the community. The sort of assistance I want is exercise physiology and all the things I need to enable me to stay well and strong. A really stark and good example of what I think I may need in the quite near future is vehicle modification, and I am not talking about just a simple modification. The first thing you have is a simple modification which enables the accelerator and brake to be changed around and you have hand controls, and that costs about $10,000. That is not available under aged care. Then you may progress to a wheelchair-accessible vehicle where you can drive your wheelchair into the vehicle and transfer over to the driver's seat, and that is significantly more expensive again. No hope of getting that under aged care. That is a really good example of a benefit that is available or assistance that is available under NDIS that is not available under aged care. Another significant difference is that NDIS, because it is rightly an insurance scheme, is not means tested and all aged-care assistance is. MR PETTERSSON: In regard to the quote for equipment that your planner came up with which was denied, can you explain to me how the planner came up with an estimate of price which was rejected even though you had a bucket of money sitting there? Ms Bannister: Because they have had previous clients that have asked for that piece of equipment. It was for a smart drive for this chair, so it is a motorised battery pack that fits on that gives you some extra momentum to the chair so that you do not have to push as hard as often. At the time of the first rendition of this it was about $7,000. She said, "It is $7,000. Put that down." There is now a newer version of that out that is just over $9,000. When my OT and the equipment rep came and we did a trial of the equipment it became quite obvious that I needed an additional piece of equipment. My main aim is to be able to get down to my local shopping centre by myself. I normally go up the cutaways and gutters backwards—it is just the way I do it—and you cannot do that with the smart drive. I would have to go forward at quite a speed, so I would need an extra little wheel at the front. It is a wheel about this size that fits on the front of the chair that allows you to go up gutters and across rough ground and things. That is an extra $1,800-plus. The quote came out at about $10,000 or $11,000 but they had actually given me the $7,000 towards it. So I had $7,000 sitting there towards equipment. I did not have at the time the extra $4,000 to top it up myself, so it was just straight out gone. THE CHAIR: You have suggested that there might be an issue with the NDIS in how they deal with quotes generally. What do you think the issue is? Ms Bannister: One of the problems is the time it takes. Most standard quotes are 30 days or, if you are lucky, 90 days. And the process takes so long that they expire. A mate of my lovely daughter has now quoted on the mods four or five times. He has actually been very kind and he has drawn it out so that it is a six-month quote or an eight-month quote. This time he has actually said that if it goes on much longer we are going to have to add 10 per cent to that. I do not know how you can build that into the process, but a quote needs to be a little bit more flexible because of the time it takes to get approvals through. Dr Fanning: Could I add something to my previous answer? Another important difference between aged care and NDIS support is supporting people to stay in their own home. Like both my fellows here, I want to stay in my own home and I have already substantially modified it to enable me to do so. But if and when MS progresses—hopefully it does not, but say it does—it often progresses to a point where the kind of support you need to stay in your own home just is not available under My Aged Care. Very often quite young people with MS have to go into aged-care facilities, which is catastrophic for them. I certainly would want to stay in my own home. I do not want to go into an aged-care facility, but if something happened to my husband and if my condition progressed to a degree that I often see among people with MS, then I would have no option but to do that because the assistance to stay in my own home just is not available under My Aged Care. MS LE COUTEUR: Mrs Muir, you said something about it being difficult to work out whether your issues are due to disability or ageing, and so one of your issues is who is responsible and who is going to fund what. Mrs Muir: You mean whether it is Medicare or the NDIS or ACT Health? MS LE COUTEUR: Yes. Can you say a bit more about that? Mrs Muir: We have submitted lots of medical statements. For example, I have major oral health issues at the moment. One of the side effects of Parkinson's is that you do not produce saliva, which of course leads to a lot of decay. Also, due to my rheumatoid arthritis, which I have had for a long time, I have used very strong autoimmune suppressants, and there are also my psychosocial disabilities. I have gone from specialist to specialist. I am now under a prosthodontist, and he has identified about 14 or 15 drugs that I have taken in the past for these disabilities or medical conditions which have has contributed to the problems that I have as well as the saliva. If you go to the NDIS they say that Medicare covers oral health. Medicare gives money out to each of the states and territories. I have even raised this with a delegate of the minister for disability in the ACT. I said, "If I look at the ACT Health site it says that only in an emergency situation or if you are on a disability pension can you access dental services." So that means I do not get anything from anyone. THE CHAIR: Thank you very much for your testimony today. A transcript of the proceedings will be provided to you to make any corrections. I now declare the public inquiry closed. The committee adjourned at 4.23 pm.
IN THE SUPREME COURT OF TEXAS ══════════ No. 12-1007 ══════════ THE BOEING COMPANY AND THE GREATER KELLY DEVELOPMENT AUTHORITY N/K/A THE PORT AUTHORITY OF SAN ANTONIO, PETITIONERS, v. KENPAXTON, ATTORNEYGENERAL OFTEXAS, RESPONDENT ══════════════════════════════════════════ N O P ETITION FOR R EVIEW FROM THE C OURT OF A PPEALS FOR THE THIRD DISTRICT OF TEXAS ══════════════════════════════════════════ JUSTICE BOYD, dissenting. Like the Court, I conclude that persons who are not governmental bodies may assert section 552.104 of the Texas Public Information Act as an exception to mandatory disclosure of information in which they have a privacy or property interest, but I would hold that the Boeing Company has not conclusively established that the exception applies to the information at issue in this case. Essentially for the reasons expressed in the court of appeals' concurring opinion, see 412 S.W.3d 1, 18 (Pemberton, J., concurring), I respectfully dissent. A. Protection of Private Interests The Texas Public Information Act requires governmental bodies to make all "public information" available to the public, subject to specified exceptions. See TEX. GOV'T CODE §§ 552.021, .101–.154. Section 552.104 excepts from this requirement any "information that, if released, would give advantage to a competitor or bidder." Id. § 552.104(a). Texas Attorneys General have long construed this section as protecting only the interests of governmental bodies and not those of private parties. See, e.g., Tex. Att'y Gen. ORD–592 (1991) (stating that predecessor to section 552.104 was "designed to protect the interests of governmental bodies and not the interests of private parties submitting information to the government"). Section 552.104, however, contains no such limiting language. See TEX. GOV'T CODE § 552.104. To the contrary, section 552.305 expressly confirms that section 552.104 protects "a person's privacy or property interests," id. § 552.305(a), and authorizes such a person, "or any other person," to assert "the person's reasons why the information should be withheld" from disclosure, id. § 552.305(b). In light of the Act's plain and unambiguous language, I agree with the Court that private persons may assert section 552.104 to protect their information against disclosure. I agree with the Attorney General that these sections do not make such information "confidential," and section 552.104 is (to use the Attorney General's terminology) a "discretionary," rather than "mandatory," exception. I thus agree with the Attorney General that a governmental body may voluntarily disclose information that section 552.104 excepts from required disclosure (unless the information is otherwise made "confidential under law," see id. § 552.007) without giving any notice to the person who may have a property interest in the information, see id. § 552.305(d). And if the governmental body does not timely request an Attorney General decision as section 552.301 requires for withholding information, the information must be released unless there is a "compelling reason" to withhold it. Id. §§ 552.301–.302. I also agree with the Attorney General that this is an odd result. It is strange that the Act would provide private persons an exception to protect their information and yet allow a governmental body that possesses the information to voluntarily release it without giving the person notice and an opportunity to oppose its disclosure. But "[w]e cannot ignore a statute's unambiguous language unless its meaning is so unreasonable that it 'would lead to absurd results,'" Union Carbide Corp. v. Synatzske, 438 S.W.3d 39, 65 (Tex. 2014) (Boyd, J., dissenting) (quoting Combs v. Health Care Servs. Corp., 401 S.W.3d 623, 629 (Tex. 2013)), and "odd" and "strange" fall short of "absurd." Because section 552.305(a) unambiguously confirms that section 552.104 protects private persons' interests, and the result, though strange, is not absurd, I agree with the Court that private companies like Boeing can assert section 552.104 as an exception to disclosure. B. Boeing's information But on this record, I do not agree with the Court's application of section 552.104, or that Boeing has conclusively established that the exception applies to the information at issue here. The information, which relates to amounts Boeing agreed to pay to the Port of San Antonio in connection with its lease of 1.3 million square feet of space at the old Kelly Air Force Base, relates to some of Boeing's overhead expenses and specifically includes (1) the numbers used to calculate Boeing's rental rates, (2) Boeing's share of common maintenance costs, (3) the insurance coverage Boeing is required to provide, (4) the percentage used to calculate Boeing's penalty for early termination of the lease, and (5) the caps on incentives that Boeing would receive for meeting goals for contracting with small minority-owned and women-owned businesses. Boeing asserts that the release of this information "would give advantage to a competitor or bidder." TEX. GOV'T CODE § 552.104(a). Specifically, Boeing asserts that, with this information, companies that compete with Boeing to obtain federal contracts could determine Boeing's lease costs, which make up a part of its overhead, which is a factor Boeing uses to determine the prices it charges the government for its maintenance services. Armed with this information, Boeing contends, a competitor could "entic[e] another landlord to offer a lower lease rental," ante at ___, which would allow the competitor to offer services to the federal government at lower rates. I would conclude that Boeing's evidence is too hypothetical and speculative to establish that the release of its lease information "would give advantage to a competitor or bidder." TEX. GOV'T CODE § 552.104(a) (emphasis added). We must liberally construe the Public Information Act to implement "the policy of this state that each person is entitled, unless otherwise expressly provided by law, at all times to complete information about the affairs of government and the official acts of public officials and employees." TEX. GOV'T CODE § 552.001(a). We are directed to liberally construe the Act "in favor of granting a request for information." Id. § 552.001(b). The necessary corollary is that we must narrowly construe the Act's exceptions to disclosure. In light of these unambiguous instructions, I would conclude that a party relying on section 552.104 must at least establish the existence of a specific competitor with whom the party is currently or will soon be engaged in a particular competition, and how the information would, in fact, give the competitor an advantage in that particular competition. In short, the party must prove that the release of the information "would give advantage to a competitor," not merely that it "could." The Court criticizes the court of appeals for "speculat[ing] . . . that no harm would actually occur" if the information is released. Ante at ___. But the court of appeals need not have "speculated" whether harm would occur to reach its conclusion because Boeing bears the burden of proving that harm in fact would occur if the information were released. See City of Garland v. Dall. Morning News, 22 S.W.3d 351, 364 (Tex. 2000) (holding that party resisting disclosure had "burden to prove that the [information] is not subject to the Act"). Here, the evidence establishes, and the trial court found, that the lease at issue has been fully executed since 1998, continues until 2018, and is not currently or imminently subject to any competitive bidding process. Boeing has not identified any particular federal contract for which it is currently or will soon be competing or any competitor against whom it is or will be competing for such a contract. Nor has Boeing shown any actual specific advantage that any competitor would receive by obtaining the information. To the contrary, as the Court notes, ante at ___, the evidence establishes that Boeing's space at Kelly is unique and different than any other space in the country, so Boeing's costs to lease the Kelly space would have at best questionable value as a comparison to some other company's costs to lease a different space at another location—the only kind of competition Boeing asserts might someday occur. The Court's reasons for finding otherwise are unconvincing. Evidence that "competition among aerospace firms is unlike other competitive business ventures," ante at ___, may be relevant, but it is not sufficient. The fact that Boeing is "concern[ed]" that a competitor could use the information to "reverse engineer" and "undercut" Boeing's bid, ante at ___, is likewise insufficient, particularly in the absence of any evidence of a current or imminent competitive bidding process. Indeed, evidence that "this has already occurred" when a competitor in Louisiana "underbid Boeing by about one percent and now has the contract for one heavy-lift aircraft that Boeing formerly serviced at Kelly," ante at ___, undermines Boeing's contention, since that result occurred even though that competitor did not have access to the information at issue. And the fact that the information could give advantage to "competitors of San Antonio and the Port," ante at ___, is unrelated to Boeing's argument that the information could give advantage to Boeing's competitors. Notably, neither the City nor the Port sought to protect the information on that or any other basis. Nor is the Court correct in suggesting that "[t]he D.C. Circuit has rejected three such requests in the last sixteen years." Ante at ___ (citing Canadian Commercial Corp. v. Dep't of the Air Force, 514 F.3d 37, 38–39 (D.C. Cir. 2008); McDonnell Douglas Corp. v. U.S. Dep't of the Air Force, 375 F.3d 1182, 1185 (D.C. Cir. 2004); McDonnell Douglas Corp. v. Nat'l Aeronautics & Space Admin., 180 F.3d 303, 304 (D.C. Cir. 1999); Gulf & W. Indus., Inc. v. United States, 615 F.2d 527 (D.C. Cir. 1979)). These cases all involved information that is different, both in quality and in quantity, including the specific lineitem prices that the companies charged the federal government for the companies' services and the companies' profit rates and percentages and related information, combined with overhead costs like labor rates and costs of materials and services. Canadian Commercial, 514 F.3d at 39–40 (addressing "[c]onstituent or line-item pricing information in a government contract"); McDonnell Douglas, 375 F.3d at 1190-91 (addressing "option year prices," the "costs of materials and services [the company] procures from other vendors," and "hourly labor rates" charged to the government for "work not required under the contract"); McDonnell Douglas, 180 F.3d at 304 (addressing "line-item pricing information," including "[satellite] launch service prices, cost figures for specific launch service components and overhead, labor rates, and profit figures and percentages"); Gulf & W. Indus., 615 F.2d at 529-30 (addressing information including the company's "profit rate, actual loss data, general and administrative expense rates, projected scrap rates and learning curve data," including "actual costs for units produced," "actual scrap rates," "break-even point calculations" and "actual cost data"). More importantly, these companies relied on (and thus the D.C. Circuit construed and applied) a different exception in a different statute: exemption 4 of the federal Freedom of Information Act, which protects information that qualifies as "trade secrets and commercial or financial information obtained from a person and privileged or confidential." 5 U.S.C. § 552(b)(4). 1 The D.C. Circuit's construction and applications of the federal statute do not control this Court's construction of the Texas Public Information Act, which uses different language and identifies different purposes. Most notably, "[u]nlike the FOIA, our Act contains a strong statement of public policy favoring public access to governmental information and a statutory mandate to construe the Act to implement that policy and to construe it in favor of granting a request for information." City of Garland, 22 S.W.3d at 364. At best, Boeing's evidence in this case established only that the release of information regarding its costs to lease the Kelly facility "could" give advantage to a competitor, not that it "would" do so. In light of the Texas statute's language and its instruction that we must construe it liberally in favor of granting a request for information, "could" is simply not enough. Finally, as the Court notes, Boeing asserts "that it takes special care to safeguard" its "rental rates." Ante at ___. The evidence, however, established that Boeing made no effort to require or ensure that the Port did not disclose the information. Free from any contractual or other obligation to keep the information secret, the Port has already disclosed 1 FOIA's exemption 4 is analogous to section 552.110 of the Texas Public Information Act, not section 552.104. much of the information to the media and the public, including the range of rents that Boeing is expected to pay under the contract and the total amounts that Boeing has in fact paid to the Port each prior year. I agree with the court of appeals that the evidence did not conclusively establish that the information constitutes Boeing's trade secrets and would also conclude that the prior releases of this information undercuts any competitive advantage the remaining information "would" provide, even if Boeing were engaged in any particular competition to which the information could be relevant. In summary, I agree (1) with the Court that Boeing may assert section 552.104 as an exception to mandatory release of its lease information, (2) with the concurring justice in the court of appeals that Boeing has not conclusively established that the release "would give advantage to a competitor or bidder,” and (3) with the court of appeals that Boeing did not establish that the information constitutes Boeing's trade secrets. Because I would therefore affirm the court of appeals’ judgment, I respectfully dissent. _________________________________ Jeffrey S. Boyd Justice 8 Opinion delivered: June 19, 2015
ELEVEN MORE PhD SCHOLARS PRODUCED BY UAF On the recommendations of external examiners and after fulfilling all the requirements, Muhammad Azhar S/o Malik Allah Wasaya, Reg. No. 2010-ag-509, Institute of Soil and Environmental Sciences, Faculty of Agriculture, Tassadduq Rasool S/o Sadaqat Rasool, Reg. No. 2007-ag-2092, Department of Agronomy, Faculty of Agriculture, Muhammad Mohsin Waqas S/o Yaqeen Muhammad Sajid, Reg. No. 2010-ag-812, Department of Irrigation and Drainage, Faculty of Agricultural Engineering and Technology, Waqas Ahmad S/o Javed Iqbal, Reg. No. 2005-ag-1766, Department of Agronomy, Faculty of Agriculture, Muhammad Shahid S/o Hashmat Ali, Reg. No. 2008-ag-2268, Department of Agronomy, Faculty of Agriculture, Muhammad Irfan S/o Shaukat Ali, Reg. No. 2005-ag-1879, Department of Agronomy, Faculty of Agriculture, Haroon Yousaf S/o Muhammad Yousaf, Reg. No. 2008-ag-904, Department of Rural Sociology, Faculty of Social Sciences, Monis Hussain Shah S/o Muhammad Hussain Shah, Reg. No. 2009-ag-509, Institute of Horticultural Sciences, Faculty of Agriculture, Saba Zulfiqar D/o Zulfiqar Ali Basra, Reg. No. 2006-ag-548, Department of Biochemistry, Faculty of Sciences, Asma Hanif D/o Muhammad Hanif, Reg. No. 2006-ag-604, Department of Botany, Faculty of Sciences, Junaid Nawaz Chauhdary S/o Muhammad Nawaz Akhtar, Reg. No. 2006-ag-2229, Department of Irrigation and Drainage, Faculty of Agricultural Engineering and Technology, have passed their final examination for the degree of Doctor of Philosophy (2018). The Vice Chancellor is pleased to sanction their admissions to the degree of Doctor of Philosophy (2018). The titles of their thesis are "Phyto-availability of cadmium to rice and wheat in contaminated soils treated with organic amendments", "Management alternatives for improving barley productivity under different cropping systems", "Climate induced effective management of irrigation water to enhance water productivity using modern techniques", "Agronomic biofortification of cereal forages with zinc for improving the quality and productivity under different levels of nitrogen", "Alleviation of terminal heat stress in wheat (Triticum aestivum L.) through potassium and selenium nutrition", "Response of maize (Zea mays L.) to exogenous application of salicylic acid under limited water availability", "Food security and hygiene conditions among farmer and non-farmer rural households of Punjab, Pakistan", "Morphogenetic characterization of guava (Psidium guajava L.) cultivars against fungal wilt", "Association of RAGE gene polymorphism with type 2 diabetes mellitus in local population", "Physiological basis of heat stress tolerance in mungbean (Vigna radiate) germplasm", "Modeling effects of different irrigation and fertigation strategies on maize (Zea mays) response and salinity buildup in root zone under drip irrigation", respectively. Now the PhD club swells up to 1672. CALL FOR PROPOSALS The Endowment Fund, setup under US-Pak Collaboration in 2006, supports agricultural activities through projects relating to Technology Transfer, Product Commercialization and Research & Development. Proposals are invited from public sector organizations/universities with an established administrative and financial system for funding in the following domains: A: TECHNOLOGY TRANSFER:- Proposals focused on enhancing agricultural/livestock production through sharing of skills, knowledge, technologies, etc. among the stakeholders. B: PRODUCT COMMERCIALIZATION:- Proposals focused on commercializing commodities, products, processes, methods, technologies, formulae, composition, etc. C: RESEARCH & DEVELOPMENT:- Proposals focused on applied research in agriculture and allied sciences. Priority will be given to projects under technology transfer and product commercialization. Funding for projects under R&D is limited. Four hard copies of proposal on the prescribed format (available at www.efsuaf.org) along with a soft copy, complete in all respects, should be submitted through proper channel to the Executive Director, 6-Main Road, Endowment Fund Secretariat, University of Agriculture, Faisalabad up to 31.07.2018. SITUATION VACANT 1. Applications are invited on plain paper alongwith attested copies of academic certificates for one post of Research Associate @ 20,000/- per month for PARB-funded project entitled "Genetic improvement of sorghum as biofuel feed stock using high throughput phonemics and genomics approaches" in the Centre of Agricultural Biochemistry & Biotechnology (CABB). The candidates bearing MS/MPhil Biotechnology degree from CABB, UAF will be considered for this post. The applicants willing to pursue PhD Biotechnology will be preferred. The application should reach in the office of Dr. Bushra Sadia, Associate Professor/Project Manager PARB within 10 days after the publication of this notice during office hours. Incomplete application or those received after due date will not be entertained. 2. Applications are invited for one post of lecturer in the subject of Pakistan Studies per lecture basis for PARS Campus, UAF. Minimum qualification is first class M.Phil /MS or equivalent degree awarded after 18 years of education or Master degree from a foreign university in the relevant field (from an HEC recognized university/institute) with no 3 rd division throughout the entire academic career. Furthermore, the candidate with 2 nd division in M.Phil Ms/equivalent degree or Master degree (foreign) but holding higher degree i.e. PhD could be considered. Last date submission of applications is June 20, 2018. PLACEMENT OF PhD THESIS FOR PEER REVIEW 1. PhD thesis of Miss Fatima Batool, Regd. No. 2013-ag-583, entitled "Studies of feeding diversity, morphology and haemato-biochemical profile of blue rock Pigeon (Columba livia) in different agro-ecosystems of Punjab, Pakistan" will be placed in the office of the Chairman, Department of Zoology, Wildlife & Fisheries for one week i.e. from 05-06-2018 to 12-06-2018. The faculty and the students are invited to review the thesis for positive criticism and suggestions. 2. PhD thesis of Mr. Hafiz Muhammad Safdar Khan, Regd. No. 2007-ag-1258, will be placed in the office of Chairman, Department of Structures and Environmental Engineering for one week 0506-2018 to 12-06-2018 prior its submission for foreign evaluation. The faculty and students are invited to peruse the thesis for any suggestions/corrections. The suggestions received if any will be incorporated through the supervisory committee. Title: "Development and Performance Evaluation of Indigenous Piston Press Briquetting Machine for Crop Residue". 3. PhD thesis of Mr. Abdul Jabbar, Regd. No. 2007-ag-2579, a PhD student of Plant Pathology will be placed in the office of the Chairman, Department of Plant Pathology for peer review from 0506-2018 to 12-06-2018. The title of his thesis is "Prevalence and management of Meloidogyne graminicola (Golden and birchfield) on rice (Oryza sativa L.)". The observations/suggestions received as a result of peer review will be incorporated in the final thesis to be submitted to Controller of Examination for further processing. 4. Mr. Usman Haider, Regd. No. 2003-ag-2343, PhD student of the Department of Farm Machinery and Power will placed his PhD thesis entitled "Design modification of indigenized floating drum biogas plant for upgradation biogas plants" for peer review in the Library, Faculty of Agricultural Engineering and Technology from 04-06-2018 for one week. The faculty and the students are invited to peruse the thesis for any correction and improvement. 5. PhD thesis of Mr. Ali Raza, Regd. No. 2003-ag-2287, PhD student of the Department of Farm Machinery and Power will placed his PhD thesis entitled "Design and development of a continuous solar roaster (CSR) for the processing of different agricultural products" for peer review in the Library, Faculty of Agricultural Engineering and Technology from 04-06-2018 for one week. The faculty and the students are invited to peruse the thesis for any correction and improvement. 6. PhD thesis of Miss. Sidrah, Regd. No. 2008-ag-2305, a PhD student, will be placed w.e.f. 06-062018 to 13-06-2018 in the Conference room/Library, National Institute of Food Science & Technology, UAF for one week prior to its submission for foreign evaluation. The faculty and students are invited to pursue the thesis for any suggestions/corrections. 7. PhD thesis of Mr. Muhammad Nadeem, Regd. No. 2007-ag-1080, a PhD student, will be placed w.e.f. 06-06-2018 to 13-06-2018 in the Conference Room/Library, National Institute of Food Science & Technology, UAF for one week prior to its submission for foreign evaluation. The faculty and students are invited to pursue the thesis for any suggestions/corrections. 8. Copy of the PhD thesis submitted by Mr. Shahzad Tahir, Regd. No. 2008-ag-2098, will be placed in the Library Department of Agronomy from 06-06-2018 to 12-06-2018. The title of his thesis is "Assessing wheat management options through field and modeling approach". All the faculty members and students are welcome to read/consult the thesis. 9. Copy of the PhD thesis submitted by Miss Wardah Muzaffar, Regd. No. 2013-ag-654, will be placed in the Library Department of Agronomy from 06-06-2018 to 12-06-2018. The title of her thesis is "Evaluating the Role of Seed Size and Enhancements in Improving Wheat Productivity under Different Rice Wheat Systems". All the faculty members and students are welcome to read/consult the thesis. 10. Copy of the PhD thesis submitted by Mr. Faisal Nadeem, Regd. No. 2008-ag-2093, will be placed in the Library Department of Agronomy from 06-06-2018 to 12-06-2018. The title of his thesis is "Influence of zinc and boron nutrition on the performance of conventional and conservation rice-wheat cropping systems". All the faculty members and students are welcome to read/consult the thesis. 11. PhD thesis of Miss Farah Anjum, Regd. No. 2013-ag-1362, entitled "Thermophysical properties of porous building materials" for peer review will be placed in the office of the Chairman, Department of Physics from 06-06-2018 for one week. All interested are invited to give valuable suggestion. 12. PhD thesis of Miss Farah Ahmad, Regd. No. 2006-ag-1603, a PhD student, will be placed w.e.f. 06-06-2018 to 13-06-2018 in the Conference room/Library, National Institute of Food Science & Technology, UAF for one week prior to its submission for foreign evaluation. The faculty and students are invited to peruse the thesis for any suggestions/corrections. PhD THESIS/SYNOPSIS DEFENSE 1. Mr. Muhammad Ikram ul Haq, Regd. No. 2007-ag-2622, a PhD student, Department of Agronomy, will defend his PhD thesis on 07-06-2018 at 12:00 noon in the Video Conference room, Faculty of Agriculture, UAF. The title of his thesis is "Bio-economic assessment of barley and legume crops grown under different planting and water use techniques". All interested persons are invited to participate. 2. Mr. Waqas Ahmad, Regd. No. 2014-ag-37, PhD student, Department of Parasitology has successfully defended his doctoral research synopsis entitled "Epidemiology and control of ticks and tick-borne diseases in different Agro-geo climatic zones of Khyber Pakhtunkhwa and FATA" on May 15, 2018. 3. Miss. Hafsa Naeem, Regd. No. 2010-ag-1497, PhD Biochemistry student of the Department of Biochemistry has successfully defended her synopsis titled "Synthesis and Characterization of Bioplastic Using Plant Based Raw Material" as required under the rules on 10-05-2018. ASSUMPTION OF CHARGE Prof. Dr. Muhammad Arshad, has assumed the charge as Director, Water Management Research Centre with effect from 22-05-2018 (F.N.). in future, all official and demi-official correspondence may please be addressed to him accordingly. QUOTATIONS Sealed quotations are invited from the registered contractors for the purchase of chemicals & glassware, by the TL, PARB funded project No. 582, under title "Utilization of poultry farm litter and dead birds compost as livestock feed ingredients and agriculture fertilizer" Institute of Soil and Environmental Sciences, UAF. The rates should be given both in figures and words without any over-writing and quotations should be accomapnies with a deposit call @ 2% of the estimated cost Rs. 98500. The quotations must reach in the office of the TL Dr. Abdul Wakeel of the project within 7 days after the publication of this notice. TENDER NOTICE Sealed tenders are invited from the firms/contractors registered/enlisted with the UAF for the following works at UAF on items rate/ the percentage rate circulated by the Finance Department Government of the Punjab as per PPRA rules. Last date for the purchase of tender Documents: 0706-2018. Date of receiving and opening on 08-06-2018 at 11:00 am to 11:30 am. \| Name of Work \| Amount (Rs.) \| Bid Security @ 2% of estimated cost \| \|---\|---\|---\| \| Repair and Renovation work to Director Office Institute of Agri. Extension and Rural Development. \| 99,500/- \| 1,990/- \| Tender documents can be obtained from the office of the Executive Engineer, (ECD-M) UAF against written request accompanied with attested copy of enlistment/ up to date renewal letter and fee receipt valid P.E.C license up to 31-12-2018 (If required). Authority letter on pad form of contractor/firm, identity card of contractor/managing partner of the firm, registered partnership deed with power of attorney, and on payment of prescribed tender fee into the account No. 11-9/NBP, UAF Branch. 2. Tender rate and amount should be filled in figure as well as in words and tender should be signed as per general direction in the tender documents. 3. Tempered tender or sent by post will not be entertained. 4. No conditional tender or tender without bid security @ 2% of tender cost in shape of deposit at call of any schedule bank and attested copy of registered partnership and power of attorney in case of firm will be entertained. 5. The Executive Engineer, (ECD-M) reserves the right to reject all tenders at any time prior to acceptance. The concerned contractor shall be communicated the ground of its rejection but it is not required to justify the ground of rejection.
Fiscal No. 1 PROPOSED AMENDMENTS TO HOUSE BILL NO. 1016 Page 1, line 2, remove "and" Page 1, line 2, after "transfer" insert "; and to provide exemptions" Page 1, remove lines 14 through 24 Page 2, replace lines 1 and 2 with: SECTION 2. HEALTH INSURANCE INCREASE. The appropriation in section 1 of this Act includes the sum of $638,219, of which $253,000 is from the general fund, for increases in employee health insurance premiums from $1,130 to $1,249 per month." Page 3, replace lines 6 through 9 with: "Flood mitigation National guard readiness center 2,000,000 0 0 33,000,000 Emergency response equipment Mobile repeaters and programming radios Total all funds Total other funds Total general fund 0 0 $5,614,172 3,769,500 $1,844,672 569,000 300,000 $33,869,000 33,869,000 $0" Page 3, after line 22, insert: "SECTION 6. ESTIMATED INCOME - STRATEGIC INVESTMENT AND IMPROVEMENTS FUND. The estimated income line item in subdivision 2 of section 1 of this Act includes $300,000 of one-time funding from the strategic investment and improvements fund for mobile repeaters and programming radios. SECTION 7. EXEMPTION. Any amounts carried over in the radio communications line item for the state radio tower package, in section 11 of chapter 50 of the 2015 Session Laws are not subject to section 54-44.1-11 and any unexpended funds are available for completing these projects during the biennium beginning July 1, 2017, and ending June 30, 2019. SECTION 8. EXEMPTION. The amount appropriated in the tuition, recruiting, and retention line item in subdivision 1 of section 1 of chapter 50 of the 2015 Session Laws is not subject to section 54-44.1-11 and any unexpended funds from this appropriation may be used to provide tuition assistance, recruiting, and retention incentives to eligible members of the North Dakota national guard during the biennium beginning July 1, 2017, and ending June 30, 2019. SECTION 9. EXEMPTION. The amount appropriated in the tuition, recruiting, and retention line item in section 15 of chapter 50 of the 2015 Session Laws is not subject to section 54-44.1-11 and any unexpended funds from this appropriation may be used to provide tuition assistance to eligible members of the North Dakota national guard, during the biennium beginning July 1, 2017, and ending June 30, 2019, contingent upon the adjutant general certifying to the office of management and budget that the national guard has received a new assignment in association with the Grand Forks air force base. SECTION 10. EXEMPTION. Any amounts carried over pursuant to section 16 of chapter 50 of the 2015 Session Laws which are unexpended as of June 30, 2017, are not subject to section 54-44.1-11 and are available for payment of adjusted compensation to veterans. Any unexpended funds from this appropriation must be transferred to the veterans' cemetery trust fund during the biennium beginning July 1, 2017, and ending June 30, 2019. SECTION 11. EXEMPTION. The amount appropriated in the grants line item in subdivision 1 of section 1 of chapter 50 of the 2015 Session Laws for payment of adjusted compensation to veterans is not subject to section 54-44.1-11 and any unexpended funds from this appropriation may be used for payment of adjusted compensation to veterans. Any unexpended funds from this appropriation must be transferred to the veterans' cemetery trust fund during the biennium beginning July 1, 2017, and ending June 30, 2019. SECTION 12. EXEMPTION. Any amounts carried over in the radio communications line item for the state radio tower package pursuant to section 17 of chapter 50 of the 2015 Session Laws are not subject to section 54-44.1-11. Any unexpended funds are available for completing these projects during the biennium beginning July 1, 2017, and ending June 30, 2019. SECTION 13. EXEMPTION. Any amounts carried over in the disaster costs line for grants to political subdivisions for amounts required to match federal dollars on road grade raising projects and federal emergency relief funding pursuant to section 18 of chapter 50 of the 2015 Session Laws which are unexpended as of June 30, 2017, are not subject to section 54-44.1-11. Any unexpended funds from this appropriation are available for these purposes during the biennium beginning July 1, 2017, and ending June 30, 2019. SECTION 14. EXEMPTION. The amounts appropriated for radio tower redundancy and next generation 911 in the radio communications line item in subdivision 2 of section 1 of chapter 50 of the 2015 Session Laws which are unexpended as of June 30, 2017, are not subject to section 54-44.1-11. Any unexpended funds are available for completing these projects during the biennium beginning July 1, 2017, and ending June 30, 2019." Renumber accordingly STATEMENT OF PURPOSE OF AMENDMENT: House Bill No. 1016 - Summary of House Action Base House Budget $84,553,854 66,864,852 $17,689,002 $148,925,273 137,518,175 $11,407,098 $233,479,127 204,383,027 Adjutant General Total all funds Less estimated income General fund Department of Emergency Services Total all funds Less estimated income General fund Bill total Total all funds Less estimated income Changes $30,009,960 31,330,595 ($1,320,635) ($60,265,944) (58,217,448) ($2,048,496) ($30,255,984) (26,886,853) House Version $114,563,814 98,195,447 $16,368,367 $88,659,329 79,300,727 $9,358,602 $203,223,143 177,496,174 General fund $29,096,100 ($3,369,131) $25,726,969 House Bill No. 1016 - Adjutant General - House Action Department No. 540 - Adjutant General - Detail of House Changes Adds Funding for Base Payroll Adds Funding for Health Adjusts Funding for Reduces Funding for Increases Funding for Adjusts Funding for ____________________ 1 Funding is added for cost-to-continue 2015-17 biennium salaries and benefit increases and for other base payroll changes. 2 Funding is added for increases in health insurance premiums from $1,130 to $1,249 per month. 3 Funding from the general fund is reduced by $140,000 for temporary custodial maintenance staff. Funding of $60,694 removed to meet August 2016 special legislative session budget reductions is restored for an administrative staff officer temporary position. Funding of $72,644 removed to meet August 2016 special legislative session budget reductions is restored for a human resources technician position. 4 Funding is reduced from the general fund for operating expenses, including travel, maintenance, and repairs. 5 Funding from the general fund is increased for National Guard recruitment to provide a total of $2,617,500. 6 Funding for the Veterans' Cemetery is adjusted to reduce funding from the general fund by $50,000 and increase funding from special funds by $50,000. 7 Grant funding from the general fund for armories is reduced by $190,961 to provide a total of $318,553. 8 Capital funding is reduced for equipment, land and buildings, and motor vehicles. 9 One-time funding from other funds, including $32 million from federal funds and $1 million from the National Guard military grounds fund, is added for the National Guard readiness center project. House Bill No. 1016 - Department of Emergency Services - House Action Department No. 542 - Department of Emergency Services - Detail of House Changes ____________________ 1 Funding is adjusted for cost-to-continue 2015-17 biennium salaries and benefit increases and for other base payroll changes. 2 Funding is added for increases in health insurance premiums from $1,130 to $1,249 per month. 3 Funding is reduced by $200,000 from the general fund for Department of Emergency Services salaries and wages. 4 Funding is reduced from the general fund for operating expenses as follows: General Fund Reductions 5 Funding for state radio is adjusted to reduce funding from the general fund by $100,000 and increase funding from the radio communications fund by $100,000. 6 Funding is reduced from federal and special funds relating primarily to emergency management, hazard mitigation, and public assistance grants. 7 Funding is reduced for capital assets, including equipment and information technology equipment and software. 8 One-time funding from federal funds is added for emergency response equipment. 9 One-time funding from the strategic investment and improvements fund is added for mobile repeaters and programming radios for emergency medical services. _____________________________ This amendment also: * Adds a new section to identify the amount of funding included in the bill for the increase in employee health insurance premiums. * Adds a new section to designate $300,000 of one-time funding from the strategic investment and improvements fund for mobile repeaters and programming radios for emergency medical services. * Adds a new section to allow funds appropriated for the 2015-17 biennium for radio tower redundancy and next generation 911 to be continued and expended during the 2017-19 biennium.
A 2010 Sunshine Reunion Keep the Memories Alive Is Jax ready for the USS Nitro? By Jim Timmons The classically elegant OMNI Hotel, in downtown Jacksonville, FL has been selected as our reunion headquarters. The OMNI is rated as a "Four Diamond" hotel and has all of the amenities you would expect of such a highly rated property. As part of our selection process, we took into account the location, style of hotel, access to shopping, restaurants, other attractions nearby and overall value for our attendees. The Nitro Association has blocked a group of 25 guestrooms for Wednesday, 16 June (for early arrivals) and 35 guestrooms for each night Thursday, Friday and Saturday (17 - 20 June). The association's guestroom rate is $89.00/night for 2 adults and children 18 years old or younger. Included with the room rate is a full breakfast buffet for two adults per room. Additional discount coupons (age 6-12 buffet pricing is $6.37, age 13-18 buffet Inside this Edition October/November 2009 Volume 12, Issue 2 Editor: Jim Timmons Association Membership 320 \| 1 & 2 \| Jacksonville 2010 \| \|---\|---\| \| 2 \| Remembrances and Trips \| \| 2 \| Crow's Nest \| \| 3 \| Navy Times Article Recaps \| \| 4 \| Reunion Medical Form \| \| 4 \| Association Membership \| \| 4 & 5 \| Guest Columnist \| \| 5 & 6 \| Chaplains Corner \| \| 6 \| A Final Thought \| Newsletter of the USS Nitro Association PO Box 1254 MISHAWAKA IN 46546-1254 pricing is $14.63 tax included) may be purchased. Other breakfast menu choices range from $6 to $10. Our group rate is available for up to 3 days prior to the reunion and 3 days after the reunion. Each person will be responsible for making his or her reservations. Individuals may call the hotel's toll free reservations number at 1-800-843-6664. The OMNI Hotel will be setting up a reservation page on their web site shortly and you will be able to make reservations there as well. As soon as we know what the URL is, it will be published on the Nitro Association's web site. When placing your reservation for the 2010 reunion, let the reservation clerk know you want to reserve a room for the USS Nitro Association reunion for "x" number of nights. Your credit card will not be charged until you check out and you may cancel your reservations up till 12 PM (noon) the date of arrival. Anyone requiring special assistance should inform the hotel when making reservations. The OMNI Hotel has limited "smoking" guestrooms. If you want to reserve one for the reunion, please do so as soon as possible. Reservations must be received on or before the cutoff date of 5/26/2010. On the cutoff date, all unreserved rooms will be released back to the hotel for resale. Reservations received after the cutoff date will be accepted on a space and rate available basis. HOTEL PARKING: Even though there is a charge at the OMNI for parking, this charge is more than offset by our guestroom rate, which includes breakfast for two adults. Special parking arrangements have been made at PROPARK PARKING located on Water Street adjacent to the hotel. Parking is $10.00 per night with "in and out privileges". For those who wish to move their cars in and out of the ProPark lot during their stay at the hotel, a special parking pass is needed. In order to receive this discount, Pro Park must be used and guests must register at the hotel prior to parking their car. At that time, the hotel will issue the special parking pass for the guest. The hotel's parking garage, located right behind Pro Parking, is also available for our group's parking and the charge is $12/night. If you choose to park your car in the parking garage, you will not have "in and out privileges". Valet parking is also available for $18/night with "in and out" privileges. Airport Transportation: Express Shuttle provides transportation from Jacksonville Airport to hotels in the Jacksonville area and the charge to the OMNI for 1 person is approximately $32 and for 2 people would be $15/pp. The shuttle cost goes down the more people you have in the group. We are also considering a possible shuttle run with the Nitro Duty Car (my van) to pick people up from the airport. If you plan on flying into Jacksonville, let me know what your itinerary is as soon as possible. We have not held our reunion at any OMNI hotel before and I am sure you will find your stay at this upscale hotel memorable. Our list of activities is still in the works but we will be holding our wreath laying ceremony, association dinner and business meetings as usual. Time and place for the wreath laying is yet to be determined. Among some of the activities under consideration are a., riverboat cruise on the St. John's River, a trip to St. Augustine and a visit to Naval Station Mayport, for possible wreath laying ceremony. Reunion Suggestions The staff at the OMNI Hotel suggests that those who are interested visit their web site: http://www.omnihotels.com/SelectGues tProgram.aspx and sign up for the OMNI Select Guest card. This program offers additional features for members during their stay at OMNI hotels, such as free in-room WiFi, newspapers and more. Another suggestion, for those 62 and older, is to obtain a lifetime Senior Pass from National Park Service. http://www.nps.gov/fees_passes.htm The cost is $10 and can be used for entry into any national park or monument in the USA by the purchaser and up to 3 additional persons. This pass will come in handy if we go to St. Augustine to visit some of the national monuments there. Crewmember Trips and Remembrances By Our Association members and relatives Harold Odette, Nitro Association member and WW2 Navy veteran, from North Carolina recently made a trip to visit the World War II memorial in Washington, DC as part of the Flight of Honor, sponsored by American Legion Post 8 of Wilmington, NC. *** Former AE-23 officer Wallace Carey informed me, relative to our Seattle visit to the USS Ingraham (FFG-61), that his brother, Joseph, served on board the WW2 USS Ingraham (DD-444). The DD-444 was involved in a collision with the USS Chemung (AO-30), during escort duty in 1942. There was an explosion and the USS Ingraham was sunk, with only 11 survivors. Unfortunately, Joseph Carey was not one of them. *** USAF retired Chief Master Sergeant Thomas Morse contacted the Association to let us know his eightyeight year old father, Roger W. Morse living in Maine, was on board the AE-2 as a Machinist Mate when she made the trip to Recife, Brazil. Both Roger and his son would like to hear from other AE-2 crewmembers. Thomas Morse may be reached at either: firstname.lastname@example.org or email@example.com The Crow's Nest - News for and about Crewmembers The listing(s) are of former USS Nitro (AE-2) or (AE-23) crew members, which we have received since our last posting: RMSN Donald Mulhern (AE-23); Archie Davis (AE-2) WW2; Ernest J Liguori (AE-23); * * * * * The Nitro Sage "You know you're a Sailor when . . ." You buy a Dumpster, paint it gray and live in it for 6 months You run all of the piping and wires inside your house on the outside of the walls and label all the piping so you can identify what you just hit your head on. You raise your bed to within 6" of the ceiling. Navy Times Article Recaps 1 Two of the USS Pennsylvania's (WW2) 14-inch gun barrels arrive at Military Museum in Boalsberg, PA. 2. JCS Chief Mullen concerned about 3. Lawmakers assess the possibly increasing the number of active duty military personnel growing link between Taliban and alQaida in Pakistan. 4. Senate bill S 252, for additional benefits for female vets, and S801, for caregivers of disabled vet, clear VA panel and gains support in House. 6 Administration's 2010 defense budget calls for an increase in military medical jobs, which would also limit change to civilian billets. 5. Congress being pressured to review housing maintenance and allowances, concurrent receipts and reserve retirement. 7 Navy testing new cold-weather PT gear. 9. USAF budgets $506M to monitor space junk. 8. GAO reports cite Navy's underestimation of shipbuilding costs, moving ahead with projects before requirements and key technology are ready as reasons for cost over-runs. 10. 3.4% FY2010 military pay raise passes Congress. 12. Over one hundred thirty spring '09 E-6 promotions taken back because of quota calculation error. 11.House members propose tax breaks for deployed troops. 13. Northrup Grumman Shipbuilding inspector falsifies welding inspection report on 8 subs and a new carrier. Reinspection ordered and inspector fired. Sub Toledo had 21" hull crack. 15 Navy continues to stress fuel saving measures for ships. 14. 73,000 Navy, year long, IA (individual augmentee) tours with Army and Marines in Iraq and Afghanistan have been completed. Program expected to continue for at least another 2 to 3 years. 16 Military burn pits in Iraq may have adverse medical effects for thousands of personnel. Reviewing alternatives. 18. Navy reviews sea powered electricity for Guam and Diego Garcia. 17. Army COS's wife speaks out on spousal stress because of multiple combat zone deployments. Navy Times Article Recaps 19. Expanded computer-based training not necessarily good for 'A' and 'C' school graduates. Need more "hands-on, real world" basics. 21 Warships from 27 countries fighting Somalia pirates. 20. USS Independence (LCS-2) original cost estimate $297M, now expected to cost over $704M! 22 Prince Harry visits wounded warriors In Manhattan. 24 MM, EN, GSM rating merger, along with EM & GSE rating merger and MR, HT, DM rating merger placed on indefinite hold. 23 Anphib fleet size may be cut in future quadrennial funding reviews. 25 . Current and former military held file a claim in order to receive on active duty by "Stop-Loss" must additional $500/month payment. destroyer, hits towed sonar array 26.Chinese sub, being tracked by US 27Former carrier, USS Forrestal, 29 likely to be sunk or scrapped 28 Rep. Murtha - personnel cost as a reason for possible future drawdown. where new cammies can be worn. Navy somewhat relaxes policy 30.Unemployed turning to military. 32.Navy FFG tests first unmanned helicopter. UAVs deploy next year. 31 Navy starts installing updated remote-control Bushmasterguns (gattling-type) on surface ships. 33 18 cruisers and destroyers are part of US ballistic missile defense. 35 New E-6 and below service uniforms hit NavEx in September. 34.Commissaries still a good bargain. 36. USCG cutter drydock fire under investigation. 38."Don't ask, don't tell" change gaining momentum on Capitol Hill. 37.MCPON plans to make warfare qualifications mandatory for enlisted. 39.Cruiser Port Royal grounding could cost as much as $40M to repair. 41.Navy may allow simultaneous launch of jets and helos from carriers. 40. Cracks on two aging F-18s initiates inspections of all planes. 42.Today's enlisted have many of the same gripes as sailors of any era. 43.After 2 years of delay and millions in cost overruns, the hybrid powered USS Makin Island finally arrives at homeport of San Diego Navy Times Article Recaps 44.Ammo ship Mount Baker to be inactivated in August 2010 46.F-22 funding halted. 45. College payment glitches in new GI Bill being worked on 47. Navy has awarded 63 Silver Stars 48. SEAL's mini sib damaged in fire will not be repaired or replaced. since 2001. 49.DOD requesting more mental health specialists to work with soldiers prone to suicide. despite faster computer processing 50. VA disability claims pile up 51.Forced-retirement board for Chiefs started September 21. 53 P-8A Poseidon to replace EA-6B Prowler as Navy Electronic Warfare aircraft in 2013 52.New Navy command - Fleet Cyber Command/10th Fleet started in Oct. 54. Russia continues naval exercises in Western Hemisphere 56. House passes bill for severely wounded veteran caregiver training and pay 55. Congress says health care reform will not affect vet's program. 58. Tougher rules covering drugs and drinking could end sailors' careers. 60. First female USCG Vice Commandant retired in August 61.GE lands $2M, Twentynine Palms, 59. SecNav visits ships on piracy patrol in Indian Ocean and Central Command forces. contract for SmartGrid electricity. 63. Crew of 124 civilian mariners and 11 Navy personnel to man Navy's newest supply ship - Mathew Perry. 62 Army uses extreme and adaptive sports as therapy and workouts for injured and returning war vets. 64. Sailors and Marines refining tiltrotor MV-22 Osprey operations during first "all-Osprey" amphib war deployment. No CH-46s as backups. 4 65. Carrier group Ronald Reagan on th 66. Parts of Zumwalt DDG 1000 class being built in seven different states deployment in four years. 67. Army highlights officer recruit- 68. ABC reporter Bob Woodruff, who sustained a severe head wound in Iraq, has formed a foundation which recently gave $4.5M to 35 nationwide organizations to help wounded troops. ment ment in latest advertisements. Medical Forms for Reunion Attendees By Jim Timmons I was recently reintroduced to a fact of life after reading an article in one of the reunion-related publications we are subscribed to. What would happen to any of our reunion attendees who became ill and there was no relative around to take care of him or her? Good question, I thought! Obviously, we would have to try to locate the spouse or closest relative to get permission for either treatment or to take to the hospital to be treated. Most of our attendees travel with their spouses or significant other, but we do have a number of attendees who travel alone and we also have children or grandchildren attending our reunions. While attempting to contact either the guardian of a minor or the spouse or relative of an adult attending the reunion, it is vital for the Nitro Association to have the necessary paperwork, at hand, in order to proceed with any necessary medical treatment as soon as possible. Therefore, as of the 2010 reunion in Jacksonville, Fl, we will require each attendee to complete and return (along with their activity payment) a signed and dated 2-page authorization for emergency treatment form. This form will ask for such information as: Physician's, Dentist's, parent or guardian addresses and phone numbers; notation of any health concerns; authorization for medication and listing of meds; insurance information and consent for emergency treatment or first aid/comfort care. The form also includes an "opt out" section, on the second page, for those who do not wish to provide the Nitro Association with any or all of the requested information. We will also be requesting, from the hotels, a listing of rooms our attendees will be staying in as well as names of physicians and hospitals they may be using in case of an emergency. Nitro Association Membership Update USS Nitro (AE-2/AE-23) Association membership continues to grow. Our membership roll (cumulative total from '98 to present) now stands at 320. The following shipmates (Nitro tour dates) have signed on as members during the month indicated: November: Walter Gary (72-74) Anyone desiring to become a member of the USS NITRO Association may do so by sending a check made payable to: USS NITRO Association % Mr. Robert Peiffer PO Box 1254 Mishawaka, Indiana 46546-1254 2009 Nitro Assn. Dues Classifications Regular Association Membership Dues are $25.00 (including S/H). The dues packet includes an USS Nitro Association watch cap (will have a silhouette of the USS Nitro (AE-23) and the hull numbers of both the AE-2 and AE-23 directly embroidered on it), quarterly newsletters, membership certificate (for new members only), crewmembers directory and a laminated membership card. Active Duty Membership Dues - FREE A new classification of dues for former USS Nitro (AE-23) crewmembers, who are still on active duty, has been created. Former Nitro crewmember, still on active duty, will receive the items described in the regular association membership packet at no charge to them. In order to qualify for this classification of membership, the active duty person will need to supply the Association with a copy of their military ID (to show active status) as well as a copy of their NAVPERS 1070/605 entitled "History of Assignments". Associated Membership Dues are $14.80 ($12.50 dues + $2.30 S/H) This classification of membership is available for spouses and/or children of former or deceased USS Nitro (AE-2/AE-23) crewmembers or for any former U. S. Navy personnel having an interest in or desire to join the USS Nitro Association. This classification would allow those members to receive a membership certificate & card and 4 quarterly newsletters each year (dues premiums and crewmember directory are not included in this classification). All USS Nitro Association memberships are valid for one calendar year (Jan - Dec.). Guest Columnist Kenneth Marvin USS Nitro (AE-2) Association Member I enlisted in the U.S. Navy shortly before I graduated from high school in 1945 and was sworn into the U.S.N.R. in late June. Back then you signed up for the duration of the war plus six months as the minimum time of your enlistment. Shortly after graduation I reported for active duty and received my basic training at the Naval Training Center, Sampson, New York. The Training Center was located on Seneca Lake near Geneva, New York. World War II ended a few weeks after I started basic training. Any celebration of the war ending was done on the base. Basic training included marching drills, rifle range, guard duty of your barracks, firefighter training inside of simulated ship compartments, boat training on Lake Seneca, learning Morse code using wigwags of a flag an of course K.P. duty. After ten weeks of basic training I received orders to report for duty on board the USS Nitro (AE-2) which was anchored at the mouth of the Chesapeake Bay and served during the decommissioning of the Nitro at the Portsmouth Naval shipyard. The first crewmember to greet me was George Livernois, SC1/c, who grew up in my hometown of Woodstock, Conn. I didn't know George, but I knew his younger brother, Joseph, as we were the same age. I was apprehensive about going aboard an ammunition ship, but was relieved to find out the ammunition had already been removed from the ship. The crewmembers of the section I was assigned to were cordial and made us new members feel welcomed. In the sleeping quarters we slept in chain link bunks. I don't recall the number of bunks; it was at least three bunks high. During the decommissioning of the Nitro, a large barge was placed along side; I was amazed at the amount of useful items that were thrown away. Such as bed clothing, foul weather gear, tools, miscellaneous items from all areas of the ship not needed or tied down. Growing up during the Depression and World War II we were instructed by our elders to save everything that was useable. After leaving the Nitro, I served a couple months at the Fargo building in Boston, Mass. waiting for orders for my next assignment which was to report for duty at the Headquarters of the 15 th Naval District, Balboa, Panama Canal Zone. It was an interesting trip. I went by train from Boston to the Norfolk R.S. and boarded the USS Crescent City (APA 21). From Norfolk we went to Hamilton, Bermuda and left Navy personnel, then to Guantanamo Bay, Cuba and left Navy personnel. On leaving Guantanamo Bay, the ship ran aground which was an interesting experience. From there, the ship went to Cristobal, Panama Canal Zone where I got off and went by train across the canal zone to the 15 th Naval District Headquarters where I was assigned to yeoman duties in the Headquarters library and where I finished my enlistment. (I was there during the raining season, and when it rained it poured for about 30 minutes then the sun would come out and dry things up in a very short time). Also, for our liberty, we were able visit Panama City, take guided tours of inland Panama. It reminded me of the old Wild West with men on horseback, branded cattle and no fences. We visited the locks and watched the ships go through. The tides on the Pacific side were 21 feet from high tide to low tide and there was a bay at the Base that was completely dry when it was low tide. You had to go through the Navy base to get to Fort Amador, the Army base. On the flight back to the states, the plane had to stop at Guantanamo Air Base because of engine trouble. After being repaired, we landed at the Miami, FL. airport and then went to the Opa Locka Naval Air Station for a few days, then received orders to travel by train to Lido Beach, New York where I was discharged. Kenneth Marvin (AE-2) S2c, "A" Division USS Nitro (AE-2) 1945 Editor's Note: This is the second of several articles to be written by our WW2 association members. Chaplain's Corner By Chaplain Deanna Smitha "Remembering—Memories CAN fade" On 7 November, I attended our local women vets' semi-annual luncheon and meeting. This was a group brought together over 23 years ago by a group of women across the services to remember, celebrate, chronicle members' service to our country, and for service and fellowship. The vast majority of our folks were WW2 vets, from all branches. Many were not recognized officially by the Federal Government as vets, since women who flew as service pilots and in the Coast Guard as volunteers lacked much of the recognition and many of the rights accorded to others whose service was at least recognized. I had the privilege to serve as the Association vice-president for a couple of years, and found myself challenged to try keeping up with the energies and activities of these incredible women. Our group has shrunk over the years as our women have become more frail in health, and have had to move elsewhere to support health issues and receive care from family members. Our meetings (usually centered around Veteran's Day & Armed Forces Day each year) have been a wonderful gathering of spirited vets, who share prior service and current action. Yes, these women have stayed very active in support of current service members, female and male, as well as connecting with other veterans groups to be in service to members in VA Hospitals and clinics in our area. On Saturday, 7 November, we held our final/sunset meeting, the group no longer able to sustain its life with a significantly diminished membership base. It's extremely sad for me, as I have come to know and deeply appreciate the contributions of these veterans, and the trails that they have blazed for service members now active in our armed forces. Our members have chosen to donate the proceeds of the Association resources to the ongoing efforts of the Women in Military Service for America (WIMSA) Memorial in Arlington, VA (which some of you visited while at Arlington National Cemetery during our NITRO reunion in 2007), AND to the ongoing effort of the Naval Sea Scout squadron in our area, fostering young women and men to have the spirit and training to participate in the future service of our country in the Armed Forces. I'm in total awe of this wonderful group of visionary and dedicated veterans! Our USS NITRO Association is strong and viable, and with your continued participation and support, it will be so for many years to come. With our dedicated leadership and members, we continue to make a difference in both the memory of distinguished service, and also making a difference to service members NOW in action to defend our nation. While being sad with the passing of one great organization, I am A Final Thought Behind me "Mitch Miller and the Gang" are singing holiday songs on the stereo high fi. From the darken kitchen, I observe the apple trees and the stately old pear tree covered with a white coat of snow as does the back yard. Turning around to go to the living room where my brother and sister are doing their homework on the floor, I see a fresh, crisp tablecloth on the dinning table with bowls of fruit and mixed nuts. The doors to the living room and the hallway to the front door, brightly colored string hold numerous Christmas cards. In the corner, a lighted Christmas tree awaits the pleased and happy to be connected and involved with another great organization that brings together fantastic and faithful people to remember and to DO great things in these times. I hope that your experience of connectedness to this Association will continue to be a special and significant part of your ongoing journey, and that you will draw great presents that will be placed there on the 24th of December. My parents are reading the newspaper and talking about some far off place called Vietnam. Then, I realize this was along time ago when this scene had taken place. A time of innocence, a time of little worry. The years have crept by and now my wife and I are the grandparents. Our grandparents, parents, aunts, and uncles and the adults my parents knew as friends are now gone. At this time of year, some of the major religions will observe the Holidays. Let's remember what the true meaning for these events. satisfaction and joy from your membership here. May God continue to give us, our leaders and our country the faith and courage to move FORWARD in the days, weeks and months ahead. Grace and peace…. Chaps… During December, military organizations will be holding their annual membership drives. If your memberships are about to expire, take time to renew. From the Association officers, our families, have Happy Holidays and a Happy New Year! Hope to see ya all in sunny Florida in June. Please remember our service personnel who man-the-watch in your thoughts and prayers. Fair winds and following seas, Bob Eberlein, Founder, USS Nitro Association.
Piotr Wiliński absolwent WPAiE Uniwersytetu Wrocławskiego oraz Erasmus School of Law Erazma w Rotterdamie Emergence of Lis Pendens Arbitralis in Europe I. Introduction Parallel proceedings before two different fora, between the same parties and the same cause of action constitute an inconvenient situation which needs to be addressed. On the national level – as far as two domestic court's proceedings are concerned – certain rules adopt the principle oflis pendens and prevent costly parallel proceedings and protect parties from oppressive litigation tactics. Although the principle oflis pendens varies depending on the country, in principle it provides that the court first seized will be competent to decide the case, unless it finds that it has no jurisdiction. Eliminating the likelihood of parallel court and arbitral proceedings became an issue of utmost importance within the European Union. As unwanted consequences of a number of European Court of Justice decisions, frustrating arbitration proceedings became as possible as never before. That is why in latest revision of the Brussels I Regulation, the European Commission introduced a new mechanism tailored at eliminating the concurrent proceedings in the context of international arbitration. In international arbitration such principle does not exist. Instead, in order to avoid concurrent court and arbitration proceedings, the exclusive jurisdiction of an arbitral tribunal (which should be respected universally) entitles it to decide on all issues including its own jurisdiction. In essence this should suffice. Usually as a consequence of dilatory, oppressive tactics of a respondent in international arbitral proceedings – an arbitral panel may have to face lis pendens situations 1 . In that case, a respondent in arbitration brings an action before a national court other than at the seat of the arbitration, claiming the invalidity of an arbitration agreement. Accordingly it deliberately chooses a foreign forum in order to frustrate its previous contractual bargain. The study aims to establish whether the principle oflis pendens arbitralis might emerge as a consequence of the Brussels I Regulation revision and whether such principle is actually needed. The research will be divided into four parts. The first one will be devoted to explain legal paradigms that underline the principle of the exclusive jurisdiction of the arbitral tribunal (hence severability of arbitration agreement and the doctrine of competence-competence) 1 The application of traditional lis pendens assumes the parallel proceedings before fora of equal status. In case of concurring court and arbitral proceedings it is not the case. which essentially should prevent any parallel proceedings from occurring in the first place. Second and third part will introduce different national approaches with respect to the interface between the court and arbitration proceedings. As each legal system provides different legal features (e.g. anti-suit injunction, negative competence-competence, declaratory relief) facilitating interaction between fora, they will be analyzed subsequently. Final part aims to introduce the development of the Brussels Regime 2 which might call for elaborated mechanism of preventing concurrent proceedings as a consequence of the ECJ case law. The analysis of the national legislation will be primarily based upon the English, French and German arbitration legal orders with some auxiliary use of the law from different jurisdiction. Consequently, from international perspective, the New York Convention (1958), Geneva Convention (1961) and Model Law (1985 and its update on 2006) will be analyzed. From the European point of view, the Brussels Regime should be studied. Additionally in order to assess the development of the Brussels Regime, the ECJ case law will be examined. Use of comparative research is particularly important. In the first chapters it shows that the underlying principles are recognized universally both on international and national level. In the two following chapter it is reasonable to confront different legal features introduced in different legal systems. In the fourth and final chapter European and national approach has to be contrasted. Author is aware of the fact that some of the terms used have in principle different meaning. Notwithstanding for the purpose of this research expressions like arbitration agreement and arbitration clause, or competence-competence and Kompetenz-Kompetenz and few others will be used interchangeably. The research takes into account recent developments in area of arbitration law meaning: amended French Code of Civil Procedure, the review of the New York Convention offered by A. van den Berg as well as the European Commission proposal on reviewing Brussels I Regulation. II. Establishing Arbitral Jurisdiction: principles reinforcing its exclusive character Exclusive jurisdiction of arbitral tribunals is a legal paradigm established on the basis of two principles of international arbitration: severability of the arbitration agreement and the rule of competence-competence, which will be discussed respectively. In essence the doctrine of separability allows an arbitral tribunal to decide on the merits, whereas competence-competence doctrine empowers a tribunal to decide on its own jurisdiction 3 . When read together they allow an arbitral tribunal to decide on all disputes arising out 2 The system established on Brussels Convention (1968), Lugano Convention (1988) and Brussels I Regulation designed to facilitate recognition and enforcement of state court decisions in civil and commercial matters in European Union. 3 (Lew, Mistelis, & Kroell, 2003) p. 102. of the contract. Consequently – at least in theory – a conflict between two legal fora should not be possible. Nevertheless when the very existence of an arbitral agreement is in question, the arbitral mandate is not that evident. Considering that "any private mechanism of dispute resolution – whenever it falls on the spectrum running from consensual settlement all the way through binding arbitration – depends in the last resort on public sanctions and the public monopoly of force" 4 , it seems that a clash of power is inevitable. Therefore it is necessary to establish to what extent jurisdiction of the tribunal is in fact exclusive. 1. Autonomous character of the arbitration agreement 5 and its consequences It has been recognized that an arbitration agreement fulfills a number of functions of a jurisdictional character: it shows consent of the parties to resolve their disputes in arbitration, it establishes the jurisdiction and authority of arbitral tribunals and finally it is the basic source of the power of the arbitrators 6 . Notwithstanding that such agreement usually stands amongst other contractual provisions it has been accepted to treat it individually as an autonomous contract. The concept of separability (or severability) of an arbitration clause allows it to survive the termination of the contract. In general, even joint termination of a contractual relationship by all parties is not extended to an arbitration agreement 7 . It rather retains its validity for all the disputes arising out of the terminated contract 8 . The logic behind an agreement to arbitrate is to establish a legal obligation for the parties to arbitrate 9 and – as pointed out by M. Hunter – "Indeed, it would be entirely self-defeating if a breach of contract or a claim that the contract was voidable was sufficient to terminate the arbitration clause as well; this is one of the situations in which the arbitration clause is most needed" 10 . It also implies that an autonomous arbitration clause will be valid even if the underlying contract is void 11 or even argued as non-existent 12 . Therefore the arbitration agreement is not automatically burdened with defects of the main contract. Nonetheless it is also stressed that "in reality, the arbitration clause remains closely connected to the parties' main contract and has an interrelated, supportive function. While the arbitration agreement should generally be «separated» from the underlying contract for various purposes, it is never entirely or necessarily «autonomous» or «independent» from the underlying agreement" 13 hence on a caseby-case an analysis arbitration clause might follow the destiny of the main contract 14 . 4 (Rau, 2010) p. 1. 6 (Lew, Mistelis, & Kroell, 2003) p. 99. 5 Although arbitration agreement might be a separate document it is often included as one of the contract provisions. Therefore arbitration agreement and arbitration clause will be used interchangeably. 7 (Böckstiegel & Kröll, 2007) p. 24 also (Delvolvé, Pointon, & Rouche, 2009) p. 57. 9 (Lew, Mistelis, & Kroell, 2003) p. 99. 8 (Born, 2009) p. 351 also (Böckstiegel & Kröll, 2007) p. 24. 10 (Hunter & Refern, 2004) p. 193. 12 (Delvolvé, Pointon, & Rouche, 2009) p. 55. 11 (Leboulanger, 2007) p. 4. 13 (Born, 2009) p. 315. 14 (Böckstiegel & Kröll, 2007) p. 248. Accordingly independence of an arbitration agreement certainly facilitates its functioning. It is not however the main reason for an arbitral tribunal to have an exclusive power over the dispute 15 . a. Direct consequences of the autonomy of the arbitration agreement Two direct consequences of the legal autonomy of arbitral agreements are to be mentioned. Firstly, an agreement to arbitrate is not affected by the status of the main contract; secondly it might be governed by a different law than thelex contractus 16 . Nonetheless, in order to retain sufficient focus on the researched topic, attention will be given to the indirect effect of the independence of the arbitration clause rather the direct one 17 . b. Indirect consequence(s) of the autonomy of the arbitration agreement As offered by E. Gaillard "with any firmly established rule that is well formulated, the principle of the autonomy of arbitration agreements has often been relied upon as the basis for developments which go far beyond its initial raison d'être. These developments include the «competence-competence» rule" 18 . As the principle of competence-competence will be discussed below (under the section on the principle of competence-competence), due attention will now be paid on the correlation between those two concepts. Treating the arbitration agreement as a separate contract is designed for convenience as a solution in a case when the main contract is invalid or even appears to never exist. If the underlying agreement and arbitration clause would be read jointly, then the basis for the tribunal to convene to decide on its own jurisdiction would not be so apparent 19 . It is reasonable to assume that the parties' intention was quite the contrary – to allow an arbitral tribunal to examine all the questions as arising out of the contract 20 . It leads to the conclusion that both the severability presumption and competence-competence serve the same objectives: to protect the arbitral tribunal's mandate to decide on matters that are being disputed 21 , to prevent premature judicial intervention from obstructing the arbitration process and to eliminate loopholes for parties who intend to delay the arbitration 22 . Sometimes they are even addressed together 23 which incline 15 As it will be explained, the exclusive jurisdiction of an arbitral tribunal is granted according to the principle of competence-competence. In principle, an arbitral tribunal, before it accepts jurisdiction had to study an agreement to arbitrate in order to decide if claims are arbitrable and/or are in scope of an arbitration agreement. In case substantive requirements of an arbitration clause (i.e. a dispute matter is not arbitrable or falls outside the scope of an arbitration clause etc.) are not satisfied an arbitral tribunal should refrain from examining an underlying contract. 17 (Gaillard & Savage, 1999) p. 208. 16 (Leboulanger, 2007) pp. 16–17, also (Gaillard & Savage, 1999) pp. 208–212. 18 (Gaillard & Savage, 1999) p. 212. 19 20 (Born, 2009) p. 351. (Hunter & Refern, 2004) pp. 298–299. 21 (Gaillard & Savage, 1999) pp. 213–214, also (Born, 2009) pp. 403–404. 23 (Leboulanger, 2007) p. 17. 22 (Susler, 2009) p. 1. to some simplifications and confusion between them. Subsequently it is suggested that the principle of competence-competence is a corollary to the principle of the autonomy of the arbitration agreement 24 . Therefore it is presumed that the examination of jurisdictional challenges depends on the independence of arbitral agreements. Nevertheless, the competence-competence rule has to be distinguished from the principle of autonomy of the arbitration agreement 25 . As underlined by William W. Park: "Separability and competence-competence intersect only in the sense that arbitrators who rule on their own jurisdiction will look to the arbitration clause alone, not on to entirety of the contract" 26 . Although G. Born acknowledges a substantial relationship between the principles discussed, he stresses that "the competence-competence doctrine could very readily exist without a separability presumption and, conversely, the separability presumption could be accepted without also adopting a rule of competence-competence" 27 . He also concludes that "The separability presumption enables the arbitrators to consider and resolve disputes about the existence, validity, legality and termination of the underlying contract, regardless whether the competence-competence doctrine is accepted, while requiring arbitration of disputes that concern only the existence, validity, or legality of the underlying contract (and not the arbitration agreement)" 28 . 2. Principle of competence-competence As discussed above an arbitration agreement serves as a separate contract between the parties. Notwithstanding that the arbitration clause does not follow the fate of the main contract in case of invalidity of the latter it does not mean that it cannot suffer its own flaws. Accordingly if validity or existence of arbitration agreement is questioned, then the essential power (to decide on disputes arising out of contract) stemming from the arbitral agreement has to be reconsidered as well. How can an arbitral tribunal carry out arbitral tribunal tasks properly if its mandate to examine the arbitration clause does not exist? One solution is to refer all the questions on tribunals jurisdiction (thus mostly existence or validity of the arbitration agreement 29 ) to the national courts. Alas it will give an opportunity to a respondent to frustrate arbitral proceedings or at least delay them by merely contesting the existence or validity of an arbitration agreement and seriously undermine the effectiveness of arbitration 30 . Therefore a legal presumption in favor of arbitral tribunal competence has been designed specifically to avoid aforementioned drawbacks. Nowadays it is generally accepted that an arbitral tribunal is a competent forum to decide on its own jurisdiction 24 (Kaufmann-Kohler & Stucki, International Arbitration in Switzerland: A Handbook for Practitioners, 2004) p. 28 also (De Ly & Sheppard, 2006) p. 17 and mentioned in (however with remark that principles has to be distinguished ) (Gaillard & Savage, 1999) pp. 212–214. 26 (Park, Determining Arbitral Jurisdiction: Allocation of Tasks between Courts and Arbitrators, 1997) p. 133. 25 (Gaillard & Savage, 1999) p. 212. 27 (Born, 2009) p. 403. 29 In case valid arbitration exists, but an arbitral tribunal accepts to decide on the issues that falls outside the arbitration agreement. 28 (Born, 2009) p. 404. 30 (Lew, Mistelis, & Kroell, 2003) pp. 331–332. and this is referred to as the competence-competence doctrine 31 . Nonetheless it does not mean that national courts are not included in the judicial process. The following considerations will be two-folded. First it will be shown that applying the principle of competence-competence expressly confers the power to decide jurisdiction on the arbitrators, often referred as the positive effect of arbitral agreement. Secondly elaboration on so called negative competence-competence will be offered which in principle shows that an arbitral tribunal should be the first to make a determination as to jurisdiction, and national courts should defer to the tribunal while reserving their right of review in setting aside procedure 33 . The principle of competence on competence is the core of the debate in international commercial arbitration as to the scope of judicial intervention this is to be allowed. G. Born states that "The competence-competence doctrine is closely related to rules regarding the allocation of jurisdictional competence between arbitral tribunals and national courts and to rules concerning the nature and timing of judicial consideration of challenges to an arbitral tribunal's jurisdiction" 32 . a. Arbitral Tribunal's power to decide on its jurisdiction The jurisdiction to decide on its own jurisdiction has two dimensions. Firstly it is a necessity for the tribunal to work properly, even though the tribunal's decision on this issue might be cancelled by a court. Secondly it is duty of the arbitrators to express their opinion on the issue of validity of an arbitration agreement. Although it is argued that positive effect of the herewith discussed principle is subject to national law 34 , it is also indirectly reflected by Art. II (3) of the New York Convention 35 that reads: "the court of a Contracting State, when seized of an action in a matter in respect of which the parties made an agreement within the meaning of this Article, shall, at the request of one of the parties, refer the parties to arbitration, unless it finds that the said agreement is null and void, inoperative or incapable of being performed". On the other hand the European Convention on International Commercial Arbitration expressly provides that: "[s]ubject to any subsequent judicial control provided for under thelex fori, the arbitrator whose jurisdiction is called in question shall be entitled to proceed with 31 (Hunter & Refern, 2004) pp. 299–302. 33 (De Ly & Sheppard, 2006) p. 17. 32 (Born, 2009) p. 852. 34 (Schramm, Geisinger, & Pinsolle, 2010) pp. 95–96. 35 It is sometimes suggested that New York Convention does not deal with subject of competence-competence (Gaillard & Savage, 1999) p. 397 ("As the 1958 New York Convention only deals with the conditions for recognition and enforcement of awards, it does not cover the competence-competence principle") it is however argued that notwithstanding clear indication of the competence-competence principle, the recognition of arbitral tribunal's mandate to rule on its own jurisdiction is present in New York Convention respectively in Articles II(3), V(1)(a) and V(I)(c) (Born, 2009) p. 857 ("Nonetheless, it does not follow that the Convention is irrelevant to issues of competence-competence. Despite the absence of express language on the topic in the New York Convention, it is clear that Articles II(3) andV(1) of the Convention recognize that both arbitral tribunals and courts may consider and decide disputes about the arbitrators' jurisdiction"). the arbitration, to rule on his own jurisdiction and to decide upon the existence or the validity of the arbitration agreement or of the contract of which the agreement forms part" 36 . Accordingly the principle of competence-competence is also established in Art. 16(1) of the Model Law that offers: "the arbitral tribunal may rule on its own jurisdiction, including any objections with respect to the existence or validity of arbitration agreement […]". It is worth to mention that input of the Model Law in establishing the principle of competence-competence was significant even in non-model law jurisdiction 37 . Not surprisingly, in Model Law jurisdictions the provisions is almost the same as Article 16 of the Model Law. According to section 1040(1) of the German Code of Civil Procedure, the arbitral tribunal may rule on its own jurisdiction and in this connection on the existence or validity of the arbitration agreement. For that purpose, an arbitration clause which forms part of a contract shall be treated as an agreement independent of the other terms of the contract. Furthermore the Polish Code of Civil Procedure provides a similar provision 38 whereas the Irish Arbitration Act in its version from 2010 contains literally the content of the UNCITRAL Model Law with its 2006 amendments 39 . As the arbitral tribunal acquires its power from the national lex arbitri, the analysis how it is established on selected national level will now be undertaken. The English Arbitration Act adopted an analogous approach when enacted in 1996. It is provided in section 30 that unless otherwise agreed by the parties, the arbitral tribunal may rule on its own substantive jurisdiction. As explained substantive jurisdiction contains issues of the validity and the scope of the arbitration agreement (subsections a and c) and proper constitution of the arbitral tribunal (subsection b). Despite the fact that the underlined principle has been explained by examples of legislation of only a few states, it is safe to say that it has universal recognition. Nonetheless In France, the positive effect of the arbitration agreement is established in Article 1466 of the French Code of Civil Procedure. The rule that the arbitrator shall decide on the issue, if a party challenges the existence or scope of the arbitrator's jurisdiction, is complemented by Article 1458 which provides the negative effect of arbitration agreement. At this point it is necessary to point out that as of 1 May 2011 new legislation on arbitration will be applicable in France. Nonetheless an arbitration tribunal's mandate still remains strong 40 . 36 As the European Convention on International Commercial Arbitration also contains negative competence-competence it will be discussed under subsequent section of this paper. Notwithstanding abovementioned Article V(3) clearly gives the power to an arbitral tribunal to decide on its own jurisdiction. 38 According to Article 1180 § 1 of the Polish Code of Civil Procedure an arbitral tribunal may rule on its own jurisdiction, including any objections with respect to the existence, validity or effectiveness of arbitration agreement ("Sąd polubowny może orzekać o swej właściwości, w tym o istnieniu, ważności albo skuteczności zapisu na sąd polubowny"). What is significantly different is to allow an arbitral tribunal to decide also on effectiveness of arbitration agreement thus if it is operative or not. 37 (Brekoulakis & Shore, 2010) p. 613. 39 As provided in section 6 of Arbitration Act 2010: "Subject to this Act, the Model Law shall have the force of law in the State and shall apply to arbitrations under arbitration agreements". 40 Art. 1465 of the New French Code of Civil Procedure provides that an arbitral tribunal has exclusive jurisdiction to decide on any objectives in respect to its jurisdiction ("Le tribunal arbitral est seul compétent pour statuer sur les contestations relatives à son pouvoir juridictionnel"). the doctrine of competence-competence in its modern meaning does not provide an arbitral tribunal with exclusive jurisdiction to decide on the question of its jurisdiction as the Kompetenz-Kompetenz doctrine was understood traditionally. As explained by E. Gaillard: "If one were to follow the traditional meaning of the expression in Germany, «Kompetenz-Kompetenz» would imply that the arbitrators are empowered to make a final ruling as to their jurisdiction, with no subsequent review of the decision by any court. Understood in such a way, the concept is rejected in Germany, just as it is elsewhere" 41 . It means that by conferring the power to decide on jurisdictional issues on the arbitral tribunal the principle is essential to reduce the level of the interference between an arbitral tribunal and domestic courts (and not to give an arbitral tribunal the first and the last word to rule on its jurisdiction 42 ). b. Court's obligation to refer the matter to arbitration In the line with an arbitral tribunal's power to render a decision on its own competence goes the duty of the domestic courts to respect the arbitration agreement and decline jurisdiction. Such consequence of the arbitral agreement is referred to as its negative effect and it is addressed to the state courts. As argued byD. Angualia: "Domestic courts play a big role in reinforcing party autonomy by requiring them to refer disputes to arbitration where they have a valid arbitration agreement which has not been mutually abandoned" 43 . Needless to say any arbitration agreement has both positive and negative effect. However not every arbitration agreement results in negative competence-competence 44 . Negative competence-competence originates from France and has been established in Article 1458 of the French Code of Civil Procedure 45 . It provides that if a dispute pending before an arbitral tribunal on the basis of an arbitration agreement is brought before a State court, it shall declare itself incompetent. Similarly State court shall also declare itself incompetent even if the dispute is not yet before an arbitral tribunal, unless the arbitration agreement is manifestly null and void. Consequently negative competencecompetence relies upon the assumption that an arbitral tribunal has a priority to rule on its own jurisdiction and that a national court has the right to conduct a complete review 41 (Gaillard & Savage, 1999) pp. 396–397 conversely it has been argued by (Born, 2009) p. 899 ("German authorities reason (wrongly) that, under Germany's enactment of the Model Law, the traditional German conception of Kompetenz-Kompetenz has been abrogated and cannot be adopted even by express agreements granting arbitrators the power to make final determinations of their own jurisdiction. In contrast, English courts have interpreted England's variation of the Model Law as permitting agreements that grant arbitral tribunals the power to make final jurisdictional decisions"). 43 (Angualia, 2010) p. 16. 42 Before 1998 reforms in Germany it was possible to contractually grant arbitrators a right to rule on their own authority in a final way. Such provisions were referred as the Kompetenz-Kompetenz Clauses mentioned above as traditional meaning of Kompetenz-Kompetenz Principle. More (Park, The Arbitrator's Jurisdiction to Determine Jurisdiction, 2007) pp. 114–119 also (Born, 2009) pp. 854–855. 44 Negative competence-competence has to be provided by thelex fori arbitri. 45 Articles 1458 together with Article 1466 of the French Code of Civil Procedure have been primarily designed for domestic arbitration. Then it became applicable to international arbitration. only after an arbitral award is rendered. It also means that even when court proceedings have been commenced at a point in time when the dispute is not yet before an arbitral tribunal, the court still has to declare itself incompetent unless it finds that the arbitration agreement is manifestly void 46 or manifestly not applicable as stated in Article 1448 of the New French Code of Civil Procedure. Empowering an arbitral tribunal with "primary jurisdiction" together with complete review only after an award is rendered is highly controversial. It has been disapproved by A. Rau who argues: "once put into play, though, the logic of the French regime is characteristically relentless. As has often been pointed out, even a claimant who does not believe that he is bound by an arbitration agreement must first institute an arbitration procedure and participate in the selection of the tribunal – all for the purpose of asking the arbitrators to declare that they may not hear the case" 50 . Accordingly S. Brekoulakis contests negative competence-competence which should be dismissed "as an unjustified effort to unduly expand the arbitration domain at the expense of national courts" 51 . To establish that an arbitration agreement is manifestly void only prima facie review has to be undertaken. As explained by O. Susler it [prima facie review] only requires verifying that a valid arbitration agreement exists. It does not entail a full examination as to the existence and validity of the arbitration agreement" 47 . In fact a French court will be disallowed to carry out an in-depth examination of the arbitration agreement 48 . S. Brekoulakis argues further that "in effect under French jurisprudence it would be enough for a clause to mention the word «arbitration» for the national court to refrain from examining whether this reference to arbitration is void or has any meaning at all" 49 . Regardless the criticism, the French approach towards competence-competence was highly influential 52 also with respect to draft of the European Convention on International Commercial Arbitration 53 . Moreover it is sometimes suggested that the Model Law also offers prima facie review of the arbitral tribunal jurisdiction. Notwithstanding opting for or against negative competence-competence one has to accept that the system is very efficient as preventing abuse of process (i.e. dilatory tactics), strengthening the position of the arbitral tribunal and thus strengthening the effectiveness of the arbitration 54 . 46 (Schlosser, 2001) p. 25. 48 (Bensaude, 2010) p. 881. 47 (Susler, 2009) p. 3. 49 (Brekoulakis S., The negative effect of competence-competence: the verdict has to be negative, 2009) p. 4. 50 51 (Brekoulakis S., The negative effect of competence-competence: the verdict has to be negative, 2009) p. 12. (Rau, 2010) p. 63. 52 Thus being followed by other jurisdiction e.g. Switzerland, India, Hong Kong, Canada (Born, 2009) 53 Article VI(3) provides that: "Where either party to an arbitration agreement has initiated arbitration proceedings before any resort is had to a court, courts of Contracting States subsequently asked to deal with the same subject-matter between the same parties or with the question whether the arbitration agreement was non-existent or null and void or had lapsed, shall stay their ruling on the arbitrator's jurisdiction until the arbitral award is made, unless they have good and substantial reasons to the contrary". p. 900 and also Egypt (De Ly & Sheppard, 2006) p. 20. 54 See (Born, 2009) p. 902, also (Susler, 2009) p. 13. In essence, even in case when negative competence-competence does not apply, a court should carefully choose when the interference of the arbitration process is appropriate 55 . When following Article II (3) of the New York Convention, Court shall refer the parties to arbitration. It may rule otherwise only if it finds that agreement is null and void, inoperative or incapable of being performed. "It has been argued that the pro-arbitration nature of the New York Convention ought to encourage courts to provide a narrow reading to Article II (3)" 56 . The above provision of the New York Convention has been respectively mirrored in thodel Law 57 and in the national arbitration statutes 58 . It means that that exclusive jurisdiction has its limits. Nonetheless – as it will be explained at a later stage – the New York Convention does not give a clear answer what as to the scope of review by the domestic courts in sense that it depends on national systems when and to what extent exclusive jurisdiction of an arbitral tribunal is being disturbed. 3. Limits to exclusive jurisdiction The starting point for any considerations is that exclusive jurisdiction of the arbitral tribunal is granted ab initio. Nonetheless it has only provisional character which means that it has to be enforced by national courts in case of a challenge. When legitimacy of the arbitral tribunal on the grounds related to existence, validity or the scope of the arbitration agreement is in question then an arbitral award might have limited recognition or might not be recognized at all. As the process of challenging jurisdiction of the arbitral tribunal will be explained in the subsequent chapter, for now it is only necessary to say that jurisdiction of the arbitral tribunal loses its exclusive character when an arbitration agreement is null and void, inoperative or incapable of being performed or (indirectly) when an arbitral tribunal disregards public policy of the applicable law. III. Challenging the Arbitral Jurisdiction in the national court Domestic court and the arbitral tribunal may interact with each other in two scenarios. In the first one, a party (usually the respondent in arbitral proceedings 59 ) will try to object to the arbitral tribunal's mandate to reach a binding decision. In the second – which will be explained in the third chapter, one of the party requests the protection of the arbitral proceedings from domestic courts 60 . In neither of case will it be easy 55 Due to the fact that negative effect of arbitration agreement will be intact. 57 Art. 8(1) of the Model Law. 56 (Susler, 2009) p. 17. 58 E.g. Article 1032(1) of the German Code of the Civil Procedure, Section 9(4) of the English Arbitration Act. 60 It is important to underline that in case of protection of arbitral proceedings the situation is far more complex due to the fact that at least three actors exist in this circumstances: the arbitral tribunal, national court summoned to protect the arbitral proceedings and finally another court and/or arbitral tribunal which finds himself competent to hear the case. 59 Although it is plausible that different actor than respondent in arbitral proceedings can also raise the objections, in simplified model whereas only two parties are involved in dispute, logic dictates that it will be respondent (not claimant) in arbitral proceedings that challenges the arbitral tribunal jurisdiction. to establish the coordination mechanism for both arbitration tribunals and domestic courts. This raises two questions: first what are the grounds for the challenge of the arbitral tribunal's jurisdiction, second when can the objections be raised. A final point relates to the way a court can intervene. 1. Grounds for full challenge By and large the New York Convention outlines what are the grounds for the challenge. They are consequently elaborated upon by national arbitration acts. It means that depending on the state, the legal system might be more or less demanding with respect to the circumstances under which the court might intervene with the arbitral proceedings. Not all of the objections that can be raised refer to the arbitration agreement (e.g. proper constitution of the arbitral tribunal which does not stem from the invalidity of the arbitration agreement). Therefore research will be narrowed to objections related to the existence or validity of the arbitration agreement which has been primarily offered by Article II (3) of the New York Convention which gives an opportunity for the national court to examine the validity of the arbitration clause when it assumes it is null and void, inoperative or incapable of being performed. Such wording has been followed in the Model Law and a number of national arbitration statutes 61 which provides a relatively consistent approach as to the grounds for challenge. Article 8 (1) of the Model Law reads that: "A court before which an action is brought in a matter which is the subject of an arbitration agreement shall, if a party so requests not later than when submitting his first statement on the substance of the dispute, refer the parties to arbitration unless it finds that the agreement is null and void, inoperative or incapable of being performed". Conversely some jurisdictions approached the issue a bit differently. For example, Article 1458 of the French Code of Civil Procedure accepts interference by the national court only in case when an arbitration agreement is manifestly void 62 . It is however important to underline that irrespectively of the national statutes the grounds provided in the New York Convention will always be applicable within the European Union borders 63 . For that reason the main differences between the states will concern timing and character of intervention of the court and not the grounds for the challenge. a. Null and void arbitration agreement To establish the meaning of a "null and void" arbitration agreement one can adopt two techniques of interpretation. First one may follow an internationally established definition 61 Article 8(1) of the Model Law, Article 1032 (1) of German Code of the Civil Procedure, Section 9(4) of English Arbitration Act. 63 All Member States of the European Union are respectively signatories of the New York Convention. 62 Or as indicated in the new Article 1448 of the French Code of Civil Procedure the court can accept the jurisdiction only when arbitral tribunal has not yet been vested to hear the dispute and if the arbitration agreement is manifestly void or manifestly not applicable. of null and void arbitration agreement. The second one determines such defect according to applicable national law 64 . For the purpose of the research at hand the meaning of the wording of the New York Convention (null and void, inoperative and incapable of being performed) will be interpreted autonomously (from the international rather than national perspective) 65 A. van den Berg adds that the words "null and void" also apply to the issue of the capacity of the party under its personal law or other applicable law 68 . An arbitration agreement that is null and void is affected by some invalidity ab initio. It usually means that there was no meeting of minds due to misrepresentation, duress, fraud or undue influence 66 . Additionally J. Lew provides a non-exhaustive list of examples of invalid arbitration clauses, mentioning the situation when such an agreement does not refer to a defined legal relationship or refers the dispute to an uncertain or non-existent arbitration institution 67 . Finally, once again the importance of the principle of severability has to be mentioned. Invalidity of an arbitration agreement must be independently – as opposed to the contract containing arbitration agreement – determined by the court. b. Inoperative arbitration agreement An arbitration agreement will be inoperative if it ceased to have any effect by the time the court is asked to refer parties to arbitration. That means it was not invalid from the beginning, but in the meantime lost its effect. Thirty years ago A. van den Berg was assuming that the following reasons might correspond with the word "inoperative": first of all parties might have implicitly or explicitly waived their right to arbitration 69 , secondly the same dispute between the same parties has already been decided in arbitration or court proceedings (principles ofres judicata andne bis in idem). He also mentions that "an arbitration agreement may further be inoperative where the arbitration has shipwrecked for some reason, and for this reason, under the applicable law, the agreement ceases to have effect. Examples are the setting aside of the award, the stalemate of the votes of the arbitrators or the failure to render an award within 64 Explained in details in (Schramm, Geisinger, & Pinsolle, 2010) pp. 103–104 indicating specific approaches within the techniques undertaken. 66 (van den Berg, 1981). 65 Based upon argumentation offered by (Lew, Mistelis, & Kroell, 2003) p. 342 ("in the context of the New York Convention an autonomous interpretation should prevail which excludes national idiosyncrasies. Only such an autonomous interpretation can lead to the harmonization intended by the New York Convention"); also supported by (Schramm, Geisinger, & Pinsolle, 2010) pp. 104–105 ("the best of the above approaches is the uniform interpretation – or at a minimum the approach restricting the grounds for nullity to those that are generally recognized in international law. These approaches are the most consistent with the overall aims of the New York Convention") and (Susler, 2009) p. 17 ("it has been argued that the pro-arbitration nature of the New York Convention ought to encourage courts to provide a narrow reading to Article II(3)"). 67 (Lew, Mistelis, & Kroell, 2003) p. 342. 69 Usually by active participation in court proceedings or by failing to invoke the arbitration agreement. 68 (van den Berg, 1981). the time limit for arbitration" 70 . Similarly a time limit might be given to initiate the arbitral proceedings which mean that parties wanted to be bound by arbitration agreement only during certain period after which they do not have intention to submit their dispute to arbitration. Nonetheless mere existence of parallel proceedings is insufficient to determine the arbitration agreement to be inoperative 71 . Also use of permissive language (e.g. "matter may be submitted to arbitration") will not necessarily make an agreement inoperative 72 . c. Incapable of being performed arbitration agreement The last valid reason that can be raised in order to allow the court to continue its proceedings is incapability of the arbitration clause to be performed. It means that it cannot effectively be set in motion. There will be a case when other terms of the contract shows that parties did not intend to refer the dispute to arbitration or the agreement is too vague to indicate that the parties want to arbitrate. Such clause will be deemed pathological beyond repair. Other examples provided by authors are: the arbitration tribunal cannot for whatever reason be constituted; the arbitration tribunal refuses to act despite a valid arbitration agreement; the arbitrator named in the arbitration agreement refuses to accept his nomination; the appointing authority designated in the agreement refuses to make the appointment of the arbitrator 73 . Lastly one has to take into account the situation when multiparty dispute arise and not all parties are bound by the arbitration agreement. In that case it is rather accepted that parties that are bound by the arbitration agreement should be referred to arbitration and court proceedings can be continued with respect to the other parties 76 . The question of utmost relevance arises when lack of sufficient funding will render arbitration agreement incapable of being performed or inoperative. A. van den Bergargues that: "The possibility of a lack of financial resources to satisfy an award must be deemed not to render an arbitration agreement incapable of being performed within the meaning of Article II (3)" 74 . It seems that national courts take different approaches in that matter. English courts are reluctant to accept that lack of sufficient funding renders an agreement incapable of being performed unless it is due to breach of contract which is an issue in dispute. Conversely German courts held that lack of funding should be treated as enough reason to accept that the arbitration agreement is incapable of being performed 75 . It has been reasoned that such an agreement might result in a denial of justice in case a party does not have the necessary funds to arbitrate. 70 (van den Berg, 1981) to large extent the reasons have been reiterated in (Schramm, Geisinger, & Pinsolle, 2010) pp. 105–106 and (Lew, Mistelis, & Kroell, 2003) pp. 342–343. 72 (Brekoulakis & Shore, 2010) p. 604. 71 (Schramm, Geisinger, & Pinsolle, 2010) pp. 105–106. 73 (Schramm, Geisinger, & Pinsolle, 2010) p. 108 and (van den Berg, 1981) also (Lew, Mistelis, & Kroell, 2003) pp. 343–344. 75 (Lew, Mistelis, & Kroell, 2003) pp. 344–345. 74 (van den Berg, 1981). 76 (Schramm, Geisinger, & Pinsolle, 2010) p. 108 and (van den Berg, 1981). d. Public Policy 77 Public policy cannot be a rationale why an arbitral tribunal will not be competent to decide on its own jurisdiction before or during arbitral proceedings. The reason for that lies in the nature of the objection of the violation of the public policy. It usually refers to the conduct of the arbitral proceedings (e.g. fair trial/due process, equal right to present the case etc.). It means that the party might challenge an arbitral award on grounds of breach of public policy after it was rendered. Therefore one might conclude that – although indirectly – it establishes limits for jurisdiction of the arbitral tribunal, but can be offered as grounds for challenge after an arbitral award is rendered 78 . e. Prospective grounds for challenge In order to facilitate the use of the arbitration in international perspective, A. van den Berg proposed a review of the New York Convention which is also relevant when grounds for challenge are discussed. At this point draft is open for a debate, nonetheless certain direction for prospective changes are drawn. Tentative provisions are clear-cut and might help with interface between national courts and the arbitral tribunal. First of all, subparagraph (a) defines lis pendens in arbitration when the other party decides to invoke the arbitration clause later than its first submission; secondly subparagraph (b), unambiguously explains that arbitration agreement shall be examined only with respect to manifest invalidity. Finally, in subparagraph (c) reference to the international public policy is made. It is important to underline that international public policy should prevail in the country where the agreement is invoked. It means that it might differ depending of the country. It also means that a successful challenge can be made only under abovementioned circumstances. As the changes are of revolutionary character they might not end up in the final draft of the hypothetical convention, even so they are worth mentioning 79 . The new Article II of the hypothetical convention states that a national court should not dismiss the case if the party against whom the arbitration agreement is invoked asserts and proves that: (a) the other party has requested the referral subsequent to the submission of its first statement on the substance of the dispute in the court proceedings; or (b) there is prima facie no valid arbitration agreement under the law of the country where the award will be made; or (c) arbitration of the dispute would violate international public policy as prevailing in the country where the agreement is invoked. 77 The following considerations focus primarily on the procedural aspect of the public policy. One can argue that the substantive public policy (e.g. concerning arbitrability of a dispute) might be the reason why tribunal should not have a power to decide on a disputed issue (e.g. as it concerns illegal, criminal activity). Notwithstanding it is still not a valid reason for disallowing an arbitral tribunal to make an assessment on its own jurisdiction. 79 I.e. reference to the international public policy which might be difficult to define; consequently prima facie test of arbitration agreement might not be accepted within the countries which prefer wider control of arbitration. 78 If award is not recognized or enforced due to violation of the public policy, consequently it would mean that an arbitral tribunal failed to fulfill its duty, thus failed to use its provisional exclusive jurisdiction to provide the parties with access to justice. 2. Timing of raising jurisdiction issues Timing of raising objections to the powers of the arbitral tribunal is relevant from the perspective what steps shall be undertaken respectively by domestic court and the arbitral tribunal. Despite the fact that concurrent court and arbitration proceedings might appear only after constitution of an arbitral tribunal and before an arbitration award is made, three scenarios shall be revised. In fact the first (thus before the constitution of the arbitral tribunal) and the third (hence after an arbitration award is rendered) are relatively connected and depend of the test (prima facie or full) that is being used to distinguish whether the arbitration agreement is valid or not. Consequently, depending on the test, exclusive jurisdiction may remain intact for longer. Needless to say, in each scenario it is assumed that a party invokes the existence of an agreement to arbitrate. a. Before constitution of the Arbitral Tribunal When an arbitral tribunal is not yet constituted, one party might turn to the court to decide its dispute. In that case – as mentioned above – it is probable that opposing party will raise an argument of valid arbitration clause. Consequences depend of the regime (prima facie or full test) used in a particular country. On the other hand, in case of a full test of an arbitration agreement, a court seized to hear the case will continue its proceedings on merits when it finds that the arbitration agreement is null and void, inoperative or incapable of being performed. For example German law gives the court an opportunity prior to constitution to the arbitral tribunal to declare whether the arbitration is admissible or not 82 . Similarly, Courts in England It has already been explained that theprima facie test focuses on the mere existence of the arbitration clause. When it seems that nothing is wrong with the agreement then the court will wait until termination of the arbitral proceedings to fully examine the validity of an arbitration clause. Consequently a national court will decline its jurisdiction despite the fact that there is no other forum (yet) that can decide on the validity of an arbitration agreement 80 . Although it is rather a theoretical concept, one can assume that a party who is determined to address the disputes on merits only in court (notwithstanding an arbitration agreement) and therefore does not refer to arbitration might be effectively deprived of access to the justice 81 . Accordingly, an exclusive jurisdiction of arbitral tribunal continues to be intact. 80 E.g. Article 1458 of the French Code of Civil Procedure and Article 1448 of the New French Code of Civil Procedure as amended on 13 January 2011. 82 Article 1032(2) provides that prior to the constitution of the arbitral tribunal, an application may be made to the court to determine whether or not arbitration is admissible. 81 When arbitration agreement is not manifestly null and void then court will refrain from continue proceedings with merits. Consequently a party who asserts that there was no agreement to arbitrate but want to have a dispute resolved will be forced to arbitrate first. Otherwise it will risk that the other part will always invoke arbitration agreement. can render preliminary award on jurisdiction under certain circumstances 83 . It leads to the conclusion that prospective tribunal might not even have a chance to hear the arguments with respect to the jurisdiction. b. During arbitral proceedings When an arbitral tribunal has already been constituted then one can ask whose power shall prevail: an arbitral tribunal's or national court's power. Consequences will again depend of the test that is used to establish the validity of an arbitration agreement. In essence an interference of parallel proceedings only appears at that stage and only on grounds established above. For example in France court will automatically decline jurisdiction to hear the case and refer the parties to arbitration. When an arbitral tribunal has been already constituted then party will only have a right to review after an arbitral award is rendered. The primacy of an arbitral tribunal jurisdiction has been clearly expressed in new French Arbitration Act 86 . It leads to conclusion that no jurisdictional challenge can be referred to court during arbitral proceedings. New York Convention reads only that the court shall refer party to arbitration unless it finds that valid grounds for challenge arbitral tribunal jurisdiction have been presented 84 . It means that the provision of the Convention allows both national court and arbitral tribunal to consider and decide jurisdictional disputes. It does not however give any guidelines as to allocation of powers 85 and to conduct of thefora. Therefore adopted approach differs throughout the countries. In Model Law jurisdictions challenge has to be raised not later than when submitting first statement on the substance of the dispute 87 . The rationale behind such provision is to prevent the parties from using dilatory tactics directed only to hamper an arbitral proceedings. It means that at point when tribunal is constituted all objections has to be raised as early as possible. Consequently any challenge made after first submission will not be admissible. c. After Arbitral Award is rendered As already noted, competence given to an arbitral tribunal is of provisional character. It means that any arbitral award on jurisdiction (either preliminary or final) can be challenged before domestic court. Post-award review is accepted in both regimes of control (prima facie and full test). 83 Section 32(1) of English Arbitration Act. 85 (Born, 2009) p. 858. 84 Article II(3) of the New York Convention. 86 Article 1465 of the New French Code of Civil Procedure. 87 Article 8 of the Model Law; similarly Article 1032(1) of German Code of Civil Procedure ("prior to the beginning of the oral hearing on the substance of the dispute") and Section 31(1) of English Arbitration Act ("not later than the time he takes the first step in the proceedings to contest the merits"). Although such judicial review might lead to reversal of an arbitral award and in that sense limit jurisdiction of the arbitral tribunal, it does not have a direct effect on interference between court and an arbitral tribunal. Therefore it will not be discussed further. 3. Form of court intervention There are exceptional mechanisms in court's discretion that might limit inconve nience of the concurrent proceedings. Certainly they do not cover all possible scenarios, especially when both fora find themselves competent to hear the case. Nonetheless they facilitate dispute resolution before only one judicial body. As already explained French system essentially allows a court intervention only after an arbitral award is rendered, therefore it will decline its jurisdiction and dismiss the case in its earlier stage. In Germany and England where full review of an arbitration agreement is allowed before an arbitral tribunal reaches its decision, courts may exercise declaratory judgment (in both selected jurisdictions) or injunctive relief (in England). a. Negative declaratory reliefs In Germany, as provided in Article 1032(2) of German Code of the Civil Procedure, party may request declaration from the court whether arbitration is admissible or not. Such application has to be done before constitution of an arbitral tribunal. Additionally party has to have legitimate interest in applying for declaratory judgment. As argued by P. Huber when declaratory judgment is rendered (and afterwards becomes final) then the arbitral tribunal is bound by it. It means that an arbitral tribunal should not decide on the merits when the arbitral proceedings are declared to be inadmissible. Consequently the arbitral tribunal should also follow court's decision when arbitral proceedings are to be found admissible. If the arbitral tribunal declines its jurisdiction despite the court's decision, the arbitral proceedings should be regarded as being incapable of being performed 88 . Similarly English Arbitration Act – in section 32 – gives opportunity for application on a preliminary point of jurisdiction under certain conditions. Timing of the challenge is not as essential as in Germany. Nonetheless court will consider objection only if all parties agreed on preliminary court's decision, or if the arbitral tribunal grants permission and a court finds that addressing the question is likely to produce substantial saving in costs. b. Anti-suit injunctions against arbitration Typically anti-suit injunctions are explained as court orders that oblige a party not to commence or continue a suit in another forum 89 . They are issued in following 88 (Böckstiegel & Kröll, 2007) pp. 154–155. 89 Anti-suit injunctions originate from England and are accepted (although in slightly different situations) within common law jurisdictions. As the paper focuses on Europe, only English law will be given as an example. cases: to prevent concurrent proceeding in a different forum, to prevent enforcement of an award issued by another forum or to avoid re-litigation of an issue that has been decided and become res iudicata 90 . It means that court actively participates in protecting efficiency and legitimacy of forum. Indirectly, on the other hand, it constrains judicial proceedings in another sovereign country. There is a huge discrepancy in opinion between scholars from common law and civil law systems whether anti-suit injunctions use is appropriate. It seems however that their views are aligned with respect to anti-arbitration injunctions 92 . As explained by M. Stacher if a court decides to grant anti-suit injunction it has to establish "that: (i) England is the "natural forum" defined as the forum with which the action has the closest connection, (ii) the foreign proceedings prejudices the applicant and (iii) the anti-suit injunction does not deprive the claimant in the foreign court of a legitimate advantage of which it would be unjust to deprive him" 91 . One can argue that in case of anti-suit injunction against a foreign arbitral tribunal (anti-arbitration injunction) the risk of violating sovereignty of any country does not exist. Nevertheless it is true that: "anti-arbitration injunctions also tamper with the principle of Kompetenz-Kompetenz since they prevent the arbitral tribunal from deciding on its own jurisdiction" 93 . Consequently J. Lew purports that "anti-arbitration injunctions can rarely be justified; they are contrary to fundamental principles of international arbitration law, including the doctrines of competence-competence, separability, and party autonomy" 94 . It seems that anti-arbitration injunction will also violate requirements set under Art. II of the New York Convention obliging all contracting States to stay proceedings in favor of arbitration. For that reason an anti-arbitration injunction which aims to stop or interfere with an arbitration taking place in another jurisdiction cannot be justified 95 . IV. Seeking protection for the Arbitral Jurisdiction in the national court The second case where an interface occurs is when party in arbitration seeks protection for an arbitration agreement and wants to prevent the other party from adjudicating the case before the court in different jurisdiction. Therefore it asks domestic court at the place of the seat of the arbitration to actively support arbitration agreement. In essence the steps that are to be undertaken does not differ from the procedure described in Chapter 2, hence 90 (Stacher, 2005) pp. 641–642. 92 (Lew, Control of jurisdiction by injunctions issued by national courts, 2007) p. 207 ("on reviewing past cases, it is clear that anti-arbitration injunctions are used primarily as a tactical tool to stop or delay the arbitration process") and (Karrer, 2007) p. 229, (Stacher, 2005) p. 654. 91 (Stacher, 2005) p. 643. 93 (Stacher, 2005) p. 653. 95 (Lew, Control of jurisdiction by injunctions issued by national courts, 2007) p. 217–218 also (Stacher, 2005) pp. 652–653. 94 (Lew, Control of jurisdiction by injunctions issued by national courts, 2007) pp. 215–216. when one wants to challenge the arbitral jurisdiction 96 . That is why considerations will be mainly focused on anti-suit injunctions in support of arbitration agreement which is a bone of contention in establishing arbitration legal order in Europe 97 . 1. Grounds for protection Conversely to the ground for challenge a tribunal jurisdiction, party that seeks protection of the arbitral proceedings has to satisfy the court that valid arbitration agreement exist and actions brought in different jurisdiction are of oppressive character. Depending of the form of the intervention different tests will be introduced in order to justify its use. Essentially rationale behind granting a protection is to serve procedural efficiency by preventing the delay and costs associated with concurrent litigations and contradicting judgments 98 . 2. Time when protection is needed Support of the court in the place of the seat of the arbitral panel might be required when respondent in arbitration brings the case before a foreign court (foreign to the seat of the arbitration) which might have a jurisdiction as if no arbitration agreement existed. In that case it seems that proceedings commenced in a foreign court will be in breach of contractual promise given by the parties to arbitrate the disputes 99 . As explained by R.Q. Duarte "typically the party with the weaker right or no right at all would aim to escape the arbitration agreement by commencing parallel court proceedings in another jurisdiction" 100 . In that point the party adhering to the arbitration agreement might employ counter – measures provided in the place of the seat of arbitration together with challenging jurisdiction of the foreign court where the case was brought. 3. Form of protection Within three main jurisdictions that are subject of this research only French system does not provide specific order designed for protecting arbitral proceedings. It is simply because legal system is tailored according to the principle of negative competence-competence 101 . Nonetheless, as argued by J. Lew: "it appears to be generally possible for French courts to order a party not to continue proceedings brought before a foreign court" 102 . On the other hand German and England provide particular mechanisms that might be used to support arbitration. Firstly, the less invasive declaratory relief will be introduced, secondly anti-suit injunction in support of arbitration. 96 The main difference is the party who asks for a support of domestic court. 98 (Stacher, 2005) p. 641. 97 Which will be further discussed in chapter IV. 99 (Fisher, 2010) p. 1. 101 Supra pp. 136–144. 100 (Duarte, 2010) p. 1. 102 (Lew, Control of jurisdiction by injunctions issued by national courts, 2007) p. 195. a. Positive declaratory reliefs As already explained in Chapter II, declaratory relief can be ordered under German Code of Civil Procedure 103 as well as English Arbitration Act 104 . They might be used to not only to challenge but also to ascertain that arbitral tribunal has jurisdiction. Worth to point out is that when arbitral proceedings are being declared admissible then such declaratory order becomes binding also on arbitral tribunal. When party seeks protection by applying to the national court at the seat of the arbitration for positive declaratory judgments it means that other party either already commenced proceedings before foreign court or there is high chance it will do so. Unfortunately, anticipated effect of such decision might be however unsatisfactory. In international case such determination made by the court would have to be recognized by the court in different jurisdiction and in general the latter has no obligation to do so 105 . b. Anti-suit injunctions in support of an arbitration agreement Briefly speaking, anti-suit injunctions oblige party not to adjudicate the dispute before other forum that it was agreed upon. Following J.J. Barceló III: "Anti-suit injunction constrains judicial proceedings in another sovereign country. It does so indirectly by controlling the actions of private parties. The enjoining court in one country (F1) orders a private litigant before it to suspend or terminate a legal proceeding in another country (F2) – on pain of sanctions that F1 will impose on the private party for disobedience" 106 . The use of anti-suit injunctions remains highly controversial 108 to the extent that S. Schwebel described it as "one of the gravest problems of contemporary international commercial arbitration". It seems that no consensus on the topic is to be reached. Whereas injunctions ordered against arbitration ignore the nature of the international arbitration 109 In English legal system, an arbitration agreement is treated as a contractual bargain and as per se its breach is sufficient to grant an anti-suit injunction. Consequently G. Fisher explains that "occasionally a judge may stigmatize a blatant breach of an arbitration agreement as vexatious of oppressive. But it is accepted that the breach does not have to meet any such standard for anti suit injunction to issue" 107 . 103 Art. 1032(2) of German Code of Civil Procedure. 105 Further considerations will be made when discussing protection on European level in chapter IV. In a nutshell the question arises would positive declaratory judgment be recognized and enforced in another European Union Member State based on the principle of mutual trust in Brussels Regime? 104 Section 32 of English Arbitration Act. 106 (Barceló III, Anti-foreign-suit injunctions to enforce arbitration agreements, 2007) p. 1. 108 E.g. (Stacher, 2005) p. 654 ("neither anti-arbitration injunctions nor antisuit injunctions in support of an arbitration should be issued"), (Gaillard, Reflections on the use of anti-suit injunctions in international arbitration, 2006) p. 215 ("national courts should ensure the lowest level of interference in the arbitration by limiting the possibility for the parties to resort to such devices as anti-suit injunctions"); conversely among others: (Barceló III, Anti-foreign-suit injunctions to enforce arbitration agreements, 2007) p. 9 ("in summary I have argued in favor of a pro-arbitration use of anti-foreing-suit injunction"). 107 (Fisher, 2010) p. 5. 109 (Lew, Control of jurisdiction by injunctions issued by national courts, 2007) p. 215. and that is why it seems sound to disallow it, an anti-suit remedy that protects arbitral proceedings will be sometimes defined as a compatible the system set up by the New York Convention. Conversely, interference with foreign legal proceedings – though indirect – is considered as an offence against sovereignty. It does not mean, however, that the parties should not be held to their agreement. It only means that the both courts should be able to determine and enforce that arbitration agreement is valid. Arguably the mutual trust of the signatories of the New York Convention should prevent them from granting the anti-suit injunctions 112 . Accordingly the domestic courts should refrain from accepting jurisdiction when an arbitration agreement exists. As argued by E. Gaillard: "at the stage of the arbitral proceeding, judicial self-restraint is the most appropriate standard […]" 113 . As a consequence domestic court – before an arbitral panel reaches decisions – should only perform prima facie test of jurisdiction. Arguments that being raised in favor of the injunctions usually express that the injunctions are particularly effective way of giving force to a principal goal of the New York Convention – ensuring that international arbitration agreements are honored and enforced 110 . Accordingly J.J. Barceló argues that "The [New York] Convention seems either neutral, or, if anything, might be cited in support of a system effecting strong enforcement of an arbitration agreement – given that making arbitration agreement fully enforceable is one of the Conventions principal goals" 111 . Issuing anti-suit injunctions within the European Union will be subject to further analysis in chapter IV with respect to the emerging principle of the arbitral lis pendens. Essentially it became questionable if the anti-suit injunctions in support of arbitration are compatible with the principles of the mutual trust between the national courts in the European single judicial area. V. Avoiding interference within the European Union One of the targets of the European Economic Community was to strengthen legal protection of persons therein established and facilitate the process of recognition and enforcement of foreign court decisions. That is why as early as 1968 six Contracting States 114 decided to conclude the Convention on Jurisdiction and the Enforcement of Judgments 110 (Barceló III, Anti-foreign-suit injunctions to enforce arbitration agreements, 2007) p. 3. 112 (Stacher, 2005) p. 654 ("Furthermore, anti-suit injunctions express (i) that the domestic forum does not believe the foreign forum to be able to decide a dispute fairly and (ii) that it deems the domestic solution to a legal issue to be superior to that of another sovereign. This undertone is particularly irritating in an area where a multilateral treaty, like the New York Convention, exists: Not only does an anti-suit injunction then express skepticism towards the foreign legal regime, but also towards its capacity to perform the treaty in good faith. Yet, as the above analysis has shown, it is rather the forum issuing an anti-suit injunction that interferes with the New York Convention: Such injunctions are not consistent with the way the Convention reflects the relationship among its signatories"). 111 (Barceló III, Anti-foreign-suit injunctions to enforce arbitration agreements, 2007) p. 9. 113 (Gaillard, Reflections on the use of anti-suit injunctions in international arbitration, 2006) p. 214. 114 Six states being: Belgium, Netherlands, Luxembourg, France, Italy, Germany. in Civil and Commercial Matters in Brussels (henceforth Brussels Convention). The process has been further continued when European transnational cooperation continued to grow. In consequence in 1988, another Convention on Jurisdiction and the Enforcement of Judgments in Civil and Commercial Matters in Lugano has been introduced (hereafter: Lugano Convention). Council Regulation (EC) No 44/2001 of 22 December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (thereafter: Brussels I Regulation) can be considered as a further step in providing a uniform judicial area within the European Union. The Conventions and Regulation above together establish the Brussels Regime, thus the set of rules regulating jurisdictional issues in European Union. In essence three things should be discussed: first, the rationale behind excluding arbitration from the scope of the Brussels Convention (and later Brussels I Regulation); second, the apparent inefficiency of the Brussels Convention (and later Brussels I Regulation) in the specific case of arbitration related domestic courts proceedings; and, finally, solutions for the problem in the latest review of the Brussels I Regulation. By the time of concluding the Brussels Convention, it was clear that recognition and enforcement of arbitral awards will be governed by the New York Convention or other international agreements on arbitration 115 . No one envisaged that interference in the arbitral proceedings might be possible despite the clear-cut exclusion of the arbitration in the text of the Brussels Convention. 1. Arbitration exception within the Brussels Regime Article 220 of the Treaty Establishing European Community (thereafter EC Treaty) 116 reads that the Member States shall enter into negotiation with a view to securing the simplification of formalities governing the reciprocal recognition and enforcement of judgments of courts or tribunals and of arbitration awards. One might argue that such provision ache for legal framework as Brussels Regime. Despite the above Article 1 of the Brussels Convention states that: this Convention shall apply in civil and commercial matters whatever the nature of the court or tribunal. Under Article 1(4) however one can read that The Convention shall not apply to arbitration. According to Jenard's Report 117 from 1968, arbitration should be left out of the scope of the convention for the following reasons: first of all, Council of Europe was working (at that time) on draft of the uniform European arbitration law; second of all, many international agreements on arbitration existed. Authors of the subsequent reports accompanying accession of the United Kingdom and Denmark (i.e. Schlosser Report) 118 and Greece 115 (Jenard, 1968) p. 13. 117 (Jenard, 1968) p. 13. 116 It was replaced by Treaty of the European Union. Article 220 was then Art. 293. After Lisbon Treaty provision was repealed. 118 (Schlosser, Report on the Convention on the Association of the Kingdom of Denmark, Ireland and the United Kingdom of Great Britain and Northern Ireland to the Convention on jurisdiction and the enforcement of judgments in civil and commercial matters, 1979) p. 22–23. (i.e. Evrigenis/Kerameus Report) 119 drew the same conclusions. It was decided that the New York Conventions serves properly in the process of facilitating recognition and enforcement of the arbitral awards. It has been taken into account that all Member States has been already members of the New York Convention or were preparing to do so in the immediate future 120 . Furthermore the existence of numerous multilateral international treaties in the area of international arbitration was again given as a reason of exclusion 121 . Each of the reports considered that the scope of the arbitration exception should include all proceedings concerning arbitration as a principal issue. It was explained byK. Svobodova that "Brussels Convention does not cover court proceedings which are ancillary to arbitration proceedings such as the appointment or dismissal of arbitrators, the fixing of the place of arbitration, the extension of the time limit for making awards or the obtaining of a preliminary ruling on question of substance. A judgment determining whether an arbitration agreement is valid or not, or because it is invalid, ordering the parties not to continue the arbitration proceedings is not covered the Brussels Convention. Nor the Brussels Convention regulates proceedings and decisions concerning applications for the revocation, amendments, recognition and enforcement of arbitral awards. The arbitration exception also applies to court decisions incorporating arbitral awards" 123 . As stated by A. Savic: "Right from the beginning, the opinion in Member States was divided on the how broadly the exception ought to be interpreted. While the English largely relied on the opinion that arbitration ought to be excluded in its entirety, the rest thought that only proceedings as part of arbitration should be so" 122 . 2. Unexpected clash(es) It is important to respect the arbitration exception due to the fact it was designed to enhance the effectiveness of arbitration 124 . Nevertheless it seems that some national measures (i.e. anti-suit injunctions) tailored in support of arbitration conflicts with the principle of mutual trust between the courts in Member States. What can be derived from the analysis below is that one had to weigh two principles: the effectiveness of arbitration and the principle of mutual trust between the courts. Subsequent case law of the ECJ illustrates the problems arising from the interface between the Brussels Regime and arbitration. The West Tankers case became a milestone showing the major deficiency of the functioning of the Brussels Regime. 119 (Evrigenis & Kerameus, 1986) p. 11. 121 (Evrigenis & Kerameus, 1986) p. 11. 120 (Schlosser, Report on the Convention on the Association of the Kingdom of Denmark, Ireland and the United Kingdom of Great Britain and Northern Ireland to the Convention on jurisdiction and the enforcement of judgments in civil and commercial matters, 1979) p. 22. 122 (Savin, 2010) p. 3. 124 It has been argued that Article 71 of the Brussels I Regulation might serve as a safeguard in case when arbitration exception is abandoned (Art. II(3) of the New York Convention will supersede the Brussels I Regulation). 123 (Svobodova, 2008) p. 3. a. Before West Tankers One of the tactics used in order to deliberately hamper arbitration proceedings – usually called as an "Italian torpedo" – involves deliberately seizing a court in a country well-known for slow proceedings in the hope that the delay and inconvenience, often measured in years, might persuade the other party back to the negotiating table 125 . In that case national mechanisms preventing parallel proceedings might not suffice or might conflict with the Brussels Regime. Four cases (i.e. Marc Rich 126 , Van Uden 127 , Erich Gasser 128 andTurner 129 ) noticeably influenced the development of the arbitration system with respect to the parallel arbitration and court proceedings. The questions raised by English Court of Appeal concerned two issues. First, what is the scope of the arbitration exception (i.e. will it include also appointment of an arbitrator), second how should the court behave when arbitration exception does not apply in the case at hand (e.g. stay proceedings on the grounds that Italian court was first seized etc.). In the first case – Marc Rich 130 – the European Court of Justice had to decide a case where the existence of the arbitration agreement was treated as an incidental issue. C. Ambrose briefly summarizes the facts of the case as follows: "buyers of Iranian crude oil had commenced arbitration in London after the sellers had commenced proceedings in Italy for damages under the sale contract. The buyers asked the English court to appoint an arbitrator but the court's power to do so depend on the existence of an arbitration agreement and there was a dispute as to whether an arbitration clause had been incorporated by an exchange of telexes" 131 . In its decision ECJ concluded that "by excluding arbitration from the scope of the Convention of 27 September 1968 on Jurisdiction and the Enforcement of Judgments in Civil and Commercial Matters, by virtue of Article 1(4) thereof, on the ground that it was already covered by international conventions, the Contracting Parties intended to exclude arbitration in its entirety, including proceedings brought before national courts. Consequently, the abovementioned provision must be interpreted as meaning that the exclusion provided for therein extends to litigation pending before a national court concerning the appointment of an arbitrator, even if the existence or validity of an arbitration agreement is a preliminary issue in that litigation" 132 . Accordingly in order to decide which dispute falls within the scope of the Convention one has to examine the subject matter of underlying dispute 133 . 125 (Savin, 2010) p. 4. 127 C-391/95 Van Uden Maritime BV, trading as Van Uden Africa Line v. Kommandditgesellschaft in Firma Deco-Line [1998] ECR I-7091. 126 C-190/89 March Rich & Co AG v. Societá Italiana Impianti [1991] ECR I-3855. 128 C-116/02 Gasser v. MISRAT [2003] ECR I 1469. 130 C-190/89 March Rich & Co AG v. Societá Italiana Impianti [1991] ECR I-3855. 129 C-159/02 Gregory Paul Turner v. Felix Fareed Ismail Grovit, Harada Ltd and Changepoint SA [2004] ECR I-3565. 131 (Ambrose, 2003) pp. 9–10. 133 C-190/89 March Rich & Co AG v. Societá Italiana Impianti [1991] ECR I-3855 para. 26. 132 C-190/89 March Rich & Co AG v. Societá Italiana Impianti [1991] ECR I-3855. Alas the ECJ did not address second issue raised by the English Court of Appeal in theMarc Rich case– the issue of the parallel proceedings. Nonetheless, as argued byA. Savin, Marc Rich case has important consequences for the torpedo action: "the fact that Marc Rich excludes arbitration from the scope of Regulation means that arbitration is, as eloquently put by Trevor Hartley, a "torpedo free zone" 134 . Conversely, in consequence of theErich Gasser case 135 , "torpedoes are available in the Brussels I Regulation space" 136 . In Erich Gasser, the ECJ had to decide whether a court that has exclusive jurisdiction (arising out of a choice of court clause) but has been seized as a second forum could continue or should stay its proceedings according to Article 21 of the Brussels Convention. The latter Article refers to the principle oflis pendens which obliges the court first seized to continue its proceedings and all others to suspend its actions. According toA. Savin, thelis pendens rule in a European context is "blind to which court is really appropriate to hear the dispute" 139 . Before explaining the outcome of theErich Gasser case, one have to take into account theVan Uden decision. In Van Uden, the ECJ reiterated its position from Marc Rich stating that arbitration should be entirely excluded from the scope of the Brussels Regime whenever the arbitration is primarily and directly a subject matter to the proceedings. Nevertheless if arbitration is only secondary issue of the proceedings, then such proceedings might fall within the scope of the Brussels Regime. It consequently means that not all proceedings which are parallel to the arbitration would be excluded from the scope of the Brussels Regulation 137 . As argued by A. Savin "This may be also seen as the Court's first attempt to shrink the scope of the exception" 138 . The ECJ decided that: "Article 21 of the Brussels Convention must be interpreted as meaning that a court second seized whose jurisdiction has been claimed under an agreement conferring jurisdiction must nevertheless stay proceedings until the court first seized has declared that it has no jurisdiction" 140 . What is more, the Court ruled that: "Article 21 of the Brussels I Convention must be interpreted as meaning that it cannot be derogated from where, in general, the duration of proceedings before the courts of the Contracting State in which the court first seized is established is excessively long 141 . Therefore it might trigger torpedo actions that can easily frustrate arbitration proceedings. H. Seriki considers that "this ruling is likely to have a considerable impact throughout the EU because a litigant cannot simply rely on an exclusive jurisdiction clause to ensure a speedy resolution to a dispute and must now consider a pre-emptive strike by commencing proceedings first in a jurisdiction of choice" 142 . 134 (Savin, 2010) p. 4. 136 (Savin, 2010) p. 4. 135 C-116/02 Gasser v. MISRAT [2003] ECR I-1469. 137 (Magnus & Mankowski, 2007) p. 65. 139 (Savin, 2010) p. 4. 138 (Savin, 2010) p. 5. 140 C-116/02 Gasser v. MISRAT [2003] ECR I-1469. 142 (Seriki, 2006) pp. 29–30. 141 C-116/02 Gasser v. MISRAT [2003] ECR I-1469. The Turner case 143 – although it did not relate to arbitration 144 – was important to understand the ECJ approach towards anti-suit injunctions. The Court had to answer the question whether the Brussels Convention disallows granting an anti-suit injunction even when a party is acting in bad faith in order to frustrate existing proceedings. The ECJ took however a different approach in the famous West Tankers case 148 . H. Seriki explains that: "The ECJ finally gave a definitive ruling on anti-suit injunctions inTurner, holding that an anti-suit injunction was incompatible with the Convention. The ECJ noted that the Convention was based on mutual trust, and that granting an injunction, even if directed at the party commencing the proceedings, undermined the foreign court's jurisdiction to determine the question" 145 . In its decision, the ECJ stressed that an anti-suit injunction is prohibited "even where the party is acting in bad faith with a view to frustrating the existing proceedings" 146 . Notwithstanding the ECJ findings, the English courts were still using an anti-suit injunction in support of the arbitration arguing that the consequences of theTurner case do not apply to arbitration (due to the arbitration exception) 147 . b. West Tankers and its consequences Briefly speaking the question brought before the ECJ inWest Tankers case concerned – similarly as inTurner – an anti-suit injunction. The only difference was that inWest Tankers the injunction was being granted in support of arbitration which – according to the House of Lords – should be covered by the arbitration exception. The ECJ however ruled that anti-suit injunctions are incompatible with the Brussels regime 150 and in its reasoning concluded that even if proceedings for the grant of an anti-suit In the view of the House of Lords principles set out inGasser andTurner case cannot be extended to arbitration as it is excluded from the Brussels I Regulation. Consequently as all arbitration-related issues fall outside the scope of the Brussels I Regulation, the injunction restraining from proceeding before the other forum than arbitration cannot infringe the regulation. Moreover it has been argued that in order to establish mutual trust between the courts of the Member States, set of uniform Community rules has to be introduced – in case of arbitration such system does not exist 149 . 143 C-159/02 Gregory Paul Turner v. Felix Fareed Ismail Grovit, Harada Ltd and Changepoint SA [2004] ECR I-3565. 144 145 (Seriki, 2006) pp. 28–29. As it concerned an exclusive jurisdiction clause and not an arbitration agreement. 146 C-159/02 Gregory Paul Turner v. Felix Fareed Ismail Grovit, Harada Ltd and Changepoint SA [2004] ECR I-3565. 148 C-185/07 Allianz SpA v. West Tankers Inc. [2009] ECR I-00663. 147 (Seriki, 2006) pp. 35–37 also (Savin, 2010) p. 5 and (Svobodova, 2008) p. 11. 149 C-185/07 Allianz SpA v. West Tankers Inc. [2009] ECR I-00663 paras. 15–17; In conclusion the House of Lords introduced argument that anti-suit injunction is "a valuable tool for the court of the seat of arbitration, exercising supervisory jurisdiction over the arbitration, as it promotes legal certainty and reduces the possibility of conflict between the arbitration award and the judgment of a national court. Furthermore, if the practice were also adopted by the courts in other Member States it would make the European Community more competitive vis-à-vis international arbitration centres such as New York, Bermuda and Singapore". 150 C-185/07 Allianz SpA v. West Tankers Inc. [2009] ECR I-00663 para. 35. injunction fall outside the scope of the Brussels I Regulation per se, foreign proceedings on the merits do not 151 . For that reason, it is irrelevant whether anti-suit proceedings are within the scope of the Brussels I Regulation as it is exclusively for the court seized in the matter falling within the scope of the Brussels I Regulation to decide on its own jurisdiction 152 . All in all, the present situation calls for change. The question arises what should be done to prevent parallel proceedings if the legal safeguards such as the exclusive arbitral jurisdiction are not respected and others such as the national countermeasures are disallowed or ineffective. The legal implications of this decision became particularly problematic in case of proceedings parallel to torpedo actions. As argued by P. Santomauro: "It is indeed perceived that «torpedoing» might have become more attractive after West Tankers. The result is that the existence of the arbitration agreement may be judged in parallel by two bodies, with possible implications at the enforcement stage" 153 . This occurred in theNational Navigation case 154 . It appeared that by applying West Tankers' reasoning in the stage of recognition of a declaratory judgment, a severe imbalance of power is possible: a positive declaratory judgment on the validity of an arbitration agreement made by the court at the seat of the arbitral tribunal will not benefit from the Brussels I Regulation recognition mechanism 155 . Conversely, a negative decision in the same matter rendered by the court outside the seat will be binding on the court of the seat 156 . As underlined by M. Illmer: "the lack of reciprocity in relation to recognition makes torpedo actions very attractive". If the party aiming at frustrating the arbitration agreement manages to obtain an "early" decision on the validity of the arbitration agreement by the torpedo court before the seat court delivers its decision, as happened inNational Navigation case, the seat court has to recognize the torpedo court decision" 157 . 3. Emerging solution – review of the Brussels I Regulation What can be derived from the analysis of abovementioned cases is that the ECJ had to weigh two principles: effectiveness of arbitration and the principle of mutual trust between the courts. Its choice is not surprising, but problematic 158 . As a result, arbitration system in Europe which worked accurately based on the principle of prevailing competence of the arbitral tribunal, now seems to ache for some form 151 C-185/07 Allianz SpA v. West Tankers Inc. [2009] ECR I-00663 paras. 23–24. 153 (Santomauro, 2010) p. 322. 152 C-185/07 Allianz SpA v. West Tankers Inc. [2009] ECR I-00663 paras. 24–26. 154 National Navigation Co. v. Endesa Generacion SA, [2009] EWCA (Civ) 1397. 156 Action is brought before foreign court (i.e. foreign to the seat of arbitration) which frustrates contractual bargain to arbitrate. When foreign court declares that an arbitration agreement is invalid or did not exist, it will accordingly decide that dispute matter falls within the scope of Brussels I Regulation. It means that such ruling will be binding on court of the seat. 155 In that case court of the seat of the arbitral tribunal will be seized in order to decide that an arbitration agreement is valid. By recognizing validity of arbitration agreement such decision will automatically fall within the scope of arbitration exclusion. In consequence the foreign court (i.e. foreign to the seat of arbitration) will not be bound by the findings of the court in the seat. 157 (Illmer, 2011) p. 9. 158 Some authors claim that application of the principle of the mutual trust was too rigid e.g. (Wolff, 2009). of arbitral lis pendens which will prevent using oppressive but legitimate tactics based on the underlying principle of mutual trust. Following remarks will be divided into three parts. First briefly explains conclusions arising out of the Heidelberg Report which called for dropping an arbitral exception in its entirety. Subsequent consist of the analysis of the Green Paper and Consultation process. Finally amended European Commission's Proposal will be scrutinized. a. Heidelberg Report Report on the application of Brussels I Regulation in the Members States was prepared on 2007 by the German scholars Hess, Pfeiffer and Schlosser at the request of the European Commission. It can be concluded from it that arbitration should be within the scope of the Brussels Regime 159 . In that case all arbitration-related proceedings of the national court would be decided upon the spirit of the Brussels I Regulation. Consequently it means that the decisions in such proceedings would have been recognized and enforced throughout the European Union. Additionally, all proceedings in other Members States shall be stayed whenever proceedings for a declaratory judgment regarding the validity of the arbitration agreement are instituted before the court in the place of the seat of the arbitral tribunal 162 . It means that in order to deal with oppressive tactics (i.e. torpedo actions), one has to bring the case before the court of the seat of the arbitral tribunal which then will have priority to exami ne the validity, even if not first seized. As far as the problem of parallel proceedings is concerned, the Reporters offered an additional head of jurisdiction in Article 22 of the Brussels I Regulation. Inspired by H. van Houtte's suggestions 160 it was decided that the court at the seat of the arbitral panel should have an exclusive jurisdiction over any ancillary proceedings. As argued: "The advantage of this proposal is to exclude the competition between different state courts in relation to the same arbitration proceedings. Accordingly, the sound exercise of judicial power within the European Judicial Area would be reinforced" 161 . b. Green Paper and consultation process When drafting its own Report 163 and Green Paper 164 in 2009, the European Commission utilized conclusions of the Heidelberg Report. The report explains what areas are particularly problematic as far as interface between Brussels I Regulation and arbitration 159 (Hess, Pfeiffer, & Schlosser, 2007) pp. 54–63; In that way Reporters disregarded recommendations arising out of the national reports which essentially found extension of jurisdiction undesirable (Hess, Pfeiffer, & Schlosser, 2007) pp. 52–54. 161 (Hess, Pfeiffer, & Schlosser, 2007) p. 59. 160 (van Houtte, Why not include arbitration in the Brussels Jurisdiction Regulation, 2005) also (van Houtte, Towards a European Arbitration Regime?, 2007). 162 (Hess, Pfeiffer, & Schlosser, 2007) p. 58. 164 (Green Paper, 2009). 163 (Report from the Commission to the European Parliament, the Council and the European Economic and Social Committee, 2009). is concerned. Report summarizes that although the New York Convention operates satisfactorily, it does not prevent the parallel arbitration and court proceedings from occurring 165 . The Commission repeated its reservation in Green Paper. Although it acknowledges satisfactory operation of the New York Convention, Report reads that: "This should not prevent, however, addressing certain specific points relating to arbitration in the Regulation, not for the sake of regulating arbitration, but in the first place to ensure the smooth circulation of judgments in Europe and prevent parallel proceedings" 166 . The Commission offered deleting (at least partially) the arbitration exception. It was argued that it will facilitate the interface of the proceedings. Additionally, "as a result of such a deletion, court proceedings in support of arbitration might come within the scope of the Regulation. A special rule allocating jurisdiction in such proceedings would enhance legal certainty. For instance, it has been proposed to grant exclusive jurisdiction for such proceedings to the courts of the Member State of the place of arbitration, possibly subject to an agreement between the parties" 167 . Consequently the Commission left the question open what action should be undertaken to ensure good coordination between judicial and arbitration proceedings at the Community level. Deleting of the arbitration exception in total was by and large rejected in the consultation process as it may cause the Contracting States to be in breach of their obligations under the New York Convention 168 . Opinions were not uniform, however with respect to the proposed partial deletion designed to prevent the parallel proceedings from occurring. On one hand Max Planck Institute researchers approved proposal of the mandatory stay of the proceedings on the merits before a Member State court once a court in the Member State at the place (or seat) of arbitration is seized for declaratory relief in respect of the existence, validity or scope of the arbitration agreement 169 . Conversely E. Gaillard indicated that the European Commission proposal to give to the court in the seat of arbitration exclusive jurisdiction on deciding the existence, validity and scope of an arbitration agreement will make it a precondition for any arbitration proceedings in EU. Accordingly it will contradict the underlying principles of modern international arbitration 170 . 165 (Report from the Commission to the European Parliament, the Council and the European Economic and Social Committee, 2009) p. 10. 167 (Green Paper, 2009) pp. 8-9. 166 (Green Paper, 2009) p. 8. 168 (Submission of the Association for International Arbitration in relation to the Green Paper released in connection with the review of Regulation 44/2001, 2009) p. 2 also (Response to the issue raised in the Green Paper on the Regulation, 2009) p. 32 and (Gaillard, Comment on the observations and propositions made by the European Commission in its Green Paper, 2009) p. 3 amongst others. 170 (Gaillard, Comment on the observations and propositions made by the European Commission in its Green Paper, 2009) pp. 1–2: (The Green Paper suggestion to give "priority to the courts of the Member State where arbitration takes place to decide on the existence, validity and scope of an arbitration agreement is inopportune. It means that, in practice, applying to courts at the seat of arbitration will became prerequisite to any arbitration proceeding within the European Union. Any party initiating arbitration will need to seek a declaratory judgment at the seat of arbitration certifying the validity of the arbitration agreement – assuming such action is available, which is not the case in many EU Member States today, in order to preclude any parallel action from the defendant at the courts of its domicile"). 169 (Submission to the European Commission by Martin Illmer and Bern Steinbruck regarding the Green Paper COM (2009) 175 final, 2009) p. 6. Including arbitration in any form to the Brussels Regime was also strongly opposed by the European Parliament in its resolution of 7 September 2010 on the implementation and review of the Brussels I Regulation 171 . Instead it has been suggested to restore the situation before West Tankers, to make the arbitration exception absolute. Essentially the European Parliament's intention was to ensure that all the national mechanisms remain at the parties' disposal. Consequently the European Commission continued to seek a solution for the deficiency surfaced in theWest Tankers. c. Brussels I Regulation Revisited In 2010, The Commission decided to appoint a group of experts in order to solve the parallel proceedings problem. What was offered is an innovative but complex mechanism similar tolis pendens. The Commission in its explanatory memorandum clarifies that the modification will prevent parallel arbitration and court proceedings, and eliminate the incentive for abusive litigation tactics 172 . As explained by one of the Commission's expert – M. Illmer – the mechanism is twofolded: first it requires the party to challenge jurisdiction of the court of another Member State (other than the court at the seat of the arbitration) on the basis of alleged arbitration agreement; secondly the party had to seize an arbitral tribunal or the court at the seat of the arbitration. When both prerequisites are fulfilled, then thelis pendens mechanism will be triggered 173 . Consequently – regardless of timing – an arbitral tribunal or the court at the seat of arbitration will be exclusively competent to decide on the validity of the arbitration agreement and a court in another Member State will have to stay the proceedings or even decline jurisdiction when validity of an arbitration agreement is established. Discussed provision – established under Article 29(4) of the reviewed Brussels I Regulation – reads that: "where the agreed or designated seat of an arbitration is in a Member State, the courts of another Member State whose jurisdiction is contested on the basis of an arbitration agreement shall stay proceedings once the courts of the Member state where the seat of the arbitration is located or the arbitral tribunal have been seized of proceedings to determine, as their main object or as an incidental question, the existence, validity or effects of that agreement. This paragraph does not prevent the court whose jurisdiction is contested from declining jurisdiction in the situation referred to above if its national law so prescribes. Where the existence, validity or effects of the arbitration agreement are established, the court seized shall decline jurisdiction". At present it is difficult to assess the outcome of the emerging mechanism. What is considered to be problematic is the scenario when parties did not agree on the seat of the arbitration or whether the new definition of the seized arbitral tribunal suffices. 171 European Parliament resolution of 7 September 2010 on the implementation and review of Council Regulation (EC) No 44/2001 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (2009/2140(INI)). 173 (Illmer, Brussels I and Arbitration revisited – The European Commission's Proposal COM (2010) 748 final, 2011) p. 16. 172 (Proposal for a regulation of the European Parliament and of the Council on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters, 2010) p. 9. Nonetheless, the simple fact of acknowledging the seizure of an arbitral tribunal as a trigger for the arbitral lis pendens mechanism makes the latest proposal more appropria te than the previous one as it preserves the principle of competence-competence. VI. Concluding remarks Analysis above gave the brief summary of the principles limiting interface between the court and arbitral proceedings. As a consequence of the exclusive jurisdiction of the arbitral tribunal concurrent proceedings should not occur. However if it does, national legal systems introduce exceptional legal features limiting interference with arbitration proceedings to the minimum. In that way they (i.e. legal systems) are able to compete with each other and attract the prospective clients of an arbitration industry. The implications of theWest Tankers are very unfortunate. As rightly pointed out by C.Reghizzi, the ECJ inWest Tankers, by upholding the principle of the mutual trust "added a further legal effect thereto: the national courts of a Member State have to trust the capacity of the courts of the other Member State to decide on their own jurisdiction, even when the latter is governed by rules coming from a source outside the Community (such as the New York Convention)" 174 . Such consequences are so far reaching that introducing new mechanism in the Brussels Regime seems necessary. All in all, the principle of the competence-competence either in its positive or negative version should prevail in order to enhance efficiency of the arbitration. It is very important for arbitration users to know that an exclusive jurisdiction of an arbitral tribunal is respected across the borders and the arbitral proceedings can be conducted without any frustration. As the fundamental principles of arbitration are established on national level and supported by the New York Convention, it seems unlikely to assure it again on the European level. Nonetheless it is clear that the process of harmonizing procedural law under the Brussels Regime influences arbitration, even if it is treated by the Member States as an external invasion against which national mechanism should be protected in order to work properly. The most recent proposal of the Brussels I Regulation constitutes definite improvement in comparison to its latter version (i.e. proposal from 2009). Its fundamental advantage is that it takes into account consultation process initiated by the European Commission in 2009. One of the European Commission experts argues that revisited Brussels I Regulation deserves strong support as it is problem oriented, enhances efficiency of an arbitration agreement, preserves parallel proceedings from occurring and yet leaves the place for the competition between the arbitration venues within the European Union 175 . Others disagree 176 . It is true however that it seeks for compromise that will pay due respect to the nature of the international commercial arbitration and the principles establishing single judicial area within the European Union. 174 (Reghizzi, 2009) p. 446. 176 (Dickinson, 2011) p. 285. 175 (Illmer, Brussels I and Arbitration revisited – The European Commission's Proposal COM (2010) 748 final, 2011) p. 26. Essentially it should be concluded that European lis pendens arbitralis will emerge in order to keep up with the ECJ decisions and provide the parties with support to their choices in arbitration agreement. 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Towanda Borough Regular Council Meeting Minutes November 5, 2018 The NOVEMBER regular meeting of the Towanda Borough Council was held on Monday, November 5, 2018, at the Municipal Building. Council President Sweitzer called the meeting to order at 7:00 PM, with a moment of silence followed by the Pledge of Allegiance. ROLL CALL: PRESENT: Mr. Klinger, Mr. Kovalcin, Mrs. Lacek, Mrs. Miller, Mr. Sweitzer and Mr. Taylor ABSENT: Mr. Christini, Mr. Long, Mr. Roof CITIZENS TO BE HEARD: Two young Scouts BSA, Troop 17, were present tonight. Owen Lane (son of Kyle Lane, Borough Manager) and Damon Doherty. They are both 11 years old and in the 6th Grade at Towanda Elementary School. Note: Scouts BSA is a year-round program for boys and girls in fifth grade through high school that provides fun, adventure, learning, challenge, and responsibility to help them become the best version of themselves. In addition, Mr. Coates of 118 York Avenue was a visitor. APPROVAL OF PREVIOUS MONTH'S MINUTES: Motion to approve the October 1, 2018 regular meeting minutes was made by Mrs. Lacek and seconded by Mr. Kovalcin. Motion passed. FIRE CHIEF REPORT: Chief Roof was absent and Mr. Klinger stated there was nothing new to report. The incident report was provided in the packets. FIRE BOARD REPORT: Mr. Klinger had nothing to report. MAYOR'S REPORT: Mayor Miller once again signed a proclamation for White Cane Days and thanked Jim Haight and the Lions Club for their efforts in this program. He also thanked the Fire Department and Police for their coverages during Halloween Trick-orTreat night. On Friday, November 9th, Officer Bellows and Mayor Miller attended the Towanda Elementary School's Veteran's Day ceremony. POLICE CHIEF REPORT: Chief Epler reported the following: - The Police hosted a tour of the station for the Boy Scouts. - Officer Hennessy and K-9 Hades had training on October 2nd and 16th. - Officer Hennessy and K-9 Hades attended the "Buddy Walk "" for down Syndrome at Hornbrook Park on the 6th. - Officer Hennessy also attended the YMCA Halloween party where he handed out candy, he and the Mayor Miller judged the costume contest as well. - We had and extra Officer on patrol for the Trick or treat night. Borough Council Meeting Minutes November 5, 2018 - We received a check from the American Legion for $500 towards the Blue Santa program. - Towanda PD also dealt with a perceived bomb threat at the Towanda Area High School. All went smoothly for the evacuation and the incident is under investigation. - Towanda Borough Police in conjunction with Pennsylvania State Police conducted a raid on 301 Second Street. - 4 individuals were arrested on drug warrants; 2 individuals are still being sought for active drug warrants and 2 individuals were arrested for miscellaneous warrants. OCTOBER 2018 – Monthly Report \| 332 \| COMPLAINTS RECEIVED \| 0 \| \|---\|---\|---\| \| 32 \| TRAFFIC CITATIONS \| 1 \| \| 12 \| NON-TRAFFIC CITATIONS \| 8 \| \| 2 \| DUI ARRESTS \| 3 \| \| 73 \| DISTURBANCE CALLS \| 2 \| \| 6 \| VEHICLE ACCIDENTS \| 10 \| \| 2 \| OUT OF TOWN ASSISTS \| 2 \| \| 16 \| CRIMINAL ARRESTS \| \| POLICE COMMITTEE REPORT: Mr. Taylor stated they did not have a meeting because there was nothing to discuss. CODE ENFORCEMENT / PUBLIC WORKS REPORT: October 2018 Mr. Haight was absent tonight; therefore, Mr. Sluyter reviewed the Reports as follows: - Compliance Action - 41 Violations - Rental Inspections - 15 Total inspections 11 Failed the 1st time 1 Passed the 2nd time 1 Failed the 2nd time - Zoning Permits - 4 Issued - Complaints - 34 Investigated 18 Resolved - 34 Permits Issued 217 YTD - $425 Code Inspections Charges $5,615 YTD - $2,249 Permit Fees Paid $15,395 YTD - $3,699,589.15 = YTD Value of Permit Issued Work - $600 Contractors Registrations $12,200 YTD There were 34 permits issued in October for a total YTD at 217 Permit fees paid amount in October were $2,249 & YTD - $15,395 Code Inspections charges in October were $425 & YTD - $5,615 The value of permit issued work in the borough YTD - $3,699,589.15 Contractor's Registrations in October amounted to $600 & YTD - $12,200 BOROUGH MANAGER'S REPORT: 1. Downtown Revitalization Project - Manager Lane stated that work is continuing along. The final grades for alley's and sidewalks are being prepped for asphalt and concrete, glass for the stair columns are installed, the final slab is being poured. He would like to see the project done within a month, but the weather is not cooperating, which makes the time frame on completion change often. 2. PennDOT Turnback SR 3020 (Poplar Street) - Manager Lane spoke with Gregg Dibble from PennDOT. PennDOT in Harrisburg is finishing the agreement, hopefully by December (so we can ratify it). PennDOT has agreed to do a "full depth restoration". 3. PennDOT Building - York Avenue (R-4 District) - Manager Lane and Mr. Haight met with PennDOT's consultants some time ago concerning their plans to demo the old office building structure and rebuild a new one. The project includes the re-organization of most of the buildings currently on site. The R-4 Zoning does not allow for this to happen. They want to build to the most eastern side of the property which would fall into the R-1 District, which also does not allow a commercial usage. Manager Lane thinks they will challenge the validity of our ordinance. 4. Trail Feasibility Study - The next meeting to discuss the trail is on November 7th. We will be meeting with PennDOT (part of a larger study) representatives to discuss the using R.O.W. (right of way) for portions of the trail. 5. BCVMPA - Manager Lane stated that he received notice today that $50,000 will be sent for the Association to finish the rotunda at the park. Then they will advertise for bids to install it. 6. 2019 Budget - Manager Lane has the first draft of the Borough budget completed. He stated that it is a rough draft and he will continue to adjust it until the December meeting. He scheduled a "budget work session" with council for Wednesday, November 14th to go over the details of the budget. This meeting will be advertised in the newspaper. 7. Flood Insurance Rate Maps - Manager Lane stated that he will continue to keep this subject on this report until he hears something. He has not heard about a rescheduled FIRM meeting (at Wysox Fire Hall) as of yet. As he stated before, new preliminary maps were mailed to the Borough office. A meeting of municipalities involved and FEMA was forced to be rescheduled due to the hurricane in North Carolina this summer. Manager Lane was firm in that he does not agree with the findings. There will be more information to come in the near future. 8. Street Sweeper - USDA/CBPA - Manager Lane opened discussions with both the USDA and Progress Authority about financing the purchase of a new street sweeper. USDA has the ability to term it out for 15 years at 4%. The CBPA program will have a hard time terming the loan out 15 years. 9. CDBG - Blight Removal - Manager Lane stated that the two properties in Mason Alley that the Borough purchased a few years ago will finally be torn down. He was notified that the Borough's application for CDBG funding to demo the buildings was approved by the BC Commissioners. Borough Council Meeting Minutes November 5, 2018 BOROUGH SOLICITOR'S REPORT: Solicitor Smith stated that he still does not have a ruling on the Ron Ludlow zoning appeal. Solicitor Smith also discussed the proposals by the Planning Commission concerning the parking code. He will meet with Mr. Christini this week to discuss more thoroughly. BOROUGH SECRETARY REPORT: Secretary Kulick presented: RESOLUTION 2018-4 Approval that Henry Dunn (of the Dunn Group) be reappointed to CBPA (Central Bradford Progress Authority) Board of Directors as the Towanda Borough representative. Motion made by: Mr. Klinger, Motion seconded by: Mr. Kovalcin Mr. Christini, Mr. Long and Mr. Roof were absent Mr. Sweitzer abstained from voting. Voting Aye/Yes: Mr. Klinger, Mrs. Lacek, Mrs. Miller, and Mr. Taylor Voting Nay/No: Nobody Resolution 2018-4 Carried. Mrs. Kulick asked to schedule the final meeting of Council to vote on the new budget, pay the bills etc. December 27th at 6 PM was agreed upon. (Note: This meeting was changed to December 26th later on in November.) In addition, Mrs. Kulick will advertise this meeting. ADMINISTRATIVE REPORT: Included in packet. UNION SUB-COMMITTEE REPORT: Nothing new to report. FINANCIAL REPORT – A motion was made by Mr. Klinger and seconded by Mrs. Lacek to pay the October 2018 bills. Motion passed. PLANNING COMMISSION REPORT: There was no meeting in October. RECREATION REPORT: Mr. Kovalcin stated the committee will be doing a float themed on Rudolph & Yukon Cornelius for the Hometown Christmas Parade and events to be held on Saturday, December 1st. The parade will be held on the Merrill Parkway this year. There will be a number of things happening, such as the tree lighting on Friday, November 30th, and on Saturday, December 1st, there will be a 5K Run-Run Rudolph race, Woody's Cupcake Wars, vendors at Towanda Terrace, a gingerbread house contest, Victorian Charm Inn tours, the Christmas Parade, a free showing of the movie "Polar Express", free cookie decorating, and SANTA will be coming to town for the children to meet, plus horse carriage rides. The Central Bradford County Chamber of Commerce is spearheading most of the day's activities. TMA/WMA/CBPA REPORTS: Manager Lane stated the PennVest loan paperwork was submitted. EXECUTIVE SESSION: President Sweitzer called for an Executive session at 7:40 PM, to discuss a personnel issue. Executive session ended at 7:55 PM. Borough Council Meeting Minutes November 5, 2018 MISC: Mr. Taylor asked about compliance violations that have continued for years without action being taken by the resident or owner to correct it. He asked if there is a way to enforce getting these properties corrected sooner, and he suggested maybe raising the rates. This was discussed on all angles but nothing solid to resolve it. We do what we need to do and some of the violators repeatedly pay the fine to the Magistrate's office, and that's it. In addition, Mrs. Miller stated that there have been some complaints about the manholes on York Avenue. Manager Lane stated that all the manholes were leveled and new covers put on them by the Borough employees, just as asked by PennDOT before they had it paved. It is all in the way the company prepared the road before they paved it. ADJOURNMENT: Motion to adjourn was made by Mrs. Lacek and seconded by Mr. Sweitzer. Meeting adjourned at 8:10 PM. Diane M. Kulick Towanda Borough Secretary
DESERT TORTOISE COUNCIL 4654 East Avenue S #257B Palmdale, California 93552 www.deserttortoise.org firstname.lastname@example.org Via email only 20 September 2015 Mr. Randall Porter, Geologist Bureau of Land Management, Ridgecrest Field Office 300 South Richmond Road Ridgecrest, California 93555 email@example.com RE: Programmatic Environmental Assessment for Small Mining Operations in Ridgecrest Resource Area The Desert Tortoise Council (Council) is a non-profit organization comprised of hundreds of professionals and laypersons who share a common concern for wild desert tortoises and a commitment to advancing the public's understanding of this species. Established in 1975 to promote conservation of tortoises in the deserts of the southwestern United States and Mexico, the Council regularly provides information to individuals, organizations and regulatory agencies on matters potentially affecting the desert tortoise within its historical range. Background Thank you for recognizing our Affected Party status, and sending an email on 8/26/2015 soliciting scoping comments from the Council. We appreciate this opportunity to provide the Bureau of Land Management (BLM) with comments during the 30-day scoping period, which ends on 20 September 2015. We understand that our comments, in part, will help the BLM (1) determine if this mining proposal merits a formal Environmental Impact Statement (EIS) rather than an Environmental Assessment (EA) and (2) help BLM managers decide what performance standards should be stipulated as a condition of approval. Further, we understand that our concerns will help the BLM determine those issues that should be assessed in the draft environmental document, to determine the anticipated impacts associated with the programmatic proposal, and identify pertinent mitigation measures to ensure impacts are minimized and fully mitigated. The desert tortoise has been in steep decline in the West Mojave since the early 1980s, and since 2004 has continued to decline at a rate of about 7 percent per year – or 50% cumulatively - the highest rate of decline across all recovery units (USFWS 2014). Now, after decades of population decline, the average number of tortoises in the best remaining habitats in the West Mojave is a mere seven individuals per square mile, and getting lower every year. Regulatory and land management agencies need to recognize that their approaches have been insufficient to stem declines; and that declines are largely or predominantly due to human activities. The BLM is the one agency with responsibility to make the substantial changes necessary to stem the decline. Given the documented 50% decline of tortoise populations in the West Mojave Recovery unit since 2004 (USFWS 2014), BLM must act now to minimize declines associated with human activity, including mining. The rapid decline is due to human impacts, including dirt and paved roads, fragmenting the habitat with lost habitat, disturbed lands and cleared areas, and loss of critical foods and replacement with alien annual grasses. The effects of cleared and disturbed lands extend far beyond the disturbance itself. Rationale for completing an EIS rather than EA It is premature to refer to the intended document as an "EA," as one of the functions of scoping comments is to determine if an EIS is warranted. In fact, the Council asserts that an EIS is required rather than an EA for the following reasons: 1. Given documented tortoise declines in the West Mojave, BLM must assess its current management regarding mine operations, other authorized activities, and cumulative effects to determine if the proposed action for small mining would further contribute to population declines and significantly exacerbate tortoise conservation and recovery in the West Mojave. An EA is insufficient to provide the necessary analysis; an EIS is required. 2. The potential for increased mining within the Red Rock Canyon State Park and potentially in the Desert Tortoise Research Natural Area (DTRNA) as a result of the proposed action would constitute a significant effect, and warrants more analysis than would be provided for in an EA. 3. The intent to reverse and/or undermine prescriptions given in the U.S. Fish and Wildlife Service's (USFWS) existing 1992 biological opinion (1-6-92-F-28) that, among other potential changes, would no longer require compensation fees for small mines, including those in designated tortoise critical habitat areas, is sufficiently controversial that it requires EIS-level analysis. Specific issues that must be addressed in the draft environmental document Whether an EA or EIS is drafted, the Council expects that BLM's draft environmental document will address the following issues and concerns, and include specific components identified below. 1. We obtained an undated document referred to as "Scoping notice for programmatic environmental assessment of small mining operations," attributed to Carl Symons, Ridgecrest Field Manager, which further describes the intent of the proposed programmatic EA. The next few subsections refer to this scoping notice: a. We see that there is the No Action alternative and two others, including one where less than one acre of new disturbance would result and a second where less than five acres of new disturbance would be authorized. Does BLM have a preferred alternative between these two action alternatives? In either case, it is important that all alternatives be fully analyzed and that comparisons among the alternatives are assessed. For example, how many acres would be lost under the No Action alternative versus the one-acre alternative versus the five-acre alternative? How much tortoise critical habitat would be affected by programmatic authorization resulting from the action alternatives? b. The Preferred Alternative should be sufficiently strong to prevent further loss of desert tortoises and tortoise habitat, thereby contributing to recovery rather than decline. c. Assuming the five-acre standard is preferred, the draft environmental document should discuss the issue of a new five-acre mine site versus expansion of an existing mine site onto five acres in adjacent areas. Would the proposal, for example, allow a 100-acre existing mine to become operational by authorizing a five-acre expansion into adjacent areas? We expect that the programmatic authorization would allow creation of a new mine on five acres but are concerned that it may be misused to reactivate a larger site by claiming new expansion into five acres. d. The draft environmental document needs to clearly indicate that the one- or five-acre minimum includes impacts associated with the access road to the site. For example, if a proponent intends to open a five-acre mine site that would result in the loss of an additional two acres along an existing access road, we understand that this seven-acre impact could not be authorized. The additive impact of the mine site and the access road must be less than five acres. e. We recommend that the Preferred Alternative require use of existing access roads and prohibit creation of new access roads. We refer BLM to the existing biological opinion for small mines (USFWS 1992, measure f on page 5), "Where practical, no access road shall be bladed for exploratory work." We recommend that the words, "Where practical" be eliminated, and the prescription in the draft environmental document read: "No access roads shall be bladed for exploratory work." f. Bullet two near the middle of the page indicates the draft environmental document would briefly discuss factors including the "Influence & importance of Multiple Use Classifications (MUC) in BLM land-use plans." Given that the Draft EIR/EIS for the Desert Renewable Energy Conservation Plan (DRECP) intends to eliminate MUC classes, and it appears that this recommendation would also be included in the DRECP Final EIR/EIS, the BLM must address this foreseeable programmatic change resulting from implementing the final DRECP decisions in its draft environmental document. g. The third bullet in the same section reads, "Mineral management of unclassified public lands in Red Rock Canyon State Park." The draft environmental document must fully disclose if this proposal could result in increased mining in this State Park, which the Council strongly opposes. As part of current management, please provide an accurate description of existing mining activities on both private and public lands within Red Rock Canyon State Park and indicate how the proposal may influence future mining therein. How many acres of public lands managed by BLM would be available under this proposal in Red Rock Canyon State Park? Since this could have significant effects to Park management and visitors, would State Parks and the interested public have opportunities to review plans of operation proposed within State Park boundaries? h. If there is any chance that this proposal will increase mining operations in Red Rock Canyon State Park, the Council contends that an EIS rather than an EA must be completed for this proposed action. i. We also note that the BLM did not renew withdrawal of mining from within the Desert Tortoise Research Natural Area (DTRNA) in 2000 as promised to the Desert Tortoise Preserve Committee (DTPC), so now there is no protection from mining within the DTRNA. The Council insists that the draft environmental document stipulate that the programmatic authorization will not result in any new mining within the DTRNA or conservation management area to the east, which is the focus of land acquisition and subsequent tortoise management by the DTPC. These two areas must be identified as exclusion zones from any new small mining that may result from the proposed programmatic authorization. j. The final bullet states, "Exemption from tortoise habitat compensation fees for small mining operations." The Council strongly opposes eliminating any current management prescription that proactively benefits tortoise conservation, which includes collecting compensation fees for impacts to and loss of tortoise habitats. Besides, mine sites on public lands that affect State-listed species, including desert tortoises and Mohave ground squirrels, still have county requirements under the Surface Mining and Reclamation Act (SMARA) and will require incidental take permitting under Section 2081 of the California Endangered Species Act. California Department of Fish and Wildlife (CDFW) unerringly requires habitat compensation, usually at a ratio of 3:1 outside Desert Wildlife Management Areas (DWMAs) and 5:1 inside DWMAs. Given declines in tortoise densities up to 50% in the West Mojave (USFWS 2014), BLM should not promote programs that increase impacts and loss of habitat with less accountability and compensation than required under current management. k. We note in the existing biological opinion for small mining (USFWS 1992), that measure "u" on page 8 specifically requires "Compensation for loss of habitat shall be required according to BLM requirements." To be in compliance with the existing biological opinion, BLM does not have the discretion to eliminate habitat compensation requirements unless USFWS formally modifies the existing biological opinion that requires exemption or writes a new biological opinion modifying its previous decision. In any case, the BLM is obligated to analyze this proposal in its draft environmental document and justify why habitat compensation is no longer warranted. l. The Council opposes exemption of compensation fees for small mine operations. If this opposition is ignored, the draft environmental document must provide convincing rationale how this exemption will result in better conservation for the imperiled tortoise and will contribute to recovery. We further contend that adopting this inferior provision compared to current management would trigger the need to produce an EIS rather than an EA for this proposed action. m. The final sentence in the next to last paragraph reads, "This programmatic environmental assessment will exclude operations determined to have significant resource impacts." Given that the tortoise is federally-listed as Threatened, we understand that any impacts to federally-listed species are considered significant under the National Environmental Policy Act (NEPA). Given that the proposed action occurs entirely within the range of the federally-listed desert tortoise, we understand that this proposal "may affect" the listed species and therefore require formal consultation. If the sentence at the beginning of this paragraph is correct, the environmental document must indicate that a given mine site must be abandoned if evidence of tortoises is found during protocol-level surveys (USFWS 2010). 2. We expect that the draft environmental document will contain maps and assessments of existing impacts and cumulative impacts from both mining and all other uses. This information should be part of the Affected Environment in either an EA or EIS if the agency is serious about stemming declines and promoting recovery. The amount of information needed to address this concern is more appropriate in an EIS than an EA. 3. We require that the draft environmental document identify BLM stipulations that will curtail indirect impacts of new mines authorized by the proposed action. Insofar as possible, all impacts must be restricted to the mining footprint. As such, the document must require monitoring to detect indirect impacts and identify remedial measures if monitoring reveals impacts in adjacent areas are occurring. 4. Please explain how this new programmatic proposal would relate to and interact with existing regulations governing small mining in the Ridgecrest Resource Area. We note that the USFWS issued a biological opinion (1-6-92-F-28) in 1992 entitled, "Biological opinion for small mining and Exploration Operations in the California Desert" (USFWS 1992). Formal consultation was reinitiated in 1994 resulting in a second biological opinion (1-8-94-F-28R), entitled, "Reinitiation of formal consultation for small mining and exploration operations" (USFWS 1994), which reconsidered small mining in light of the then-new designation of desert tortoise critical habitat. The Council is not in favor of programmatic biological opinions or EAs in tortoise critical habitat, particularly given the persisting declines occurring in these essential habitats located in the West Mojave. Following are a few questions related to existing and future biological opinions we expect to see answered in the BLM's draft environmental document: a. Would the record of decision associated with this new proposal result in a new or amended biological opinion that would replace or augment existing ones? It is our understanding that since the proposal certainly "may affect" the tortoise, which is a federally-listed species, the draft environmental document must disclose that a new programmatic biological opinion would be required for implementation of this proposal; if not, an explanation needs to be provided. b. Similarly, since the two biological opinions authorizing small mines were written in 1992 and 1994, long before distance sampling surveys were implemented and severe declines documented (USFWS 2014), it is essential that the USFWS write a new biological opinion to assess potential jeopardy of BLM's proposed action. Also, both the BLM and USFW documents must address how the proposed action would benefit or undermine implementation of the revised tortoise recovery plan issued in 2011 (USFWS 2011). c. How will the terms and conditions identified in the 1992 biological opinion continue to be applied to small mining operations assessed in the current programmatic environmental document? The Preferred Alternative must include the terms and conditions included in the 1992 biological opinion, at a minimum, and identify any other stipulated measures that would enhance resource protection, particularly for tortoises. d. We note that the following statement is made in the programmatic EA for hard rock mining in the Ridgecrest Resource Area (see page 26 in BLM 2013), "Mitigation for the desert tortoise may include [emphasis added] the terms and conditions contained within the USF&WS programmatic biological opinion for Small Mining and Explorations Operations (1-6-92), but is not limited to those terms and conditions." In the proposed environmental document, the Council expects the BLM to state that the referenced mitigation measures shall be included and that the BLM stipulate any new measures identified since 1992. e. Further, we see on in Appendix I, page 30 of BLM (2013) that, "The provisions [terms and conditions in the 1992 biological opinion] are reproduced in their entirety but will be modified and adapted to suit specific locations and operations [emphasis added]." It is our understanding that USFWS terms and conditions are nondiscretionary actions that must be implemented for the authorization to remain effective and to avoid violating the Federal Endangered Species Act. For example, if the USFWS stipulates that speed limits in the project area are 20 miles per hour and a tortoise is accidentally killed by a project-related worker traveling 30 miles per hour, that take would not be authorized under the biological opinion. We require that the draft environmental document stipulate that formal terms and conditions in USFWS biological opinions be implemented as written unless USFWS authorizes a modified approach. f. As part of the Affected Environment section of the draft environmental document, indicate how many acres of tortoise critical habitat and non-critical habitat have been authorized and mined under these two existing programmatic small mine biological opinions in the Ridgecrest Resource Area. g. Under the Environmental Consequences section of the draft environmental document, please indicate how many acres (both in tortoise critical habitats and nondesignated habitats) over what time period would be lost due to implementation of this proposed action. 5. We understand that a programmatic EA was produced in May 2013, entitled, "Programmatic environmental assessment of small-scale hard rock mining and exploration in the Ridgecrest Resource Area, Environmental Assessment 96-53" (BLM 2013). How does the current proposal differ from this existing one? Will any of the measures identified for EA 96-53 be applied to the current programmatic environmental document? 6. The proposed action must require that appropriate biological surveys and habitat assessments are performed for federally-listed, state-listed, and BLM-sensitive animal species (BLM 2010). These include the following species at a minimum (where available, references are given for the protocol survey methodologies, and should be identified in the BLM's draft environmental document), Agassiz's desert tortoise (Gopherus agassizii) (USFWS 2010), Panamint alligator lizard (Gerrhonotus (=Elgaria) panamintinus), Mohave fringe-toed lizard (Uma scoparia), chuckwalla (Sauromalus obesus), golden eagle (Aquila chrysaetos), southwestern willow flycatcher (Empidonax traillii extimus), western yellow-billed cuckoo (Coccyzus americanus occidentallis), least Bell's vireo (Vireo bellii pusillus), Swainson's hawk (Buteo swainsoni), Bendire's thrasher (Toxostoma bendirei), burrowing owl (Athene cunicularia) (CDFW 2012), Mohave ground squirrel (Xerospermophilus mohavensis) [CDFG 2003 (revised 2010)], American badger (Taxidea taxus), ringtail (Bassariscus astutus), desert bighorn sheep (Ovis canadensis nelsoni), and numerous bat species (see list on page 23 and 24 of BLM 2013). 7. The proposed action must require that appropriate biological surveys and habitat assessments are performed for federally-listed, state-listed, and BLM-sensitive plant species, including the 28 BLM-sensitive plant species listed in BLM (2013) for the hard rock mining programmatic EA and the 44 species listed in BLM's (2008) document, entitled "Plant checklist for the Ridgecrest Field Office REV 08-2008." 8. Unlike the following statement in BLM (2013), "A field investigation for threatened or endangered wildlife or 'species at risk'/BLM Sensitive Species will be conducted at the discretion of the BLM wildlife specialist (emphasis added)," the Council believes that field surveys for rare animals must be completed in the appropriate season for all actions under the proposal, and that it not be at the discretion of BLM staff, unless an existing inventory and technical report exist. 9. Focused plant surveys must also conform to BLM's policy to conduct inventories to determine the occurrence and status of all special status plant species on lands managed by BLM or affected by BLM actions in its document entitled, "Survey Protocols Required for NEPA/ESA Compliance for BLM Special Status Plant Species" (BLM 2009). 10. As in the BLM's programmatic EA for hard rock mining (BLM 2013), we recommend that the BLM also adopt the following prescription: "No adverse & direct impacts to special status plant species" (see measure 12 on page 13 of BLM 2013) will be authorized under the proposed action. 11. Unlike the following statement in BLM (2013), "A field survey will be done, if deemed necessary by the BLM resource specialist (emphasis added)," the Council believes that field surveys for rare plants must be completed in the appropriate season for all actions under the proposal, and that it not be at the discretion of BLM staff, unless an existing inventory and technical report exist. Otherwise, there is no way to ensure that no adverse and direct impacts would occur to special status plants, as stipulated in measure 12 above. 12. It is also essential that BLM in its draft environmental document require consultants surveying for tortoises and monitoring mine construction and operation follow the latest guidelines required by the USFWS in their 2009 Field Manual (USFWS 2009). 13. We recommend that higher level standards be applied to any small mine site proposed within desert tortoise critical habitat compared to sites outside critical habitat. These higher standards may include seasonal restrictions on mining operations including use of access roads to the site(s), higher compensation requirements than for mine sites occurring outside critical habitat, and assessing alternative sites that provide the same function and occur outside critical habitat. We contend that any small mine operation in tortoise critical habitat must have plan-level operations rather than notice-level, as noted in Symons' scoping notice. These are only a few examples that we expect BLM to consider in tortoise critical habitats, along with others it identifies, in the draft environmental document. 14. The draft environmental document must include discussion of both the temporal and spatial aspects of the proposal. For example, for how many years will this programmatic record of decision be in effect? Or, will it function in perpetuity until conditions reveal a new assessment is warranted? How many acres does BLM estimate may be authorized for mining under this proposal? Will there be a cap at which the record of decision will no longer apply, or will the acreage of impacts be unlimited? We expect that the draft environmental document will answer these questions for both tortoise critical habitat areas and areas outside designated critical habitat. 15. The Council does not believe that the "analysis" given in the Affected Environment section of the programmatic EA for hard rock mining (see pages 21 and 22 in BLM 2013) was sufficient; the Affected Environment section must be significantly expanded in the draft environmental document for this proposed action to adequately report population trends, threats, and recovery actions implemented by the BLM (which is another reason we believe that an EIS rather than an EA is prudent for this proposed action). We note that there is no discussion whatsoever about documented declining trends in tortoise populations, which in the West Mojave have declined more than 50% since 2004 (USFWS 2014). 16. Similarly, there are only two paragraphs in the hard rock mining programmatic EA (see page 25 in BLM 2013) describing direct and indirect impacts to the desert tortoise, which is inadequate and must be expanded upon in the draft environmental document for this proposed action. An EIS-level analysis is warranted for a meaningful analysis of impacts to tortoises and other resources. 17. And again, the Council contends that the two paragraphs presented in the programmatic EA for hard rock mining (see pages 28 and 29 in BLM 2013) are woefully inadequate to accurately report the cumulative effects of existing, proposed and reasonably foreseeable future activities, including mining and other projects. At the very least, there should be an accounting of acreages developed under the existing small mine biological opinion issued in 1992 (USFWS 1992), other recent mine developments larger than 10 acres, renewable energy projects, etc. 18. We note that the following statement is made in the programmatic EA for hard rock mining (BLM 2013, page 27) with regards to impacts to Mohave ground squirrel: "A 2081 permit issued by CDF&G [now CDFW] is required for the incidental take of MGS for projects on public land over five acres [emphasis added]. Projects cumulatively totaling five acres or more, [sic] may require permitting or compensation." Unless there is a Memorandum of Understanding between BLM and CDFW specifying this agreement (and, if there is, please provide a reference), we believe that this statement is in error. Similar to tortoise where impacts to a single animal constitute take, we understand that take of a single individual Mohave ground squirrel would trigger the need for a CDFW 2081 incidental take permit; it is not habitat-based and definitely not restricted to projects impacting more than five acres. Please do not perpetuate this error in the draft environmental document. 19. The draft document must identify provisions for keeping track of the loss of habitats and tortoises resulting from implementing this proposed action. At a minimum, the BLM must provide affected parties, including the Council, an accounting of how many sites have been authorized, how many acres lost, the number of tortoises displaced (if any, and assuming occupied sites are not abandoned), and any other pertinent information, which may be assessed in the draft environmental document. 20. The proposed action must define a monitoring component to ensure that all direct and indirect impacts are restricted to the one- or five-acre mine sites. If these monitoring data reveal that impacts extend beyond the specified acreage, the proposed action must identify measures that would allow the BLM to withdraw the right-of-way grant or other authorization extended to the proponent. 21. The proposed action must identify specific habitat restoration measures to be implemented when the site is no longer actively being mined. These measures should also outline success criteria and monitoring methodologies to ensure that habitat restoration meets BLM standards. 22. The Council refers the BLM to our website at deserttortoise.org where there is a link ("Best Management Practices Fact Sheets") that includes the following five fact sheets for habitat restoration: Restoring perennial plants, enhancing forage, salvaging topsoil, rehabilitating severe disturbance, and reducing impacts of roads. Herein, we extend our permission to BLM to include these Best Management Practices in the draft environmental document to facilitate habitat restoration of small mines authorized under this proposed action. Again, thank you for alerting us to this important proposal. We understand that our scoping comments given above will be used by the BLM to develop a draft environmental document. We expect that the Desert Tortoise Council will continue to be identified as an affected party for this action and that we receive an electronic copy of the draft environmental document so that we may continue to provide input and also see how the BLM used the recommendations given herein to complete that document. Regards, Edward L., LaRue, Jr., M.S. Desert Tortoise Council, Ecosystems Advisory Committee, Chairperson Literature Cited California Department of Fish and Game. 2003 (revised 2010). Mohave ground squirrel survey guidelines. Unpublished guidelines produced by CDFG (currently CDFW = California Department of Fish and Wildlife). Sacramento, CA. California Department of Fish and Wildlife. 2012. Staff report on burrowing owl mitigation. 7 March 2012 memo replacing 1995 staff report, State of California Natural resources Agency, Department of Fish and Wildlife. Sacramento, CA. U.S. Bureau of Land Management (BLM). 2008. Plant checklist for the Ridgecrest Field Office (REV 08-2008). Unpublished checklist prepared by Glenn Harris of the BLM Ridgecrest Field Office. Ridgecrest, CA. U.S. Bureau of Land Management. 2009. Survey protocols required for NEPA/ESA compliance for BLM special status plant species. Unpublished protocols produced by BLM. Sacramento, CA. U.S. Bureau of Land Management. 2010. Special status animals in California, including BLM designated sensitive species. Unpublished list dated February 2010. Sacramento, CA. U.S. Bureau of Land Management. 2013. Programmatic environmental assessment of small-scale hard rock mining and exploration in the Ridgecrest Resource Area, Environmental Assessment 96-53. Unpublished EA produced by BLM Ridgecrest Resource Area. Ridgecrest, CA. U.S. Fish and Wildlife Service (USFWS). 1992. Biological opinion for small mining and Exploration Operations in the California Desert [3809 6840 CA-063.50 (CA-932.5)] (16-92-F-28). Memorandum to BLM State Director, Sacramento, CA from USFWS Field Supervisor, Carlsbad, CA. U.S. Fish and Wildlife Service. 1994. Reinitiation of formal consultation for small mining and exploration operations in the California desert (6840 CA-063.50) (1-8-94-F-28R). Memorandum to BLM State Director, Sacramento, CA from USFWS Field Supervisor, Ventura, CA. U.S. Fish and Wildlife Service. 2009. Desert Tortoise (Mojave Population) Field Manual: (Gopherus agassizii). Region 8, Sacramento, California. U.S. Fish and Wildlife Service. 2010. Preparing for any action that may occur within the range of the Mojave desert tortoise (Gopherus agassizii). USFWS Desert Tortoise Recovery Office. Reno, NV. U.S. Fish and Wildlife Service. 2011. Revised recovery plan for the Mojave population of the desert tortoise (Gopherus agassizii). U.S. Fish and Wildlife Service, Pacific Southwest Region, Sacramento, California. 222 pp. U.S. Fish and Wildlife Service. 2014. Update of Mojave desert tortoise population trends (dated 10 March 2014). Unpublished report prepared by the Desert Tortoise Recovery Office of the USFWS. Reno, NV. 2 pages.
St Columba's: 1 Newhall Road, Plas Newton, Chester, CH2 1SA 01244 624019 Catholic Churches of St Columba and St Theresa Parish Priest: Fr Jonathan Brandon email@example.com Parochial Administrator, St Theresa's: Fr Isidore Madueke firstname.lastname@example.org Deacon: Rev Lawrence Hordley 01244 342048, mobile 07960 517463 www.stcolumbachester.org.uk Diocese of Shrewsbury, Registered Charity 234025 Chester Hospitals' Chaplaincy: Tel: 01244 364543, answer phone available. Parish Safeguarding Representative: Claire Graham. Tel 01244 341287 or 0788 055 3830. 26 th WEEK IN ORDINARY TIME 1 st OCTOBER 2017 BAPTISMS: Saturday 30 th September St. Theresa's 10.00 a.m. Parishioners Intentions St. Columba's 6.30 p.m. The Parish Vigil Mass Sunday 1 st October St. Theresa's 9.30 a.m. Keith Evans RIP St. Theresa's 2.00 p.m. Mass with Celebration of the Sacrament of the Sick St. Columba's 11.00 a.m. Mary & Jim Davies Monday 2 nd October – Guardian Angels St. Theresa's 9.30 a.m. St. Theresa's School St. Columba's 9.15 a.m. Tuesday 3 rd October St Columba's 9.15 a.m. Joyce Bownas St. Theresa's 6.30 p.m. Priest's Intention Wednesday 4 th October – St Francis of Assisi, R. St Columba's 9.15 a.m. Thanksgiving HPP St Theresa's 7.00 p.m. The Faithful Departed Thursday 5 th October – St Thomas of Hereford, B. St Theresa's 9.00 a.m. Special Intention St. Columba's 9.15 a.m. Cardinal Carlo Caffarra Friday 6 th October – St Bruno, P. St Theresa's 8-8.55a.m. Expos. of the Blessed Sacrament 9.00 a.m. Paddy Boyle RIP St Columba's 7.00p.m. Servite Intention Saturday 7 th October – Our Lady of the Rosary St. Theresa's 10.00a.m. Parishioners Intentions St Columba's 6.30 p.m. Private Intention Sunday 8 th October St. Theresa's 9.30 a.m. Dorothy Groom St. Columba's 11.00 a.m. The Parish EXPOSITION & MORNING PRAYER - ST. COLUMBA: Exposition before the Blessed Sacrament takes place from 8.10 a.m., followed by Morning Prayer, at 9.00 a.m., Monday to Thursday, except Wednesday when Morning prayer will commence at 8.50 a.m. followed at 9.10 a.m. by Novena Prayers to our Lady of Perpetual Succour prior to Mass. CONFESSION: St. Columba's: Between 6.00 p.m. and 6.25 p.m. before the Vigil Mass. At other times by arrangement with Fr. Jonathan. St. Theresa's: Confessions are heard after every weekday Mass. Secular Clergy Fund St. Columba's: By appointment. After speaking to Fr. Jonathan to arrange a date, please contact Claire O'Donnell 07743704383 (text or phone'). Congratulations to the Medves-Wall family and friends as they celebrate the baptism of their twin boys, Elliot Kristian and Oliver Benjamin today at St. Columba's. We wish them all a wonderful day, please remember them in your prayers. St. Theresa's: To arrange a Baptism please contact Mike Maxwell 07851 720217 (text or phone). OFFERTORY: St. Columba's: Loose Plate: £354.49, Planned Giving: £418.76, Average Weekly Standing Orders: £735.00, Candles: £54.97. St. Theresa's: £280.90 plus Average Weekly Standing Orders £100. ST. COLUMBA'S ANNIVERSARIES: William Baker, Michael Davies, Bernard Joseph Fitzpatrick, Margaret Carol Hughes, Joseph Crimes, Patrick Patten, Austin Pinnington, June Semenzato, Marie Tobin, Eric Melia, Patricia Holloway, Jack Derbyshire, Doreen Nicholls, Joyce Bownas, Annie Brennan, John Cotgrove, Ellen Barlow, Anthony John Baker, Gale Bunker, Frank Queenan, Kathleen Galvin, Rev. Allan John Collina, Patrick Ryan, Anthony Lavender, Kathleen (Doris) Gallagher, Patricia O'Gorman, Veronica Maquire, McNamara, Mary Southall, Patrick Joseph Hickey, Michael John Avery, Dennis O'Loughlin, Katherine Doran, Dorothy Maude Murphy, Anthony Marshall, Frank Stone, Guiseppe De Riso. ST. THERESA'S ANNIVERSARIES: Eric John Hocking, Jeremiah Keating, Eric melia, Hugh Dowd, Margaret Mary Clarke, John Derbyshire, Veronica Thomas, Frances Davies, Margaret Ann Mullarkey, Mary Dorothy Groom, John Anthony Davies, George McFarlane, Patricia Senhorinho, Antonia Lindop, Mary Padkow-ka, Thomas Robert Boden, Mary Agnes Dutton, Joseph Patrick Edwards. PARISH CATECHISTS (St. Columba's): All Parish Catechists involved in preparation programmes for Baptism, First Sacraments and Confirmation, and the Children's Liturgy team, are invited to renew their commitment at the 11.00am Mass this Sunday. Please collect your service leaflets from your team leader. HOSPITAL MASS: The regular "First Thursday" Mass will be celebrated on 5 th October at 12.15pm in the Countess of Chester hospital Chapel. This is for patients/outpatients, staff, families and friends, and the wellbeing of our hospitals, including the Bowmere. All are welcome.. SUNDAY MORNING COFFEE: St. Columba's: 1 st Oct MACMILLAN COFFEE MORNING 8 th Oct Volunteers needed please 15th Oct 21st Guides Group Parish Tea, coffee and juice are available in the hall after the 11am Mass. All are welcome. St Theresa's: Tea, coffee and juice are available in the Parish Club after 9.30 a.m. Mass. All are very welcome. UPTON & BLACON CHURCHES TOGETHER: This week we pray for: - For the church organists and music leaders, for the ministry of music in our worship. - The residents of Church Lane, Nield Court, Grangeside, Exeter Place, Burns Way, Masefield Drive, Aragon Green, and Brentwood Place. MASS WITH CELEBRATION OF THE SACRAMENT OF THE SICK- 1 st October: This Mass will be at St. Theresa's at 2.00pm followed by refreshments in the School Hall. All welcome. FEAST OF ST THERESA: Thank you to everyone for your donations or roses towards the flowers for the Feast of St Theresa. A special thank you to the ladies who have made the church look so wonderful with their flower arrangements, their hard work much appreciated. THANK YOU: Thank you to Morrisons for the gift of the Harvest Bread HARVEST FAST DAY, FRIDAY 6 th OCTOBER: The CAFOD Harvest Fast Day envelopes are available this weekend, in readiness for the Harvest Fast Day on Friday 6 th October. You will see that the envelopes are in two-parts – the "Give Today" envelope is for one-off donations, while the "Give Regularly" envelope is the one to use if you wish to start a regular donation. The "Give Today" envelopes can be returned in the offertory baskets next weekend. The "Give Regularly" pre-paid envelopes are for returning direct to CAFOD. WALSINGHAM RETREAT: To be held 16 th -19 th April 2018 and staying at the newly refurbished Catholic accommodation. Total cost £215.00pp. Deposit of £30.00pp required to secure places by 20th October please. Cheques made payable to J Doherty, post to 36 Queens Park House, Queens Park View, Chester CH4 7DB with your details. Or please hand into Carol Galvin in the office, or St Theresa to Gerry Templeton. DIOCESAN MASS IN CELEBRATION OF GRANDPARENTS: This is being held at St. Columba's on Saturday 14 th October at 11.00am, followed by light refreshments. Please remember to pray for grandparents and their vocation. AUTUMN FAYRE: We are looking for bottles for the Tombola. If anyone has any bottles they would like to donate to the Tombola for the Autumn Fayre, please leave them in the back porch at St Columba's or the box provided in the porch at St Theresa's. Thank you. CLEANERS' ROTA C (ST THERESA'S) CATHOLIC NEWSPAPERS: Most weeks none of the papers are sold so it is our intention to cancel the Universe and the Irish World unless anyone wishes us to keep selling them. Please let us know by the end of October if you would like us to keep the newspapers at St Theresa's. PARENTING TEENS: The popular parenting course for those with teenage children is running again. The 6-week course starts at 7pm on 4th October at the Catholic High School. If you'd like to join other parents who want to broaden their skills, develop their relationship with their teenagers and negotiate the new freedoms and responsibilities our young people need, please come along. For more information or to book a place, please contact Claire on 07743 704383. Also, see flyers in the porch and hall. FAMILY BEETLE DRIVE: This year we will be holding the beetle drive at St. Theresa's Parish Centre on Friday 6 th October at 7pm. Please bring the family along to join in the fun, teas and coffees provided. The bar will be open for those who want something stronger. QUIZ NIGHT, FRIDAY 13 th OCTOBER: This is our annual Quiz Night, arranged in conjunction with Churches Together in Upton and held in St. Columba's Hall, starting at 7.30pm. Admission on the door £1, nibbles provided, teas and coffees served, but bring your own wine. The Quiz is arranged for teams of six - these can be pre-arranged or made up on the night, so if you are "unattached" do please come along. Not too serious, it is always a very enjoyable evening. Proceeds go to CAFOD and Christian Aid. NEW YOUTH GROUP: Our new St. Columba and St. Theresa youth group, for 10 - 14 year olds, will begin on Monday 9th October, from 7.15 to 9pm. The group will start in the Iona Chapel for a short faith based activity and then move to the hall for games, crafts, art, refreshments, general hanging out etc, ending with prayers. If you would like your child to join please email Anthony Hunt on email@example.com for more information, the consent form and so we have refreshment numbers. ANNUAL COUNT: The annual count will take place at St. Columba's weeks beginning 7 th , 14 th , 21 st and 28 th October. Please will offertory collectors make a note on the sheet provided in the Sacristy. ALPINE WALK: Maria Lane and her brother, Bernie, who organised the walk have raised £700 for Macmillan nurses. Many thanks. ST COLUMBA'S CHURCH & HALL BOOKINGS: If you wish to arrange meetings etc. in either the Church or the Iona Chapel, please make a booking through Carol Galvin, Church Office: 01244 624019, email firstname.lastname@example.org For all Hall bookings and enquiries please contact Sue Carr on 07553 114531 or email email@example.com NEXT WEEK'S NEWSLETTER: This will be compiled by Ann Siddall, 01244 371787 e-mail: firstname.lastname@example.org Items for inclusion can be left in the Sacristy at either church. Please ensure that all items are in place by 9.00 a.m. on Thursday. Please include a phone number in case of queries. Website: www.stcolumbachester.org.uk
Controlled-release codeine is equivalent to acetaminophen plus codeine for post-cholecystectomy analgesia [La codéine à libération contrôlée est équivalente à de l'acétaminophène plus de la codéine pour l'analgésie postcholécystectomie] Frances Chung MD,* Doris Tong MD,* Paula C. Miceli MSc,† Joseph Reiz BSc,† Zoltan Harsanyi MBA,† Andrew C. Darke PhD,† Lance W. Payne PHARMD† Purpose: Following ambulatory surgery, long-acting analgesics may provide advantages over short-acting analgesics. This study compared controlled-release codeine (CC) and acetaminophen plus codeine (A/C; 300 mg/30 mg) for pain control in the 48-hr period following laparoscopic cholecystectomy. Methods: Eligible patients were randomized to CC or A/C in a double-blind, double-dummy parallel group study. Unrelieved pain in hospital was treated with fentanyl iv bolus. Pain [100 mm visual analogue scale (VAS)] was assessed before the first dose of medication; at 0.5, one, two, three, and four hours post-dose; at discharge; and three times a day for 48 hr. Adverse events were recorded and measures of patient satisfaction were assessed at the end of the study. Objectif : En chirurgie ambulatoire, les analgésiques postopératoires d'action prolongée peuvent avoir des avantages sur les analgésiques d'action brève. Nous comparons la codéine à libération contrôlée (CC) et une combinaison d'acétaminophène et de codéine (A/C ; 300 mg/30 mg) comme analgésique pendant 48 h après une cholécystectomie laparoscopique. Results: Eighty-four patients were enrolled in the study; 42 patients in each group. There were no statistically significant differences between CC and A/C treatment. Mean VAS baseline pain was similar in both groups (P = 0.49) and there was no significant difference in the time to onset of analgesia (P = 0.17). At 0.5 hr, the mean VAS pain score was significantly reduced from baseline in both groups (P = 0.0001). The VAS pain scores at discharge were reduced 59% and 56% from baseline, respectively (P = 0.61). There was no difference between treatments in the incidence of adverse events and patients reported similar levels of satisfaction. Méthode : Des patients admissibles à l'expérimentation ont reçu de la CC ou de l'A/C lors d'une étude à double insu, à double placebo en contrôle parallèle. À l'hôpital, la douleur tenace a été traitée avec des bolus iv de fentanyl. La douleur [échelle visuelle analogique (EVA) de 100 mm] a été évaluée avant la première dose de médicament ; à 0,5, une, deux, trois et quatre heures après la dose ; au moment du départ et trois fois par jour pendant 48 h. Les événements indésirables ont été notés et des mesures de la satisfaction du patient ont été faites à la fin de l'étude. Conclusions: Controlled-release codeine provides an equivalent onset of analgesia, reduction in postoperative pain, and level of patient satisfaction, to acetaminophen plus codeine, over 48 hr following cholecystectomy, with the advantage of less frequent dosing. Résultats : L'étude a été réalisée auprès de 84 patients : 42 dans chaque groupe. Il n'y a pas eu de différence statistiquement significative entre les traitements à la CC ou à l'A/C. La douleur initiale moyenne a été similaire dans les deux groupes (P = 0,49) et il n'y a pas eu de différence significative de temps précédant le début de l'analgésie (P = 0,17). À 0,5 h, le score de douleur moyen à l'EVA était significativement réduit dans les deux groupes (P = 0,0001). Les scores à l'EVA au départ de l'hôpital ont été respectivement réduits de 59 % et de 56 % par rapport aux mesures initiales de la douleur (P = 0,61). Aucune différence intergroupe dans l'incidence d'événements indésirables n'a été notée et la satisfaction des patients était comparable d'un groupe à l'autre. Conclusion : La codéine à libération contrôlée offre un délai d'installation de l'analgésie, une réduction de la douleur postopératoire et un niveau de satisfaction équivalents à une combinaison d'acétaminophène et de codéine pendant 48 h après une cholécystectomie, et ce, avec l'avantage d'un dosage moins fréquent. From the Department of Anesthesia,* Toronto Western Hospital, University of Toronto, Toronto; and Purdue Pharma,† Pickering, Ontario, Canada. Address correspondence to: Dr. Frances Chung, Department of Anesthesia, Toronto Western Hospital, 399 Bathurst Street, Toronto, Ontario M5T 2S8, Canada. Phone: 416-603-5118; Fax: 416-603-6494; E-mail: firstname.lastname@example.org This study was partially supported by a grant from Purdue Pharma (Canada) Inc. Accepted for publication May 29, 2003. Revision accepted December 1, 2003. APAROSCOPIC cholecystectomy is the surgical treatment of choice for symptomatic cholecystolithiasis and can be used in more than 90% of cases. 1,2 Over 37,000 laparoscopic cholecystectomy procedures were performed in Canadian facilities during the fiscal year 2000–2001. 3 The laparoscopic approach to cholecystectomy has shortened the in-hospital recovery period following surgery from one to three days to same-day discharge. 4,5 Discharge time is dependent, in part, on the rate of recovery from anesthesia and the provision of appropriate postoperative analgesia. 6,7 Unanticipated admissions due to inadequate pain have enormous medical, social and cost implications. 7 Therefore, the aim of an analgesic technique should be not only to reduce post-laparoscopic pain, but also to facilitate earlier mobilization, reduce perioperative complications, and increase patient satisfaction. 7 L Following laparoscopic cholecystectomy, patients tend to report parietal, 8 visceral 9 and shoulder pain. 10,11 Visceral pain is predominant during the first few postoperative hours. The major groups of drugs used in the treatment of postoperative pain are opioid analgesics, 12–15 and non-steroidal anti-inflammatory drugs. 7 Moderate to severe pain may follow laparoscopic cholecystectomy and often necessitates the use of opioid analgesics. 7 Opioids may be administered by a variety of routes; oral dosing is usually the most convenient and least expensive. It is appropriate as soon as the patient can tolerate oral intake and is the mainstay of pain management in the ambulatory surgical population. 16 Since the most severe pain following laparoscopic cholecystectomy occurs during the first two to three hours, 17,18 an oral opioid analgesic with an onset of less than one hour would offer an effective method of analgesia. Although oral administration is associated with a slower onset of analgesia, the duration of pain relief is significantly longer than with an equi-analgesic dose of parenteral opioid. 7 Codeine plus acetaminophen combination preparations are the most commonly used opioid analgesics for ambulatory surgery procedures. 19 With fixed-dose combinations of acetaminophen plus codeine there is a relatively flat dose-response curve and a clear ceiling effect and the analgesic potential of fixed-dose combinations is generally limited by unacceptable side effects associated with the acetaminophen component. Fixed-dose combination preparations must be given every four to six hours and a delay in administration, especially when ordered on a "as needed (prn)" basis, may result in lower plasma opioid concentrations and, thus, the re-emergence of pain. 20 Codeine Contin® (Purdue Pharma, Pickering, ON, Canada) is a single-entity codeine preparation available as 50, 100, 150 and 200 mg controlledrelease tablets, which is designed to provide controlled delivery of codeine over a 12-hr period. It is currently the only controlled-release opioid marketed in Canada for the treatment of mild to moderate pain. The controlled-release formulation has demonstrated equivalent bioavailability to immediate-release tablet or liquid codeine formulations in single dose and steady-state studies. 21 In acute pain models, the median time to onset of analgesia with controlled-release codeine was 30 to 40 min, similar to immediaterelease preparations. Following ambulatory surgery, long-acting analgesics may have advantages compared to short-acting analgesics. The study was designed to evaluate the efficacy, safety and benefits of controlled-release codeine compared with acetaminophen plus codeine in the control of postoperative pain following laparoscopic cholecystectomy. Methods The study was conducted at the day surgery unit (DSU), Toronto Western Hospital. Male and female patients ($ 18 yr) scheduled to undergo laparoscopic cholecystectomy were eligible for enrollment. Both the general and local anesthesia during the procedure were standardized for all patients. Study patients were admitted to the postanesthetic care unit (PACU) following surgery and later transferred to the DSU for complete recovery before being discharged home. When patients reported a visual analogue scale (VAS) pain intensity > 40 mm, but were still unable to tolerate oral analgesics, fentanyl (12.5–50 µg) iv boluses were given to titrate to a VAS # 40 mm. Patients who satisfied the PACU discharge criteria (Aldrete score $ 9), 22,23 were discharged to the DSU, where they were monitored for a short time and subsequently, discharged from hospital. Postoperative oral analgesics were initiated when the patient was able to tolerate oral medication and when VAS $ 40 mm was reported. Patients were randomized to receive either active controlled-release codeine (CC) every 12 hr or active acetaminophen plus codeine (A/C; 300 mg/30 mg) every six hours during the 48hr study period. Study blinding was maintained using the double-dummy technique, with matching placebo. All patients were administered study medication according to a structured dose de-escalation schedule: day one: CC 150 mg every 12 hr or A/C two tablets every six hours and day two: CC 100 mg every 12 hr or A/C 1 tablet every six hours. Patients who reported uncontrolled pain (VAS $ 40 mm) following the appropriate dose of study medication while in-hospital were administered rescue medication in the form of fentanyl (12.5–50 µg iv bolus). No opioids other than the test medication and rescue medication were administered once the patient received the first dose of study medication. Patients who reported pain uncontrolled by the investigational study medication and rescue medication were withdrawn from the study and provided alternative treatment. Pain intensity was assessed at 0.5, one, two, three, and four hours, at discharge and three times a day (7–9 a.m., 1–3 p.m. and 7–9 p.m.) using a 100 mm VAS, and a five-point categorical pain intensity scale. Baseline pain intensity was designated as the first assessment of pain intensity $ 40 mm indicated by a patient who was able to tolerate oral analgesics. The extent of pain relief was also rated on a five-point categorical scale. At the end of the study, the study investigator evaluated the overall level of pain relief experienced by the patient on a four-point categorical scale and patients were asked to complete the brief pain inventory (BPI) - short form. 24 Study patients completed three measures of patient satisfaction at the end of the study period: the level of satisfaction, willingness to use the same type of medication in the future and willingness to recommend this medication to someone else. Adverse events were collected during scheduled visits and in the daily diary, categorized by intensity (mild, moderate or severe) and the likelihood of a causal relationship to the study medication was documented. Patients were withdrawn at any time if considered medically necessary or upon patient request. A sample size calculation of a minimum of 35 patients per treatment group was based on detecting a 10 mm VAS difference between treatments, accounting for baseline pain, along with the assumption of a type I error rate of 0.05 and type II error of 20 (80%) power for testing a two-tailed hypothesis. The efficacy analysis included all patients who had received at least one dose of study medication and did not receive parenteral rescue medication for at least one hour following the first dose of study medication – in order to evaluate the onset of the oral preparations; all patients randomized to treatment were assessed for safety. Demographic data were compared by treatment using descriptive statistics. Daily mean pain intensity scores (VAS, categorical) and daily mean pain relief scores were compared by treatment using multivariate repeated measures analysis of variance. Overall scores were compared with analysis of covariance using baseline pain intensity (pain intensity prior to first study medication dose) as the covariate. While in hospital, patients receiving rescue medication had their pain intensity and pain relief scores at the time of rescue carried forward for one hour, the appropriate time interval of analgesia afforded by the rescue medication. For the first four-hour period in the study, the following additional pain assessment scores were derived for each patient: pain intensity difference, sum of pain intensity difference, sum of ordinal pain relief and were compared by treatment using analysis of covariance with baseline pain intensity as the covariate. The time to onset of analgesia was defined as the first time point at which a non-zero ordinal pain relief score occurred. The number of doses of rescue fentanyl were compared using the Kruskal-Wallis test. The occurrence of adverse events was compared by treatment using Fisher's exact test. The BPI scores were compared by repeated measures analysis of variance by day and overall scores were compared by analysis of covariance. Patient global satisfaction ratings, intention to return, intention to recommend, and physician's overall pain relief rating were compared by treatment using the Cochrane-Mantel-Haenzel test. Results Eighty-four patients were enrolled in the study; 42 patients in each group. Sixty-nine patients were evaluable for efficacy and safety; 33 in the CC group and 36 in the A/C group. The mean age in the CC group was 48.9 ± 14.2 and 47.5 ± 16.5 yr in the A/C group. The CC and A/C groups were similar with respect to other demographic and clinical characteristics. For completed patients, three patients voluntarily withdrew due to lack of pain following at least one dose of CC; two patients were lost to follow-up; two patients withdrew due to adverse events and two patients withdrew due to inadequate pain control in the CC group. In the A/C group, one patient voluntarily withdrew due to lack of pain following at least one dose of A/C; four patients withdrew due to inadequate pain control; one patient was lost to follow-up, and one patient withdrew due to adverse events. While in hospital, three patients in the CC group and five patients in the A/C group required fentanyl rescue. The mean daily dose (µg) of fentanyl rescue during the CC and A/C treatment was 2.3 ± 7.3 and 5.7 ± 16.9, respectively (P = 0.4464). The median number of doses of rescue fentanyl taken per day for CC and A/C were 0 (range 0–1) and 0 (range 0–2), respectively (P = 0.4957). The mean VAS baseline pain intensities (prior to taking study medication) were 53.8 ± 10.3 and 55.8 ± 13.1 for CC and A/C, respectively (P = 0.4919). The Figure shows the mean daily VAS pain intensity scores over the 48 hr evaluation period. The mean VAS pain intensity at one-half hour following the first dose was significantly reduced from baseline in both groups (P = 0.0001) and there was no difference between the two treatments (CC: 29.5% and A/C: 29.4%, P = 0.7439). The difference from baseline at one, two, three, and four hours post dose was also statistically significant for both treatments. The VAS pain scores at discharge were reduced 59% and 56% from baseline, respectively (P = 0.61). Discharge times were similar in the two treatment groups. None of the patients were readmitted following discharge from hospital. The time of onset was defined as the first assessment time for which a non-zero pain relief score was recorded. The mean onset times for CC and A/C treatment groups were 0.5 ± 0.0 and 0.5 ± 0.10 hr, respectively (P = 0.17). The BPI was completed at the end of the 48-hr study period. Patients reported similar levels of pain intensity and functionality (with activities of daily living) on composite scales (pain: P = 0.4344 and function: P = 0.6564). Global ratings of patient satisfaction showed similar levels of satisfaction for both groups (CC: 2.4 ± 0.8, A/C: 2.2 ± 0.9, P = 0.4664) and intention for future use and recommendation of the two treatments were also similar, P = 0.9515 and P = 0.6565, respectively. At least moderate satisfaction was reported with CC by 88% of patients, compared to 72% of patients receiving A/C (P = 0.17). The most common adverse events reported by patients were nausea, dizziness, constipation, emesis and pruritus. There was no difference between treatments in the incidence of adverse effects. There were three serious adverse events reported in the study. In the CC treatment group, one patient, initially considered to be a candidate for same-day surgery, had failed to report a pre-existing condition of sleep apnea, which necessitated an overnight stay following the surgery. In the A/C treatment group, two patients reported adverse events. One patient developed a postoperative ileus, which was treated and the patient fully recovered. The second patient was hospitalized due to uncontrolled pain due to stones in the common bile duct. An endoscopic retrograde cholangiopancreatography was performed and the patient fully recovered. Discussion Ambulatory surgery accounts for a large and everincreasing share of surgical procedures. The goal of ambulatory surgery is to provide efficient care of high quality, both during the preoperative and perioperative periods. Unanticipated readmission following same-day discharge is a significant complication and pain is a significant predictor. 25,26 A recent study has shown that the best predictor of severe pain at home in day surgery patients was inadequate pain control during the first few hours following the surgery. 19 A further complication may be due to the failure of patients to use pain medication as needed. Beauregard et al. (1998) reported that 32% of day surgery patients did not take any pain medication during the first 24 hr following discharge. 19 The most common concerns patients had about using pain medication were fear of drug addiction and side effects. Patients expressed the same concerns about taking their opioid analgesics in an ambulatory surgery study by Reuben et al. (1999). 20 These issues highlight the importance for health-care providers to discuss issues about opioid use, such as clarifying the low risk of addiction, and to provide clear and explicit instructions to patients about the schedule of their pain medication and management of side effects. Postoperative pain is one of the main postoperative adverse outcomes that causes distress to patients and can have a deteriorative effect on the recovery of the patient. 27 Bisgaard et al. (2001) studied limiting factors for convalescence after uncomplicated laparoscopic cholecystectomy and recommended that improved pain relief may further reduce convalescence. 28 These data strongly suggest that there is a need for adequate analgesia in the early postoperative period, and continued analgesia over several days following surgery using easy-to-follow dosage regimens to facilitate use of pain medication. Opioid analgesics are the cornerstone of pharmacological postoperative pain management, especially for surgical procedures that cause moderate to severe pain. Opioids may be administered by a variety of routes; oral dosing is usually the most convenient and least expensive route of administration. It is appropriate as soon as the patient can tolerate oral intake and is the mainstay of pain management in the ambulatory surgical population. 16 Controlled-release codeine has been shown to provide similar levels of analgesia compared to immediate-release codeine preparations. A perceived issue by clinicians about the use of controlled-release opioids for shorter-term pain is that the onset of analgesia is substantially slower than immediate-release preparations. This study confirmed previous research demonstrating that the mean onset of pain relief with this formulation of controlled-release codeine occurs within one hour of initial dosing, which is similar to the onset for acetaminophen/codeine combination preparations. A prompt onset of analgesia, similar to immediate-release preparations, has also been demonstrated for controlled-release oxycodone. 29,30 This profile suggests that controlled-release codeine or oxycodone may be useful in the treatment of pain caused by acute traumatic injuries lasting a few days or more. All patients experienced a significant reduction in their pain scores from baseline at one half-hour postfirst dose (-30% of baseline for CC and A/C groups), which continued to decline over the next four hours. Patients reported a stepwise reduction in pain intensity over the 48 hr study period. The use of rescue medication prior to discharge from PACU was low (CC: 7% and A/C: 12%). At discharge, patients reported an overall decrease in their pain scores of approximately 59% for controlled-release codeine and 56% for acetaminophen plus codeine compared with baseline. Furthermore, on average, patients reported pain intensity levels below 40 mm from the time of the first half-hour assessment until the end of the 48-hr study period. Controlled-release codeine was well tolerated by the patients, who experienced typical opioid-related adverse events. The results of this study suggest that the fixed dose de-escalation (150 mg every 12 hr controlled-release codeine day one; 100 mg every 12 hr controlledrelease codeine day two) provided adequate pain control during the postoperative period for most patients. There was a significant reduction in pain intensity during the early postoperative period with controlledrelease codeine 150 mg every 12 hr that was similar to treatment with acetaminophen plus codeine preparations. Although the dosage of controlled-release codeine was decreased from 150 mg every 12 hr to 100 mg every 12 hr on postoperative day two, patients continued to report levels of pain intensity below 40 mm and did not require hospital readmission or study withdrawal for unrelieved pain. These data suggest that the dose de-escalation utilized in this study was appropriate and provided adequate analgesia. Similarly a tapering dose of controlled-release oxycodone in patients undergoing outpatient anterior cruciate ligament surgery has been shown to improve postoperative sleep patterns and overall analgesic efficacy compared to shorter-acting opioid analgesic preparations. 20 Use of controlled-release opioids, in combination with local anesthetic infiltration and adjuvant agents, has been suggested for the management of severe postoperative pain in patients undergoing more involved surgical procedures, patients undergoing more painful procedures, or those patients who might otherwise be expected to have a high postoperative opioid dose requirement. 31 The potential advantages of controlled-release codeine compared to immediate-release preparations in the treatment of acute pain include an extended duration of action, more uniform plasma concentrations and clinical effects, a reduced dosing frequency with greater convenience, improved compliance, and uninterrupted night-time sleep, thereby providing the potential for more effective continuous postoperative analgesia. The results of this study demonstrate that controlled-release codeine given every 12 hr is effective in the treatment of postoperative pain following laparoscopic cholecystectomy. Considering earlier reports of the propensity for patients to use significantly less medication than may be required to relieve pain when taking short-acting preparations on a as-needed basis, 19 a twice daily controlled-release single entity opioid may be a valuable analgesic to improve compliance, and therefore facilitate greater levels of pain control. Postoperative pain in ambulatory surgical patients in the hospital and at home should not be underestimated. New analgesic techniques, such as the use of controlled-release opioids, that are effective and do not increase the incidence of postoperative adverse outcomes should be considered. References 1 Cuschieri A. Laparoscopic cholecystectomy: indications, technique and results, pros and cons. Dig Surg 1991; 8: 104–7. 2 Jakimowicz JJ. Cholecystectomy - the 'golden standard' treatment for cholecystolithiasis: the evolution of surgical technique. Dig Surg 1991; 8: 71–5. 3 Hospital Morbidity Database, Canadian Institute for Health Information (CIHI). Ontario Ministry of Health, 2002. 4 Anonymous. A prospective analysis of 1518 laparoscopic cholecystectomies. The Southern Surgeons Club. N Engl J Med 1991; 324: 1073–8. 5 Berci G, Sackier JM. The Los Angeles experience with laparoscopic cholecystectomy. Am J Surg 1991; 161: 382–4. 6 Michaloliakou C, Chung F, Sharma S. Preoperative multimodal analgesia facilitates recovery after ambulatory laparoscopic cholecystectomy. Anesth Analg 1996; 82: 44–51. 7 Joshi GP. Postoperative pain management. Int Anesthesiol Clin 1994; 32: 113–26. 8 Joris J, Thiry E, Paris P, Weerts J, Lamy M. Pain after laparoscopic cholecystectomy: characteristics and effect of intraperitoneal bupivacaine. Anesth Analg 1995; 81: 379–84. 9 Joris J, Cigarini I, Legrand M, et al. Metabolic and respiratory changes after cholecystectomy performed via laparotomy or laparoscopy. Br J Anaesth 1992; 69: 341–5. 10 Collins KM, Docherty PW, Plantevin OM. Postoperative morbidity following gynaecological outpatient laparoscopy. A reappraisal of the service. Anaesthesia 1984; 39: 819–22. 11 Edwards ND, Barclay K, Catling SJ, Martin DG, Morgan RH. Day case laparoscopy: a survey of postoperative pain and an assessment of the value of diclofenac. Anaesthesia 1991; 46: 1077–80. 12 Graf DF, Pandit SK, Kothary SP, Freeland GR. A double-blind comparison of orally administered ciramadol and codeine for relief of postoperative pain. J Clin Pharmacol 1985; 25: 590–5. 13 Brunelle RL, George RE, Sunshine A, Hammonds WD. Analgesic effect of picenadol, codeine, and placebo in patients with postoperative pain. Clin Pharmacol Ther 1988; 43: 663–7. 14 Gertzbein SD, Tile M, McMurty RY, et al. Analysis of the analgesic efficacy of acetaminophen 1000 mg, codeine phosphate 60 mg, and the combination of acetaminophen 1000 mg and codeine phosphate 60 mg in the relief of postoperative pain. Pharmacotherapy 1986; 6: 104–7. 15 Forbes JA, Bates JA, Edquist IA, et al. Evaluation of two opioid-acetaminophen combinations and placebo in postoperative oral surgery pain. Pharmacotherapy 1994; 14: 139–46. 16 Acute Pain Management Guideline Panel. Acute Pain Management: Operative or Medical Procedures and Trauma. Clinical Practice Guidelines. AHCPR Pub No. 92-0032, Rockville, MD: Agency for Health Care Policy and Research, Public Health Service. U.S. Department of Health and Human Services. February 1992. 17 Narchi P, Benhamou D, Fernandez H. Intraperitoneal local anaesthetic for shoulder pain after day-case laparoscopy. Lancet 1991; 338: 1569–70. 18 Riedel HH, Semm K. The post-laparoscopic pain syndrome (author's syndrome) (German). Geburtshilfe Frauenheilkd 1980; 40: 635–43. 19 Beauregard L, Pomp A, Choiniere M. Severity and impact of pain after day-surgery. Can J Anaesth 1998; 45: 304–11. 20 Reuben SS, Connelly NR, Maciolek H. Postoperative analgesia with controlled-release oxycodone for outpatient anterior cruciate ligament surgery. Anesth Analg 1999; 88: 1286–91. 21 Band CJ, Band PR, Deschamps M, Besner JG, Coldman AJ. Human pharmacokinetic study of immediaterelease (codeine phosphate) and sustained-release (Codeine Contin) codeine. J Clin Pharmacol 1994; 34: 938–43. 22 Aldrete JA, Kroulik D. A postanesthetic recovery score. Anesth Analg 1970; 49: 924–34. 23 Aldrete JA. The post-anesthesia recovery score revisited (Letter). J Clin Anesth 1995; 7: 89–91. 24 Cleeland CS, Ryan KM. Pain assessment: global use of the brief pain inventory. Ann Acad Med Singapore 1994; 23: 129–38. 25 Kinnard P, Lirette R. Outpatient orthopedic surgery: a retrospective study of 1996 patients. Can J Surg 1991; 34: 363–6. 26 Fortier J, Chung F, Su J. Unanticipated admission after ambulatory surgery: a prospective study. Can J Anaesth 1998; 45: 612–9. 27 Jin FL, Chung F. Postoperative pain - a challenge for anaesthetists in ambulatory surgery. Can J Anaesth 1998; 45: 293–6. 28 Bisgaard T, Klarskov B, Rosenberg J, Kehlet H. Factors determining convalescence after uncomplicated laparoscopic cholecystectoymy. Arch Surg 2001; 136; 917–21. 29 Sunshine A, Olson NZ, Colon A, et al. Analgesic efficacy of controlled-release oxycodone in postoperative pain. J Clin Pharmacol 1996; 36: 595–603. 30 Mandema JW, Kaiko RF, Oshlack B, Reder RF, Stanski DR. Characterization and validation of a pharmacokinetic model for controlled-release oxycodone. Br J Clin Pharmacol 1996; 42: 747–56. 31 Crews JC. Multimodal pain management strategies for office-based and ambulatory procedures. JAMA 2002; 288: 629–32.
BANK OF BHUTAN LIMITED (Incorporated under Company Act of the Kingdom of Bhutan, 2000) REGISTERED HEAD OFFICE: PHUENTSHOLING, BHUTAN APPLICATION FORM FOR TELE-BANKING FACILITIES Date: DD-MM-YYYY TO: The Branch Manager, Bank of Bhutan Limited, _____________________ (Branch Name). (PLEASE COMPLETE THE FORM IN CAPITAL BLOCK LETTERS SO THAT YOUR INSTRUCTIONS ARE EASY TO READ) Applicant's Name: With Salutation (Lyonpo/Dasho/Dr./Mr./Mrs./….) Date of Birth: Nationality: Gender: (Tick One) Male Female Citizenship/ Passport/ Work Permit No: Permanent Address Present Address: Full official Address for correspondence Village: Geog: Dungkhag Dzongkhag Telephone O): E-mail : Telephone (R): Mobile No: My Account Types Account Numbers (Please fill in all the possible nos) Savings Account No. 1. 2. 3. Current Deposit No. 1. 2. 3. Over Draft 1. 2. 3. Fixed/ Recurring Deposit No. 1. 2. 3. Loans 1. 2. 3. Others 1. 2. 3. 4. 5. 6. Security Question List 1. Place of birth 2. What is your favourite sports team? 3. What is your favourite place to visit? 4. What is the name of your favourite movie? 5. What is your mother’s `name? * Please notethat for the purpose of identification we will ask for three or more of the above information when receiving telephone instructions * General Conditions: Declaration: 1. Each joint account holder desirous of availing the service shall use a separate application form. I hereby declare that I have read and understood the document containing the “Terms & Conditions” and “disclaimer” governing Bank of Bhutan’s Contact Center Services as provided in the overleaf and Bank’s Website – www.bob.bt a nd hence I accept the same. Further, I also agree that the services and requests executed in the above mentioned accounts through call center services under my account number shall be legally binding on me and I am responsible for maintenance of secrecy and confidentiality of the information passed on to me by the Bank through Internet/Mobile/Email/Telephone. 2. The account number and customer details should be as per the record maintained by the BoBL . 3. Transaction rights are strictly as per mode of operation registered in BoBL records. 4. The Contact Center Services is provided only in case of single and either or survivor type of joint accounts. Date: SPECIMEN SIGNATURE APPLICANT’S SIGNATURE Affix Legal Stamp FOR BRANCH OFFICE USE ONLY Application Ref No.: Customer ID ___________________ Signatures, account no. and names of the applicant/s verified and found correct as per the records of the BoBL. Recommended and permitted for providing Tele banking services. Date: Branch Stamp Signature of Officer (SS No.) Signature of Branch in-charge TELE BANK REGISTERATION FORM Bank of Bhutan Ltd, Samdrup Lam, Post Box No. 75,Phuentsholing Free Telephone No 1095 Tel: +975-5-252225/252404 /, Fax: +975-5-254838 Website: www.bob.bt Email: firstname.lastname@example.org Page1of2 BANK OF BHUTAN TELE BANKING: TERMS AND CONDITIONS These terms and conditions specify the rights and duties of a customer (you) and the BOBL (us) in connection with your use of the Tele Banking Service (Service). These terms and conditions are legally binding upon the customer. Therefore, it is important to read them carefully before you sign the application. The terms and conditions apply to the individual accounts that you may access while availing the service. If there is a conflict between the terms and conditions of this Agreement and any other relevant terms and conditions, these new terms and conditions shall prevail. These terms and conditions relate to: 1. Individual accounts in your sole name; and 2. Joint accounts but only if these may be operated by Either or Survivor. By signing the form in these terms and conditions, you agree to be legally bound by the same. These terms and conditions are subject to change from time to time. Any changes shall be notified to you online/in writing. CUSTOMER COMPLIANCE The requirements as prescribed by BoBL for the purpose of due authentication shall be complied and confirmed by the customer. The customer hereby do agree to conform to the prescribed authentication procedure and security measures required for availing of balance enquiry or account instructions and shall undertake all reasonable measures to ensure that the personal details/ TPIN/ FTPIN are not revealed to any third party, whatsoever. The various compliance in respect of customers is as follows: 1. Herein after the Tele-Banking shall be called asBOBCALL 2. The Customer shall be allotted a 6 digit TPIN/FTPIN by the BoBL in the first instance. The user shall be required to change the TPIN/FTPIN assigned by BoBL on accessing the BOBCALL services for the first time. As a safety measure, the user shall change the TPIN/FTPIN as frequently as possible thereafter. In addition, BoBL may at its discretion advise the user to adopt such other means of authentication as it may deem fit. 3. The customer shall be bound by the instructions he/she has initiated in the BOBCALL, and the Bank does not have any liability when his/her instructions using the instructions are carried out. BoBL shall be deemed to have been duly authorized by the customer for carrying out the instructions of the customer on BOBCALL. 4. The customer understands and agrees that the transaction pin is for the purpose of authenticating the transaction and shall have same effect as the specimen signature of authorized signatory of the customer and the customer shall be bound by the transactions initiated by the use of transaction pin. . 5. In case the User forgets the Transaction Pin, a new Transaction Pin may be obtained from the BoBL based on the duly written request. Such replacements shall not be construed / deemed as the commencement of any new contract whatsoever. In such an event, the BoBL shall provide the new Transaction Pin within a reasonable period of time. However, till such time no transactions shall be effected. The BoBL may at its discretion levy charges for generation of new Transaction Pin. 6. The customers are totally responsible and shall exercise due diligence in respect of confidentiality/safekeeping/secrecy of the Transaction pin and User ID. If third party gains access to the service in the customer accounts, the customer shall be responsible the BoBL shall be indemnified against any liability, cost or damages arising out of claims or suits relating to such access and use. 7. The customer shall not attempt to access the information and other details stored with BoBL through any means other than the Tele-banking services provided. The customer shall also ensure that unauthorized persons do not access his/her/ their/its account(s). In case the third party succeeds in getting an order against the BoBL from the court, Forum, etc., due to violation of the above by the customer, then the customer agrees to indemnify the BoBL for the loss caused to the BoBL by such violation. 8. In case of accounts opened for and on behalf of minors, the natural guardian shall undertake to give all instructions relating to the operation of the account and further undertake not to reveal the personal information/ TPIN/FTPIN to the minor. In such an event, the transaction shall be deemed to have been undertaken by the guardian. 9. The BoBL shall have the right of set-off and lien, irrespective of any other lien or charge, present as well as future on the deposits held in the user's accounts whether in single name or joint name(s), to the extent of all outstanding dues, whatsoever, arising as a result of the BOBCALL service extended to and/or used by the customers/users. NOTICE: The method of giving notice by the BoBL and the customer are as under: 1. Electronically to the mail box of either party. 2. In writing by delivering them by hand/post/courier/fax/email to the last address given by the customer and in the case of BoBL to the Relationship Manager to whom the customers' account is linked or to the Branch/s where he/she is maintaining account. 3. Further, the BoBL may publish notice of general nature on its website, which is applicable to all customers. Such notices shall have the same effect as a notice serviced individually to each customer. CHARGES The BoBL reserves the right to charge and recover from the user, service charge for providing the BOBCALL service (including but not limited to the right of charging the user for the use of funds transfer). The user hereby authorizes BoBL to recover the service charge by debiting one of the Accounts of the user or by sending a bill to the user who shall be liable to make the payment within the specified period. Failure to do so shall result in recovery of the service charge by the BoBL in a manner as the BoBL may deem fit along with such interest, if any, and/or suspension of the facility of BOBCALL without any liability to the BoBL. OPERATING TIMES, CHANGES AND DISRUPTIONS The Service shall usually be available for use at the times given in the User Guidance or at other times notified to you. You accept, however, that routine maintenance requirements, excess demand on the systems and circumstances beyond our control may mean it is not always possible for the Service to be available during its normal operating hours. In connection with the Service, we are entitled at any time to: 1. Change the mode of operation; or 2. Add to, remove or otherwise change, end or suspend any of the facilities available; or end the Service. If the BoBL decides to change or end the Service, the BoBL shall try to give you prior notice. The BoBL shall in no way be liable in case of such termination / end of service and / or for any loss caused / suffered in this regard. EXCLUSIVITY CLAUSE: The customer hereby agrees to use the Contact Center Services strictly for his/her/their/its internal use and not for any illegal purpose or in any manner inconsistent with the terms and conditions. The customer agrees not to use, distribute or dispose of any information obtained from the contact center in any manner that could compete with the business of BoBL or otherwise is against the interests of BoBL. The customer agrees to notify BoBL in writing promptly upon becoming aware of any unauthorized access or use of the Contact center services by any party or any claim that contact center infringes upon any copyright, trademark or contractual, statutory or common law rights. The customer is allowed to make calls and obtain information in electronic mail box from the contact center on verification from the contact center employees and print individual pages on paper, photocopy and store such paper in an electronic form on desk for his/her/their/its exclusive personal use only. The customer further acknowledges that all the intellectual property provided by the contact center and the service provided continues to vest with BoBL and the customer shall not claim any right hereafter, whatsoever. INDEMNITY/FORCE MAJUERE The customer specifically agrees to hold BoBL harmless from any and all claims and agrees that BoBL shall not be liable for any loss, actual or perceived, caused directly or indirectly by government restriction, market regulation, war, strike, virus attack, equipment failure, communication line failure, system failure, data corruption, security failure, unauthorized access, theft or any problems technological or otherwise or other condition beyond BoBL's control, that might prevent the customer from entering or BoBL from executing an instruction, order or direction. Customer further agrees that customer will not be compensated by BoBL for the orders, instructions or directions which could not be executed. CLOSURE OF ACCOUNT The customer agrees that he/she/they/it shall be able to exercise the right to close the account(s) with BoBL, only if there is no obligation pending to be met by the customer towards BoBL. RIGHTS RESERVED The customer hereby acknowledges and agrees that any rights not expressed herein are reserved. The customer also agrees that the terms and conditions are subject to change from time to time and all the customers shall be automatically bound by such changes, irrespective of the time taken in displaying on the net. In the event of failure to intimate the same, the BoBL shall not be responsible for any action by the user whose authority has been revoked by the Customer. CALL RECORDING The customer hereby acknowledges and agrees that BoBL may record the voice and calls for quality, monitoring and training purpose, notwithstanding the termination of the BOBCALL Services. The termination of the services shall be without prejudice to any accrued right of BoBL. SURVIVAL OF OBLIGATION The duties of customers under these terms and conditions shall continue to be in full force and effect, notwithstanding the termination of the BOBCALL Services. The termination of the services shall be without prejudice to any accrued right of BoBL. NON-TRANSFERABILITY The facilities granted under BOBCALL services to customer/user are not transferable under any circumstances. ARBITRATION Any dispute arising between the parties hereto in connection with the validity, interpretation or implementation of the terms and conditions specified under this agreement, the matter shall be resolved mutually to the extent possible. If a mutual resolution is not possible, the matter shall be referred to Royal Court of Justice, Bhutan. ACCOUNT CANCELLATION In case the user closes the account with BoBL, the BoBL shall l have the right to revoke such inactive TPIN/FTPIN. Bank of Bhutan Ltd, Samdrup Lam, Post Box No. 75,Phuentsholing Tel: +975-5-252225/252404 /, Fax: +975-5-254838 Website: www.bob.bt Email: email@example.com Page2of2
Errors? firstname.lastname@example.org (The procession comes through the church. When it arrives at the altar, the celebrant and his ministers lie prostrate before the altar, the other clergy kneeling. All pray for some moments. Then the celebrant at the altar steps says the following.) COLLECT Deus, qui peccati veteris hereditariam mortem, in qua posteritatis genus omne successerat, Christi tui, Domini nostri, passione solvisti: da, ut, conformes eidem facti; sicut imaginem terrenæ naturæ necessitate portavimus, ita imaginem cælestis gratiæ sanctificatione portemus. Per eundem Christum Dominum nostrum. R. Amen. I. LESSONS: Osee 6: 1-6 Hæc dicit Dominus: In tribulatione sua mane consurgent ad me: Venite, et revertamur ad Dominum: quia ipse cepit, et sanabit nos: percutiet, et curabit nos. Vivificabit nos post duos dies: in die tertia suscitabit nos, et vivemus in conspectu eius. Sciemus, sequemurque, ut cognoscamus Dominum: quasi diluculum præparatus est egressus ejus, et veniet quasi imper nobis temporaneus, et serotinus terræ. Quid faciam tibi Ephraim? quid faciam tibi Juda? Misericordia vestra quasi nubes matutina, et quasi ros mane pertransiens. Propter hoc dolavi in prophetis, occidi eos in verbis oris mei: et judicia tua quasi lux egredientur. Quia misericordiam volui, et non sacrificium, et scientiam Dei plus quam holocausta. Habacuc 3: 2-3 Domine, audivi auditum tuum, et timui: consideravi opera tua, et expavi. In medio duorum animalium innotesceris: dum appropinquaverint anni cognosceris: dum advenerit, tempus, ostenderis. In eo, dum conturbata fuerit anima mea: in ira, misericordiæ memor eris. Deus a Libano veniet, et Sanctus de monte umbroso, et condenso. Operuit cælos maiestas ejus: et laudis ejus plena est terra. Oremus. V. Flectamus genua. R. Levate. COLLECT Deus, a quo et Judas reatus sui pænam, et confessionis suæ latro præmium sumpsit, concede novis tuæ propitiationis effectum: ut sicut in passione sua Jesus Christus Dominus noster diversa utrisque intulit stipendia meritorum; ita nobis, ablato vetustatis errore, resurrectionis suæ gratiam largiatur: Qui tecum vivit et regnat in unitate Spiritus Sancti Deus per omnia sæcula sæculorum. R. Amen. Exodus 12: 1-11 In diebus illis: Dixit Dominus ad Moysen et Aaron in terra Aegypti: Mensis iste, vobis principium mensium: primus erit in mensibus anni. Loquimini ad universum cætum filiorum Israel, et dicite eis: Decima die mensis hujus tollat unusquisque agnum per familias et domos suas. Sin autem minor est numerus, ut sufficere possit ad venscendum agnum, assumet vicinum suum qui junctus est domui suæ, juxta numerum animarum quæ sufficere possunt ad esum agni. Erit autem agnus absque macula, masculus, anniculus: juxta quem ritum tolletis et hædum. Et servabitis eum usque ad quartamdecimam diem mensis hujus: immolabitque eum universa multitudo filiorum Israel ad vesperam. Et sument de sanguine ejus, ac ponent super utrumque postem, et in superliminaribus domorum, in quibus comedent illum. Et edent carnes nocte illa assas igni, et azymos panes cum lactucis agrestibus. Non comedetis ex eo crudum quid, nec coctum aqua, sed tantum assum igni: caput cum pedibus ejus et intestinis vorabitis. Nec remanebit quidquam ex eo usque mane. Si quid residuum fuerit, igne comburetis. Sic autem comedetis illum: menta habebitis in pedibus, tenentes baculos in manibus, et comedetis festinanter: est enim Phase id est transitus Domini. Psalm 139: 2-10, 14 Eripe me, Domine, ab homine malo: a viro iniquo libera me. Qui cogitaverunt malitias in corde: tota die constituebant prælia. Acuerunt linguas suas sicut serpentis: venenum aspidum sub labiis eorum. Custodi me, Domine, de manu peccatoris: et ab hominibus iniquis libera me. Qui cogitaverunt supplantare gressus meos: absconderunt superbi laqueum mihi. Et funes extenderunt in laqueum pedibus meis, juxta iter scandalum posuerunt mihi. Dixi Domino, Deus meus es tu: exaudi, Domine, vocem orationis meæ. Domine, Domine virtus salutis meæ obumbra caput meum in die belli. Ne tradas me a desiderio meo peccatori: cogitaverunt adversus me: ne derelinquas me, ne unquam exaltentur. Caput circuitus eorum: labor labiorum ipsorum operiet eos. Verumtamen justi confitebuntur nomini tuo: et habitabunt recti cum vultu tuo. (The Passion is sung by three deacons: the first, the chronicler (C), sings the narrative, the second, called the Synagogue (S), the words of any other person, and the third (J) the words of Christ.) GOSPEL John 18: 1-40; 19: 1-42 S. Dominus sit in cordibus vestris et in labiis vestris. R. Amen. Passio Domini nostri Jesu Christi secundum Joannem. C. In illo tempore: Egressus est Jesus cum discipulis suis trans torrentem Cedron, ubi erat hortus, in quem introivit ipse, et discipuli ejus Sciebat autem et Judas, qui tradebat eum, locum: quia frequenter Jesus convenerat illuc cum discipulis suis. Judas ergo cum accepisset cohortem, et a pontificibus et pharisæis ministros, venit illuc cum laternis, et facibus, et armis. Jesus itaque sciens omnia quæ ventura erant super eum, processit, et dixit eis: J. Quem quæritis? C. Responderunt ei: S. Jesum Nazarenum. C. Dicit eis Jesus: J. Ego sum. C. Stabat autem et Judas, qui tradebat eum, cum ipsis. Ut ergo dixit eis: Ego sum: abierunt retrorsum, et ceciderunt in terram. Iterum ergo interrogavit eos: J. Quem quæritis? C. Illi autem dixerunt, S. Jesum Nazarenum. C. Respondit Jesus: J. Dixi vobis, quia ego sum: si ergo me O God who, by the Passion of Thy Christ, our Lord, hast loosened the bonds of death, that heritage of the first sin to which all men of later times did succeed: make us so conformed to Him that, as we must needs have borne the likeness of earthly nature, so we may by sanctification bear the likeness of heavenly grace. Through the same Christ our Lord. R. Amen. Thus saith the Lord: In their affliction they will rise early to Me: Come, and let us return to the Lord, for He hath taken us, and He will heal us, He will strike, and He will cure us. He will revive us after two days: on the third day He will raise us up and we shall live in His sight. We shall know and we shall follow on, that we may know the Lord. His going forth is prepared as the morning light and He will come to us as the early and the latter rain to the earth. What shall I do to thee, O Ephraim? What shall I do to thee, O Juda? Your mercy is as a morning cloud and as the dew that gæth away in the morning. For this reason have I hewed them by the Prophets, I have slain them by the words of my mouth: and thy judgments shall go forth as the light. For I desired mercy and not sacrifice: and the knowledge of God more than holocausts. O Lord, I have heard Thy hearing and was afraid: I have considered Thy works and trembled. In the midst of two animals Thou shalt be made known: when the years shall draw nigh Thou shalt be known: when the time shall come, Thou shalt be manifested. When my soul shall be in trouble, Thou wilt remember mercy, even in Thy wrath. God will come from Libanus, and the Holy One from the shady and thickly covered mountain. His majesty covered the heavens: and the earth is full of His praise. Let us pray. D. Let us kneel. R. Arise. O God, from whom Judas received the punishment of his guilt, and the thief the reward of his confession: grant unto us the full fruit of Thy clemency; that even as in His Passion, our Lord Jesus Christ gave to each a retribution according to his merits, so having taken away our old sins, He may bestow upon us the grace of His Resurrection. Who lives and reigns with God the Father, in the unity of the Holy Spirit, one God, world without end. R. Amen In those days the Lord said to Moses and Aaron in the land of Egypt: This month shall be to you the beginning of months: it shall be the first in the months of the year. Speak ye to the whole assembly of the children of Israel, and say to them: On the tenth day fo this month let every man take a lamb by their families and houses. But if the number be less than may suffice to eat the lamb, he shall take unto him his neighbor that joineth to his house, according to the number of souls which may be enough to eat the lamb. And it shall be a lamb without blemish, a male, of one year: according to which rite also you shall take a kid. And you shall keep it until the fourteenth day of this month: and the whole multitude of the children of Israel shall sacrifice it in the evening. And they shall take of blood thereof, and put it upon both the side posts, and on the upper door posts of the houses, wherein they shall eat it. And they shall eat the flesh that night roasted at the fire: and unleavened bread with wild lettuce. You shall not eat thereof any thing raw, nor boiled in water, but only roasted at the fire. You shall eat the head with the feet and entrails thereof. Neither shall there remain any thing of it until morning. If there be an thing left, you shall burn it with fire. And thus you shall eat it: You shall gird your reins, and you shall have shæs on your feet, holding staves in your hands, and you shall eat in haste; for it is the Phase that is the Passage of the Lord. Deliver me, O Lord, from the evil man: rescue me from the unjust man. Who have devised iniquities in their hearts: all the day long they designed battles. They have sharpened their tongues like a serpent; the venom of asps is under their lips. Keep me, O Lord, from the hand of the wicked: and from unjust men deliver me. Who have proposed to supplant my steps. The proud have hidden a net for me. And they have stretched out cords for a snare for my feet; they have laid for me a stumblingblock by the wayside. I said to the Lord: Thou art my God. Hear, O Lord, the voice of my supplication. O Lord, Lord, the strength of my salvation: overshadow my head in the day of battle. Give me not up from my desire to the wicked: they have plotted against me. Do not Thou forsake me, lest at any time they should triumph. The head of them compassing me about: the labor of their lips shall overwhelm them. But the just shall give glory to Thy Name: and the upright shall dwell with Thy countenance. P. May the Lord be in your hearts and on your lips. R. Amen. The Passion of Our Lord Jesus Christ according to John. C. At that time Jesus went forth with His disciples over the brook Cedron, where there was a garden, into which He entered with His disciples. And Judas also, who betrayed Him, knew the place: because Jesus had often resorted thither together with His disciples. Judas therefore having received a band of soldiers and servants from the chief priests and the Pharisees, cometh thither with lanterns and torches and weapons. Jesus therefore, knowing that all things that should come upon Him, went forth and said to them: J. Whom seek ye? C. They answered Him: S. Jesus of Nazareth. C. Jesus saith to them: J. I am He. C. And Judas also, who betrayed Him, stood with them. As soon therefore as He had said to them: J. I am He; they went backward and fell to the ground. Again therefore He asked them: J. Whom seek ye? C. And quæritis, sinite hos abire. C. Ut impleretur sermo, quem dixit: Quia quos dedisti mihi, non perdidi ex eis quemquam. Simon ergo Petrus habens gladium eduxit eum: et percussit pontificis servum: et abscidit auriculam ejus dexteram. Erat autem nomen servo Malchus. Dixit ergo Jesus Petro: J. Mitte gladium tuum in vaginam. Calicem, quem didit mihi Pater, non bibam illum? C. Cohors ergo, et tribunus, et ministri Judæorum comprehenderunt Jesum, et ligaverunt eum: et adduxerunt eum ad Annam primum; erat autem socer Caiphæ, qui erat pontifex anni illius. Erat autem Caiphas, quo consilium dederat Judæis: Quia expedit unum hominem mori pro populo. Sequebatur autem Jesum Simon Petrus, et alius discipulus. Discipulus autem ille erat notus pontifici, et introivit cum Jesu in atrium pontificis. Petrus autem stabat ad ostium foris. Exivit ergo discipulus alius, qui erat notus pontifici, et dixit ostiariæ: et introduxit Petrum. Dicit ergo Petro ancilla ostiaria: S. Numquid et tu ex discipulis es hominis istius? C. Dicit ille: S. Non sum. C. Stabant autem servi, et ministri ad prunas, quia frigus erat, et calefaciebant se. Erat autem cum eis et Petrus stans, et califaciens se. Pontifex ergo interrogavit Jesum de discipulis suis, et de doctrina ejus. Respondit ei Jesus: J. Ego palam locutus sum mundo: ego semper docui in synagoga, et in templo, quo omnes Judæi conveniunt: et in occulto locutus sum nihil. Quid me interrogas? interroga eos, qui audierunt quid locutus sim ipsis: ecce hi sciunt quæ dixerim ego. C. Hæc autem cum dixisset, unus assistens ministrorum dedit alapam Jesu, dicens: S. Sic respondes pontifici? C. Respondit ei Jesus: J. Si male locutus sum, testimonium perhibe de malo: si autem bene, quid me cædis? C. Et misit eum Annas ligatum ad Caipham pontificem. Erat autem Simon Petrus stans, et calefaciens se. Dixerunt ergo ei: S. Numquid et tu ex discipulis ejus es? C. Negavit ille, et dixerit: S. Non sum. C. Dicit ei unus ex servis pontificis, cognatus ejus, cujus abscidit Petrus auriculam: S. Nonne ego te vidi in horto cum illo? C. Iterum ergo negavit Petrus: et statim gallus cantavit. Adducunt ergo Jesum a Caipha in prætorium. Erat autem mane: et ipsi non introierunt in prætorium, ut non contaminarentur, sed ut manducarent pascha. Exivit ergo Pilatus ad eos foras, et dixit: S. Quam accusationem affertis adversus hominem hunc? C. Responderunt, et dixerunt ei: S. Si non esset hic malefactor, non tibi tradidissemus eum. C. Dixit ergo eis Pilatus: S. Accipite eum vos, et secundum legem vestram judicate eum. C. Dixerunt ergo ei Judæi: S. Nobis non licet interficere quemquam. C. Ut sermo Jesu impleretur, quem dixit, significans qua morte esset moriturus. Introivit ergo iterum in prætorium Pilatus et vocavit Jesum, et dixit ei: S. Tu es Rex Judæorum? C. Respondit Jesus: J. A temetipso hoc dicis, an alii dixerunt tibi de me? C. Respondit Pilatus: S. Numquid ego Judæus sum? Gens tua, et pontifices tradiderunt te mihi: quid fecisti? C. Respondit Jesus: J. Regnum meum non est de hoc mundo. Si ex hoc mundo esset regnum meum, ministri mei utique decertarent ut non traderer Judæis: nun autem regnum meum non est hinc. C. Dixit itaque est Pilatus: S. Ergo Rex es tu? C. Respondit Jesus: J. Tu dicis quia Rex sum ego. Ego in hoc natus sum, et ad hoc veni in mundum, ut testimonium perhibeam veritati: omnis, qui est ex veritate, audit vocem meam. C. Dicit ei Pilatus: S. Quid est veritas? C. Et cum hoc dixisset, iterum exivit ad Judæos, et dicit eis: S. Ego nullam invenio in eo causam. Est autem consuetudo vobis ut unum dimittam vobis in Pasha: vultis ergo dimittam vobis Regem Judæorum? C. Clamverunt ergo rursum omnes, dicentes: S. Non hunc, sed Barabbam. C. Erat autem Barabbas latro. Tunc ergo apprehendit Pilatus Jesum, et flagellavit. Et milites plectentes coronam de spinis, imposuerunt capiti ejus: et veste purpurea circumdederunt eum. Et veniebant ad eum, et dicebant: S. Ave Rex Judæorum. C. Et dabant ei alapas. Exivit ergo iterum Pilatus foras, et dicit eis: S . Ecce adduco vobis eum foras, ut cognoscatis quia nullam invenio in eo causam. C. Exivit ergo Jesus portans coronam spineam, et purpureum vestimentum. Et dicit eis: S. Ecce homo. C. Cum ergo vidissent cum pontifices et ministri, clamabant, dicentes: S. Crucifige, crucifige eum. C. Dicit eis Pilatus: S. Accpipte eum vos, et crucifigite: ego enim non invenio in eo causam. C. Responderunt ei Judæi: S. Nos legem habemus, et secundum legem debet mori, quia Filium Dei se fecit. C. Cum ergo audisset Pilatus hunc sermonem, magis timuit. Et ingressus est prætorium iterum: et dixit ad Jesum: S. Unde es tu? C. Jesus autem responsum non dedit ei. Dicit ergo ei Pilatus: S. Mihi non loqueris? Nescis quia potestatem habeo crucifigere te, et potestatem habeo dimittere te? C. Respondit Jesus: J. Non haberes potestatem adversum me ullam, nisi tibi datum esset desuper. Propterea qui me tradidit tibi, majus peccatum habet. C. Et exinde quærebat Pilatus dimittere eum. Judæi autem clamabant, dicentes: S. Si hunc dimittis, non es amicus Cæsaris. Omnis enim qui se regem facit, contradicit Cæsari. C. Pilatus autem cum audisset hos sermones, adduxit foras Jesum, et sedit pro tribunali, in loco qui dicitur Lithostrotos, hebraice autem Gabbatha. Erat autem Parasceve Paschæ, hora quasi sexta, et dicit Judæis: S. Ecce Rex vester. C. Illi autem clamabant: S. Tolle, tolle, crucifige eum. C. Dicit eis Pilatus: S. Regem vestrum crucifigam? C. Responderunt pontifices: S. Non habemus regem, nisi Cæsarem. C. Tunc ergo tradidit eis illum ut crucifigeretur. Susceperunt autem Jesum, et eduxerunt. Et bajulans sibi crucem, exivit in eum, qui dicitur Calvariæ, locum, hebraice autem Golgotha: ubi crucifixerunt eum, et cum eo alios duos hinc et hinc, medium autem Jesum. Scripsit autem et titulum Pilatus: et posuit super crucem. Erat autem scriptum: Jesus Nazarenus, Rex Judæorum. Hunc ergo titulum multi Judæorum legerunt, quia prope civitatem erat locus ubi crucifixus est Jesus. Et erat scriptum hebraice, græce et latine. Dicebant ergo Pilato pontifices Judæorum: S. Noli scribere, Rex Judæorum, sed quia ipse dixit: Rex sum Judæorum. C. Respondit Pilatus: S. Quod scripsi, scripsi. C. Milites ergo cum crucifixissent eum, acceperunt vestimenta ejus et fecerunt quatuor partes: unicuique militi partem, et tunicam. Erat autem tunica inconsutilis, desuper contexta per totum. Dixerunt ergo ad invicem: S. Non scindamus eam, sed sortiamur de illa cujus sit. C. Ut Scriptura impleretur, dicens: Partiti sunt vestimenta mea sibi: et in vestem meam miserunt sortem. Et milites quidem hæc fecerunt. Stabant autem juxta crucem Jesu mater ejus, et soror matris ejus Maria Cleophæ, et Maria Magdalene. Cum videsset ergo Jesus matrem, et discipulum stantem, quem diligebat, dicit matri suæ: J. Mulier, ecce filius tuus. C. Deinde dicit they said: S. Jesus of Nazareth. C. Jesus answered: J. I have told you that I am He. If therefore you seek Me, let these go their way; C. That the word might be fulfilled which He said: Of them whom Thou hast given Me, I have not lost anyone. Then Simon Peter, having a sword, drew it and struck the servant of the high priest and cut off his right ear. And the name of the servant was Malchus. Jesus therefore said to Peter: J. Put up thy sword in the scabbard. The chalice which My Father hath given Me, shall I not drink it? C. Then the band and the tribune and the servants of the Jews took Jesus, and bound Him. And they led Him away to Annas first, for he was father-in-law to Caiphas, who was the high priest that year. Now Caiphas was he who had given the counsel to the Jews: that it was expedient that one man should die for the people. And Simon Peter followed Jesus: and so did another disciple. And that disciple was known to the high priest and went in with Jesus into the court of the high priest. But Peter stood at the door without. The other disciple therefore, who was known to the high priest, went out and spoke to the portress and brought in Peter. The maid therefore that was portress saith to Peter: S. Art not thou also one of this man's disciples? C. He saith: S. I am not. C. Now the servants and ministers stood at a fire of coals, because it was cold, and warmed themselves. And with them was Peter, also, standing and warming himself. The high priest therefore asked Jesus of His disciples and of His doctrine. Jesus answered him: J. I have spoken openly to the world. I have always taught in the synagogue and in the temple, whither all the Jews resort: and in secret I have spoken nothing. Why asketh thou Me? Ask them who have heard what I have spoken unto them. Behold they know what things I have said. C. And when He had said these things, one of the servants, standing by, gave Jesus a blow, saying: S. Answerest Thou the high priest so? C. Jesus answered him: J. If I have spoken evil, give testimony of the evil; but if well, why strikest thou Me? C. And Annas sent Him bound to Caiphas the high priest. And Simon Peter was standing and warming himself. They said therefore to him: S. Art not thou also one of His disciples? C. He denied it and said: S. I am not. C. One of the servants of the high priest a kinsman to him whose ear Peter cut off saith to him: S. Did I not see thee in the garden with Him? C. Again therefore Peter denied; and immediately the cock crew. Then they led Jesus from Caiphas to the governor's hall. And it was morning; and they went not into the hall, that they might not be defiled, but that they might eat the Pasch. Pilate therefore went out to them, and said: S. What accusation bring you against this man? C. They answered and said to him: S. If He were not a malefactor, we would not have delivered Him up to thee. C. Pilate therefore said to them: S. Take Him you, and judge Him according to your law. C. The Jews therefore said to him: S. It is not lawful for us to put any man to death. C. That the word of Jesus might be fulfilled, which He said, signifying what death He should die. Pilate therefore went into the hall again and called Jesus and said to Him: S. Art Thou the King of the Jews? C. Jesus answered: J. Sayest thou this thing of thyself, or have other told it thee of Me? C. Pilate answered: S. Am I a Jew? Thine own nation and the chief priests have delivered Thee up to me. What hast Thou done? C. Jesus answered: J. My kingdom is not of this world. If My kingdom were of this world, My servants would certainly strive that I should not be delivered to the Jews: but now My kingdom is not from hence. C. Pilate therefore said to Him: S. Art Thou a King then? C. Jesus answered: J. Thou sayest I am a king. For this was I born, and for this came I into the world; that I should give testimony of the truth. Every one that is of the truth heareth My voice. C. Pilate saith to Him: S. What is truth? C. And when he had said this, he went out again to the Jews and saith to them: S. I find no cause in Him. But you have a custom that I should release one unto you at the Pasch. Will you, therefore, that I release unto you the King of the Jews? C. Then cried they all again, saying: S. Not this man, but Barabbas. C. Now Barabbas was a robber. Then therefore Pilate took Jesus and scourged Him. And the soldiers platting a crown of thorns, put it upon His head; and they put on Him a purple garment. And they came to Him and said: S. Hail, King of the Jews. C. And they gave Him blows. Pilate therefore went forth again and saith to them: S. Behold, I bring Him forth unto you, that you may know that I find no cause in Him. C. Jesus therefore came forth, bearing the crown of thorns and the purple garment. And he saith to them: S. Behold the man. C. When the chief priests, therefore, and the servants had seen Him, they cried out, saying: S. Crucify Him, crucify Him. C. Pilate saith to them: S. Take Him you, and crucify Him; for I find no cause in Him. C. The Jews answered him: S. We have a law, and according to the law He ought to die, because He made Himself the Son of God. C. When Pilate, therefore, had heard this saying, he feared the more. And he entered into the hall again; and he said to Jesus: S. Whence art Thou? C. But Jesus gave him no answer. Pilate therefore saith to Him: S. Speakest Thou not to me? Knowest Thou not that I have power to crucify Thee, and I have power to release Thee? C. Jesus answered: J. Thou shouldst not have any power against Me, unless it were given thee from above. Therefore, he that hath delivered Me to thee hath a greater sin. C. And from henceforth Pilate sought to release Him. But the Jews cried out, saying: S. If thou release this Man, thou art not Cæsar's friend. For whosæver maketh himself a king speaketh against Cæsar. C. Now when Pilate had heard these words, he brought Jesus forth and sat down in the judgment seat, in the place that is called Lithostrotos, and in Hebrew Gabbatha. And it was Parasceve of the Pasch, about the sixth hour; and he saith to the Jews: S. Behold your King. C. But they cried out: S. Away with Him. Away with Him: Crucify Him. C. Pilate saith to them: S. Shall I crucify your King? C. The chief priests answered: S. We have no king but Cæsar. C. Then, therefore, he delivered Him to them to be crucified. And they took Jesus and led Him forth. And bearing His cross, He went forth to that place which is called Calvary but in Hebrew Golgotha.; where they crucified Him, and with Him two others, one on each side and Jesus in the midst. And Pilate wrote a title also: and he put it upon the cross. And the writing was: Jesus of Nazareth, the King of the Jews. This title therefore many of the Jews did read: because the place where Jesus was crucified was nigh to the city. And it was written in Hebrew, Greek, and in Latin. Then the chief priests of the Jews said to Pilate: S. Write not: The King of the Jews; but that He said: I am the King of the Jews. discipulo: J. Ecce mater tua. C. Et ex illa hora accepit eam discipulus in sua. Postea sciens Jesus quia omnia consummata sunt, ut consummaretur Scriptura, dixit: J. Sitio. C. Vas ergo erat positum aceto plenum. Illi autem spongiam plenam aceto, hyssopo circumponentes, obtulerunt ori ejus. Cum ergo accepisset Jesus acetum, dixit: J. Consummatum est. C. Et inclinato capite, tradidit spiritum. Judæi ergo quoniam Parasceve erat ut non remanerent in cruce corpora sabbato erat enim magnus dies ille sabbati) rogaverunt Pilaum, ut frangerentur eorum crura, et tollerentur. Venerunt ergo milites: et primi quidem fregerunt crura, et alterius qui crucifixus est cum eo. Ad Jesum autem cum venissent, ut viderunt eum iam mortuum, non fregerunt ejus crura: sed unus militum lancea latus ejus aperuit, et continuo exivit sanguis et aqua. Et qui vidit, testimonium perhibuit: et verum est testimonium ejus. Et ille scit, quia vera dicit: ut et vos credatis. Facta sunt enim hæc ut Scriptura impleretur: Os non comminuetis ex eo. Et iterum alia Scriptura dicit: Videbunt in quem transfixerunt. Post hæc autem rogavit Pilatum Ioseph ab Arimathæa eo quod esset discipulus Jesu, occultus autem propter metum Judæorum, ut tolleret corpus Jesu. Et permisit Pilatus. Venit ergo, et tulit corpus Jesu. Venit autem et Nicodemus, qui venerat ad Jesum nocte primum, ferens mixturam myrrhæ, et alæs, quasi libras centum. Acceperunt ergo corpus Jesu, et ligaverunt illud linteis cum aromatibus, sicut mos est Judæis sepelire. Erat autem in loco, ubi crucifixus est, hortus: et in horto monumentum novum, in quo nondum quisquam positus erat. Ibi ergo propter Parasceven Judæorum, quia juxta erat monumentum, posuerunt Jesum. (After the Passion has been sung, the celebrant puts on the black cope, the deacon and the subdeacon the dalmatic and tunicle of the same colour. Meanwhile two acolytes spread a linen cloth upon the altar and put the book in the middle. The celebrant, with his ministers, goes up to the altar and kisses it. Then, standing at the centre of the altar, he sings or recites the following solemn Collects.) II. THE GREAT INTERCESSIONS: FOR HOLY CHURCH Oremus, dilectissimi nobis, pro Ecclesia sancta Dei: ut eam Deus et Dominus noster pacificare, adunare, et custodire dignetur toto orbe terrarum: subiiciens ei principatus, et potestates: detque nobis quietam et tranquilam vitam degentibus, glorificare Deum Patrem omnipotentem. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, qui gloriam tuam omnibus in Christo gentibus revelasti: custodi opera misericordiæ tuæ; ut Ecclesia tua toto orbe diffusa, stabili fide in confessione tui nominis perseveret. Per eundem Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR THE POPE Oremus et pro beatissimo Papa nostro N., ut Deus et Dominus noster, qui elegit eum in ordine episcopatus, salvum atque incolumem custodiat Ecclesiæ suæ sanctæ, ad regendum populum sanctum Dei. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, cujus judicio universa fundantur: respice propitius ad preces nostras, et electum nobis Antistitem tua pietate conserva; ut christiana plebs, quæ te gubernatur auctore, sub tanto pontifice, credulitatis suæ meritis augeatur. Per Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR ALL ORDERS AND DEGREES OF THE FAITHFUL Oremus et pro omnibus Episcopis, Presbyteris, Diaconibus, Subdiaconibus, Acolythis, Exorcistis, Lectoribus, Ostiariis, Confessionibus, Virginibus, Viduis: et pro omni populi sancto Dei. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, cujus spiritu totum corpus Ecclesiæ sanctificatur et regitur: exaudi nos pro universis ordinibus supplicantes; ut gratiæ tuæ munere, ab omnibus tibi gradibus fideliter serviatur. Per Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate ejusdem Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR THE RULERS OF STATES Oremus et pro omnibus res publicas moderantibus, eorumque ministeriis et potestatibus: ut Deus et Dominus noster mentes et corda eorum secundum voluntatem suam dirigat ad nostram perpetuam pacem. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, in cujus manu sunt omnium potestates et omnium jura populorum: respice benignus ad eos, qui nos in potestate regunt; ut ubique terrarum, dextera tua protegente, et religionis integritas, et patriæ securitas indesinenter consistat. Per Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR THE CATECHUMENS Oremus et pro catechumenis nostris: ut Deus et Dominus noster adaperiat aures præcordiorum ipsorum, ianuamque misericordiæ; ut per C. Pilate answered: S. What I have written, I have written. C. The soldiers therefore, when they had crucified Him, took His garments and they made four parts, to every soldier a part and also His coat. Now the coat was without seam, woven from the top throughout. They said then one to another: S. Let us not cut it, but let us cast lots for it, whose it shall be: that the Scripture might be fulfilled which saith: They have parted My garemnts among them, and upon My vesture they have cast lots. And the soldiers indeed did these things. Now there stood by the cross of Jesus His Mother, and His Mother's sister, Mary of Cleophas, and Mary Magdalen. When Jesus therefore had seen His Mother and the disciple standing whom He loved, He saith to His Mother: J. Woman, behold thy son. C. After that, He saith to the disciple: J. Behold thy mother. C. And from that hour, the disciple took her to his own. Afterwards, Jesus, knowing that all things were now accomplished, that the Scripture might be fulfilled, said: J. I thirst. C. Now there was a vessel set there, full of vinegar. And they, putting a sponge full of vinegar about hyssop, put it to His mouth. Jesus therefore, when He had taken the vinegar, said: J. It is consummated. C. And bowing His head, He gave up the Spirit. Then the Jews because it was the Parasceve, that the bodies might not remain upon the cross on the Sabbath day for that was a great Sabbath day, besought Pilate that their legs might be broken and that they might be taken away. The soldiers therefore came, and they broke the legs of the first, and of the other that was crucified with Him. But after they were come to Jesus, when they saw that He was already dead, they did not break His legs. But one of the soldiers with a spear opened His side, and immediately there came out blood and water. And he that saw it hath given testimony: and his testimony is true. And he knoweth that he saith true: that you also may believe. For these things were done that the Scripture might be fulfilled: you shall not break a bone of Him. And again another Scripture saith: They shall look on Him whom they pierced. And after these things, Joseph of Arimathea because he was a disciple of Jesus, but secretly for fear of the Jews besought Pilate that he might take away the Body of Jesus. And Pilate gave leave. He came therefore and took away the Body of Jesus. And Nicodemus also came he who at the first came to Jesus by night, bringing a mixture of myrrh and alæs, about a hundred pound weight. They took therefore the Body of Jesus and bound it in linen cloths, with the spices, as the manner of the Jews is to bury. Now there was in the place where He was crucified a garden: and in the garden a new sepulchre, wherein no man yet had been laid. There, therefore, because of the Parasceve of the Jews, they laid Jesus, because the sepulchre was nigh at hand. Let us pray, dearly beloved, for the holy Church of God: that our Lord and God may deign to give it peace, keep it in unity, and guard it throughout the world, subjecting to it principalities and powers: and may grant unto us that, leading a peaceful and quiet life, we may glorify God, the Father almighty. P. Let us pray. D. Let us kneel. S. Arise. Almighty and everlasting God, Who in Christ hast revealed Thy glory too all nations: guard the works of Thy mercy; that Thy Church, spread over the whole world, may with steadfast faith persevere in the confession of Thy Name. Through the same Jesus Christ, Thy Son, our Lord, who liveth and reigneth with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. Let us pray for our most holy Father Pope N., that our Lord and God, Who chose him to the order of the Episcopate, may keep him in health and safety for His holy Church to govern the holy people of God. P. Let us pray. D. Let us kneel. R. Arise. Almighty and everlasting God, by Whose judgment all things are established, mercifully regard our prayers, and in Thy goodness preserve the Bishop chosen for us: that the Christian people who are ruled by Thine authority, may under so great a Pontiff, be increased in the merits of faith. Through our Lord Jesus Christ, Thy Son, who lives and reigns with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. Let us pray also for all Bishops, Priests, Deacons, Subdeacons, Acolytes, Exorcists, Readers, Porters, Confessors, Virgins, Widows, and for all the holy people of God. P. Let us pray. D. Let us kneel. R. Arise. Almighty and everlasting God, by Whose Spirit the whole body of the Church is sanctified and ruled, hear our humble pleading for all the orders thereof; that by the gift of Thy grace in all their several degrees may faithfully serve Thee. Through our Lord Jesus Christ, Thy Son, who lives and reigns with Thee in the unity of the same Holy Spirit, God, world without end. R. Amen. Let us pray also for all engaged in affairs of state and for all their ministries and powers: that our God and Lord may guide according to His will their minds and hearts, to our lasting peace. P. Let us pray. D. Let us kneel. R. Arise. Almighty and everlasting God, in Whose hands dwell all might and the rights of every people: look favorably on those who wield power over us; and let Thy right hand protect us, that, all the world through, both religious integrity and our country's security may be firmly based and abide. Through our Lord Jesus Christ, Thy Son, who lives and reigns with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. Let us pray also for our Catechumens: that our Lord and God would open the ears of their hearts, and the gate of mercy; that, having received by the font lavacrum regenerationis accepta remissione omnium peccatorum, et ipsi inveniantur in Christo Jesu Domino nostro. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, qui Ecclesiam tuam nova semper prole fæcundas: auge fidem et intellectum catechumenis nostris; ut renati fonte baptismatis, adoptionis tuæ filiis aggregentur. Per Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR THE NEEDS OF THE FAITHFUL Oremus, dilectissimi nobis, Deum Patrem omnipotentem, ut cunctis mundum purget erroribus: morbos auferat: famem depellat: aperiat carceres: vincula dissolvat: peregrinantibus reditum: infirmantibus sanitatem: navigantibus portum salutis indulgeat. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, mæstorum consolatio, laborantium fortitudo: perveniant ad te preces de quacumque tribulatione clamantium; ut omnes sibi in necessitatibus suis misericordiam tuam gaudeant affuisse. Per Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR THE UNITY OF THE CHURCH Oremus et pro hæreticis et schismaticis: ut Deus et Dominus noster eruat eos ab erroribus universis; et ad sanctam matrem Ecclesiam Catholicam atque Apostolicam revocare dignetur. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, qui salvas omnes, et neminem vis perire: respice ad animas diabolica fraude deceptas; ut omni hæretica pravitatæ deposita, errantium corda resipiscant, et ad veritatis tuæ redeant unitatem. Per Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR THE CONVERSION OF THE JEWS Oremus et pro Judæis. Ut Deus et Dominus noster illuminet corda eorum, ut agnoscant Jesum Christum salvatorem omnium hominum. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, qui vis ut omnes homines salvi fiant et ad agnitionem veritatis veniant, concede propitius, ut plenitudine gentium in Ecclesiam Tuam intrante omnis Israel salvus fiat. Per eundem Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. FOR THE CONVERSION OF PAGANS Oremus et pro paganis: ut Deus omnipotens auferat iniquitatem a cordibus eorum; ut relictis idolis suis, convertantur ad Deum vivum et verum, et unicum Filium ejus Jesum Christum Deum et Dominum nostrum. S. Oremus. V. Flectamus genua. R. Levate. Omnipotens sempiterne Deus, qui non mortem peccatorum, sed vitam semper inquiris: suscipe propitius orationem nostram, et libera eos ab idolorum cultura; et aggrega Ecclesiæ tuæ sanctæ ad laudem et gloriam nominis tui. Per Dominum nostrum Jesum Christum, Filium tuum: qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. R. Amen. III. ADORATION OF THE CROSS: (The ceremony begins with an exposition of the Cross. All Passiontide it has been veiled. The deacon,accompanied by two acolytes with lighted candles, fetches it from the sacristy. As he enters the choir, the celebrant and subdeacon go to meet him, and the celebrant receives the Cross in the middle before the altar. He unveils the Cross in three stages: first the upper portion, then the arms and, lastly, the whole Cross. As he unveils it, first on the Epistle side before the altar, then on the altar steps and finally at the centre of the altar, holding it up in the sight of the congregation, he sings on a higher note each time the following.) V. Ecce lignum Crucis, in quo salus mundi pependit. R. Venite, adoremus. V. Ecce lignum Crucis, in quo salus mundi pependit. R. Venite, adoremus. V. Ecce lignum Crucis, in quo salus mundi pependit. R. Venite, adoremus. (All then kneel and venerate the Cross in silence for a few moments. Two acolytes hold up the Cross before the altar. The celebrant takes off his shoes and coming down to the entrance to the choir returns towards the altar, genuflecting three times as he does so, and kisses the feet of the crucifix. After the celebrant, the ministers, the clergy and the choir do likewise.) THE REPROACHES: (The Cross is then carried by two acolytes, with two others at their side bearing lighted candles, down to the entrance to the choir where it is venerated by the congregation in procession making only one genuflection as they do so. During the time that the veneration lasts, the following Reproaches are sung:) V. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Quia eduxi te de terra Aegypti, parasti crucem Salvatori tuo. R. Agios o Theos! R. Sanctus Deus! R. Agios ischyros! R. Sanctus fortis! R. Agios athanatos, eleison imas. R. Sanctus immortalis, miserere nobis. V. Quia eduxi te per desertum quadraginta annis, et manna cibavi te, et introduxi te in terram satis bonam: parasti Crucem Salvatori tuo. R. Agios o Theos! R. Sanctus Deus! R. Agios ischyros! of regeneration the remission of all their sins, they also may be found in Christ Jesus our Lord. P. Let us pray. D. Let us kneel. R. Arise. Almighty and everlasting God, who dost ever make Thy Church fruitful with new offspring: increase the faith and understanding of our Catechumens; that being born again in the font of Baptism, they may be associated with the children of Thine adoption. Through our Lord Jesus Christ, Thy Son, who lives and reigns with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. Let us pray, dearly beloved, to God the Father almighty, that He would cleanse the world of all errors: take away diseases, drive away famine, open prisons, break chains, grant a sure return to travelers, health to the sick, and a safe haven to those at sea. P. Let us pray. D. Let us kneel. R. Arise. Almighty and everlasting God, the comfort of the sorrowful, and the strength of those that labor: hasten the prayers of those that call upon Thee in any trouble reach Thee; that all may rejoice that in their necessities Thy mercy has helped them. Through our Lord Jesus Christ, Thy Son, who lives and reigns with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. Let us pray also for heretics and schismatics: that our Lord God would be pleased to rescue them from all their errors; and recall them to our holy mother the Catholic and Apostolic Church. P. Let us pray. D. Let us kneel. S. Arise. Almighty and everlasting God, who savest all, and wouldst that no one should perish: look on the souls that are led astray by the deceit of the devil: that having set aside all heretical evil, the hearts of those that err may repent, and return to the unity of Thy truth. Through our Lord Jesus Christ, Thy Son, who lives and reigns with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. Let us also pray for the Jews: that our God and Lord may illuminate their hearts, that they acknowledge that Jesus Christ is the Savior of all men. P. Let us pray. D. Let us kneel. S. Arise. Almighty, eternal God, Who wishes that all men be saved and come to a knowledge of truth, propitiously grant that as the fullness of the nations enters Thy Church, all of Israel may be saved. Through the same Jesus Christ, Thy Son, our Lord, who lives and reigns with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. Let us pray also for the pagans: that almighty God would remove iniquity from their hearts: that, putting aside their idols, they may be converted to the true and living God, and His only Son, Jesus Christ our God and Lord. P. Let us pray. D. Let us kneel. R. Arise. Almighty and everlasting God, who ever seekest not the death, but the life of sinners: mercifully hear our prayer, and deliver them from the worship of idols: and join them to Thy holy Church for the praise and glory of Thy Name. Through our Lord Jesus Christ, Thy Son, who lives and reigns with Thee in the unity of the Holy Spirit, God, world without end. R. Amen. V. Behold the wood of the Cross, on which hung the Savior of the world. R. Come, let us adore. V. Behold the wood of the Cross, on which hung the Savior of the world. R. Come, let us adore. V. Behold the wood of the Cross, on which hung the Savior of the world. R. Come, let us adore. V. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. Because I led thee out of the land of Egypt, thou hast prepared a cross for thy Savior. R. O holy God! R. O holy strong One! R. O holy immortal one, have mercy on us. R. O holy immortal one, have mercy on us. V. Because I led thee out through the desert forty years: and fed thee with manna, and brought thee into a land exceeding good, thou hast prepared a Cross for thy Savior. R. O holy God! R. O holy strong One! R. Sanctus fortis! R. Agios athanatos, eleison imas. R. Sanctus immortalis, miserere nobis. V. Quid ultra debui facere tibi, et non feci? Ego quidem plantavi te vineam meam speciosissimam: et tu facta es mihi nimis amara: aceto namque sitim meam potasti: et lancea perforasti latus Salvatori tuo. R. Agios o Theos! R. Sanctus Deus! R. Agios ischyros! R. Sanctus fortis! R. Agios athanatos, eleison imas. R. Sanctus immortalis, miserere nobis. V. Ego propter te flagellavi Aegyptum cum primogenitus suis: et tu me flagellatum tradidisti. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego eduxi te de Aegypto, demerso Pharaone in Mare Rubrum: et tu me tradidisti principibus sacerdotum. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego ante te aperui mare: et tu aperuisti lancea latus meum. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego ante te præivi in columna nubis: et tu me duxisti ad prætorium Pilati. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego te pavi manna per desertum: et tu me cecidisti alapis et flagellis. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego te potavi aqua salutis de petra: et tu me potasti felle, et aceto. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego propter te Chananæorum reges percussi: et tu percussisti arundine caput meum. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego dedi tibi sceptrum regale: et tu dedisti capiti meo spineam coronam. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. V. Ego te exaltavi magna virtute: et tu me suspendisti in patibulo Crucis. R. Popule meus, quid feci tibi? aut in quo contristavi te? Responde mihi. Ant. Crucem tuam adoramus, Domine: et sanctam resurrectionem tuam laudamus, et glorificamus: ecce enim propter lignum venit gaudium in universo mundo. Deus misereatur nostri, et benedicat nobis. Illuminet vultum suum super nos, et misereatur nostri. Ant. Crucem tuam adoramus, Domine: et sanctam resurrectionem tuam laudamus, et glorificamus: ecce enim propter lignum venit gaudium in universo mundo. Ant. Crux fidelis, inter omnes Arbor una nobilis! Nulla silva talem profert, Fronde, flore, germine, Dulce lignum, dulces clavos, Dulce pondus sustinet. Pange, lingua, gloriosi, Lauream certaminis, Et super Crucis trophæo Dic triumphum nobilem: Qualiter Redemptor orbis Immolatus vicerit. Ant. Crux fidelis, inter omnes Arbor una nobilis! Nulla silva talem profert, Fronde, flore, germine. De parentis protoplasti Fraude Factor condolens, Quando pomi noxialis In necem morsu ruit: Ipse lignum tunc notavit. Damna ligni ut solveret. Ant. Dulce lignum, dulces clavos, Dulce pondus sustinet. Hoc opus nostræ salutis Ordo depoposcerat: Multiformis proditoris Ars ut artem falleret: Et medelam ferret inde, Hostes unde læserat. Ant. Crux fidelis, inter omnes Arbor una nobilis! Nulla silva talem profert, Fronde, flore, germine. Quando venit ergo sacri Plenitudo temporis, Missus est ab arce Patris Natus, orbis Conditor: Atque ventre virginali Carne amictus prodiit. Ant. Dulce lignum, dulces clavos, Dulce pondus sustinet. Vagit infans inter arcta Conditus præsepia: Membra pannis involuta Virgo Mater alligat: Et Dei manus, pedesque Stricta cingit fascia. Ant. Crux fidelis, inter omnes Arbor una nobilis! Nulla silva talem profert, Fronde, flore, germine. Lustra sex qui iam peregit, Tempus implens corporis, Sponte libera Redemptor Passioni deditus, Agnus in Crucis levatur Immolandus stipite. Ant. Dulce lignum, dulces clavos, Dulce pondus sustinet. Felle potus ecce languet: Spina, clavi, lancea, Mite corpus perforarunt, Unda manat, et cruor: Terra, pontus, astra, mundus. Quo lavantur flumine! Ant. Crux fidelis, inter omnes Arbor una nobilis! Nulla silva talem profert, Fronde, flore, germine. Flecte ramos, arbor alta, Tensa lax viscera, Et rigor lentescat ille, Quem dedit nativitas: Et superni membra Regis Tende miti stipite. Ant. Dulce lignum, dulces clavos, Dulce pondus sustinet. Sola digna tu fuisti Ferre mundi victimam: Atque portum præparare Arca mundo naufrago: Quam sacer cruor perunxit, Fusus Agni corpore. Ant. Crux fidelis, inter omnes Arbor una nobilis! Nulla silva talem profert, Fronde, flore, germine. Sempiterna sit beatæ Trinitate gloria: Aequa Patri, Filioque; R. O holy strong One! R. O holy immortal one, have mercy on us. R. O holy immortal one, have mercy on us. V. What more ought I have done for thee, that I have not done? I planted thee, indeed, My most beautiful vineyard: and thou hast become exceeding bitter to Me: for in My thirst thou gavest Me vinegar to drink: and with a lance thou hast pierced the side of thy Savior. R. O holy God! R. O holy God! R. O holy strong One! R. O holy strong One! R. O holy immortal one, have mercy on us. R. O holy immortal one, have mercy on us. V. For thy sake I scourged Egypt with its first-born: and thou hast scourged Me and delivered Me up. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. I led thee out of Egypt having drowned Pharao in the Red Sea: and thou hast delivered Me to the chief priests. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. I opened the sea before thee: and thou with a spear hast opened My side. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. I went before thee in a pillar of cloud: and thou hast led Me to the judgment hall of Pilate. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. I fed thee with manna in the desert; and thou hast beaten Me with whips and scourges. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. I gave thee the water of salvation from the rock to drink: and thou hast given Me gall and vinegar. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. For thy sake I struck the kings of the Chanaanites: and thou hast struck My head with a reed. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. I gave thee a royal sceptre: and thou hast given to My head a crown of thorns. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. V. I exalted thee with great strength: and thou hast hanged Me on the gibbet of the Cross. R. O my people, what have I done to thee? or wherein have I afflicted thee? Answer me. Ant. We adore Thy Cross, O Lord: and we praise and glorify Thy holy Resurrection: for behold by the wood of the Cross joy has come into the whole world. May God have mercy on us, and bless us: may He cause the light of His countenance to shine upon us, and have mercy on us. Ant. We adore Thy Cross, O Lord: and we praise and glorify Thy holy Resurrection: for behold by the wood of the Cross joy has come into the whole world. Ant. Faithful Cross! above all other, One and only noble Tree! None in foliage, none in blossom, None in fruit thy peer may be; Sweetest wood and sweetest iron, Sweetest weight is hung on thee. Sing, my tongue, the glorious battle! With completed victory rife! And above the Cross's trophy Tell the triumph of the strife: How the world's Redeemer conquered By the offering of His life. Ant. Faithful Cross! above all other, One and only noble Tree! None in foliage, none in blossom, None in fruit thy peer may be. God, his Maker, sorely grieving, That the first-made Adam fell, When he ate the fruit of sorrow, Whose reward was death and hell, Noted then this Wood the ruin, Of the ancient wood to quell. Ant. Sweetest wood and sweetest iron, Sweetest weight is hung on thee. For this work of our salvation Needs must have its order so, And the manifold deceiver's Art by art would overthrow, And from thence would bring the healing, Whence the insult of the fæ. Ant. Faithful Cross! above all other, One and only noble Tree! None in foliage, none in blossom, None in fruit thy peer may be. Wherefore when the appointed fullness Of the holy time was come, He was sent who maketh all things From th' eternal Father's home, And proceeded, God Incarnate, Offspring of the Virgin's womb. Ant. Sweetest wood and sweetest iron, Sweetest weight is hung on thee. Weeps the Infant in the manger That in Bethlehem's stable stands: And His Limbs the Virgin Mother Doth compose in swaddling bands, Meetly thus in linen folding Of her God the feet and hands. Ant. Faithful Cross! above all other, One and only noble Tree! None in foliage, none in blossom, None in fruit thy peer may be. Thirty years among us dwelling, His appointed time fulfilled, Born for this, He meets His Passion, For that this He freely willed: On the Cross the Lamb is lifted, Where His life-blood shall be spilled. Ant. Sweetest wood and sweetest iron, Sweetest weight is hung on thee. He endured the nails, the spitting, Vinegar, and spear, and reed; From that holy Body broken Blood and water forth proceed: Earth, and stars, and sky, and ocean, By that flood from stain are freed. Ant. Faithful Cross! above all other, One and only noble Tree! None in foliage, none in blossom, None in fruit thy peer may be. b. Bend thy boughs, O Tree of glory! Thy relaxing sinews bend; For awhile the ancient rigor, That thy birth bestowed, suspend: And the King of heavenly beauty On thy bosom gently tend! Ant. Sweetest wood and sweetest iron, Sweetest weight is hung on thee. Thou alone wast counted worthy This world's ransom to uphold; For a shipwrecked race preparing Harbor, like the Ark of old; With the sacred Blood anointed From the smitten Lamb that rolled. Ant. Faithful Cross! above all other, One and only noble Tree! None in foliage, none in blossom, None in fruit thy peer may be. To the Trinity be glory Everlasting, as is meet: Par decus Paraclito: Unus Trinique nomen Laudet universitas. Amen. Ant. Dulce lignum, dulces clavos, Dulce pondus sustinet. IV COMMUNION: (The Cross is taken back and placed in the centre of the altar between two lighted candles. The celebrant and ministers put on violet vestments. The deacon goes to the altar of Repose and brings back the blessed Sacrament, preceded by two acolytes bearing lighted candles. As they return the following antiphons are sung:) Adoramus te, Christe, et benedicimus tibi, quia per Crucem tuam redemisti mundum. Per lignum servi facti sumus, et per sanctam Crucem liberati sumus: fructus arboris seduxit nos, Filius Dei redemit nos. Salvator mundi, salva nos: qui per Crucem et Sanguinem tuum redemisti nos, auxiliare nobis, te deprecamur, Deus noster. Oremus. Præceptis salutaribus moniti, et divina institutione formati, audemus dicere: (All, the clergy and the faithful with the celebrant, say in Latin:) Pater noster, qui es in cælis, sanctificetur nomen tuum. Adveniat regnum tuum. Fiat voluntas tua, sicut in cælo, et in terra. Panem nostrum quotidianum da nobis hodie: et dimitte nobis debita nostra, sicut et nos dimittibus debitoribus nostris. Et ne nos inducas in tentationem; sed libera nos a malo. Amen. (The celebrant continues aloud:) Libera nos, quæsumus, Domine, ab omnibus malis, præteritis, præsentibus, et futuris: et intercidente beata et gloriosa semper Virgine Dei Genetrice Maria, cum beatis Apostolis tuis Petro et Paulo, atque Andrea, et omnibus Sanctis, da propitius pacem in diebus nostris: ut ope misericordiæ tuæ adjuti, et a peccato simus semper liberi, et ab omni perturbatione securi. Per eumdem Christum Dominum nostrum Jesum Christum Filium tuum, qui tecum vivit et regnat in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. (All respond:) Amen. (The celebrant says the following prayer:) Perceptio Corporis tui, Domine Jesu Christe, quod ego indignus sumere præsumo, non mihi proveniat in judicium et condemnationem: sed pro tua pietate prosit mihi ad tutamentum mentis, et corporis, et ad medalem percipiendam. Qui vivis et regnas cum Deo Patre in unitate Spiritus Sancti Deus, per omnia sæcula sæculorum. Amen. (The celebrant beats his breast three times, saying:) Domine, non sum dignus, ut intres sub tectum meum: sed tantum dic verbo, et sanabitur anima mea. Domine, non sum dignus, ut intres sub tectum meum: sed tantum dic verbo, et sanabitur anima mea. Domine, non sum dignus, ut intres sub tectum meum: sed tantum dic verbo, et sanabitur anima mea. (He receives the Body of Christ, saying:) Corpus Domini nostri Jesu Christi custodiat animam meam in vitam æternam. Amen. Confíteor Deo omnipoténti, beátæ Maríæ semper Vírgini, beáto Michaéli Archángelo, beáto Joánni Baptistæ, sanctis Apóstolis Petro et Paulo, ómnibus Sanctis, et tibi pater: quia peccávi nimis cogitatióne, verbo, et ópere: mea culpa, mea culpa, mea máxima culpa. Ídeo precor beátam Maríam semper Vírginem, beátum Michaélem Archángelum, beátum Joánnem Baptístam, sanctos Apóstolos Petrum et Paulum, omnes Sanctos, et te Pater, oráre pro me ad Dóminum Deum nostrum. Misereatur vestri omnipotens Deus, et, dimissis peccatis vestris, perducat vos ad vitam æternam. Amen. ✝Indulgentiam, absolutionem et remissionem peccatorum vestrorum tribuat vobis omnipotens et misericors Dominus. Amen. Ecce Agnus Dei, ecce qui tollit peccata mundi. Domine, non sum dignus, ut intres sub tectum meum: sed tantum die verbo, et sanabitur anima mea. Domine, non sum dignus, ut intres sub tectum meum: sed tantum die verbo, et sanabitur anima mea. Domine, non sum dignus, ut intres sub tectum meum: sed tantum die verbo, et sanabitur anima mea. (After the Communion of the congregation, at the centre of the altar, the celebrant sings the following prayers while all the congregation stand and conclude each prayer with Amen:) Oremus. Super populum tuum quæsumus, Domine, qui passionem et mortem Filii tui devota mente recoluit, benedictio copiosa descendat, indulgentia veniat, consolatio tribuatur, fides sancta succrescat, redemptio sempiterna firmetur. Per eundem Christum Dominum nostrum. R. Amen. Oremus. Omnipotens et misericors Deus, qui Christi tui beata passione et morte nos reparasti: conserva in nobis operam misericordiæ tuæ; ut hujus mysterii participatione, perpetua devotione vivamus. Per eundem Christum Dominum nostrum. R. Amen. Oremus. Reminiscere miserationum tuarum, Domine, et famulos tuos æterna protectione sanctifica, pro quibus Christus, Filius tuus, per suum cruorem instituit paschale mysterium. Per eundem Christum Dominum nostrum. R. Amen. Equal to the Father, equal To the Son, and Paraclete: Trinal Unity, Whose praises All created things repeat. Amen. Ant. Sweetest wood and sweetest iron, Sweetest weight is hung on thee. We adore Thee, O Christ, and we bless Thee, because by Thy Cross Thou hast redeemed the world. Through a tree we were enslaved, and through a holy Cross have we been set free: the fruit of a tree led us astray, the Son of God bought us back. Savior of the world, do Thou save us, do Thou, who through Thy Cross and Blood didst redeem us, do Thou help us, our God, we beseech Thee. Let us pray. Instructed by Thy saving precepts, and following Thy divine institution, we make bold to say: Pater noster, qui es in cælis, sanctificetur nomen tuum. Adveniat regnum tuum. Fiat voluntas tua, sicut in cælo, et in terra. Panem nostrum quotidianum da nobis hodie: et dimitte nobis debita nostra, sicut et nos dimittibus debitoribus nostris. Et ne nos inducas in tentationem; sed libera nos a malo. Amen. Deliver us, we beseech Thee, O Lord, from all evils, past, present, and to come; and by the intercession of the blessed and glorious ever Virgin Mary, Mother of God, and of the Holy Apostles, Peter and Paul, and of Andrew, and of all the Saints, mercifully grant peace in our days, that through the assistance of Thy mercy we may be always free from sin, and secure from all disturbance. Through the same Jesus Christ, Thy Son, our Lord, Who with Thee in the unity of the Holy Ghost lives and reigns God, world without end. Amen. Let not the partaking of Thy Body, O Lord Jesus Christ, which I, though unworthy, presume to receive, turn to my judgment and condemnation; but let it, through Thy mercy, become a safeguard and remedy, both for soul and body; Who with God the Father, in the unity of the Holy Ghost, livest and reignest God, forever and ever. Amen. Lord, I am not worthy that Thou shouldst enter under my roof; say but the word, and my soul shall be healed. Lord, I am not worthy that Thou shouldst enter under my roof; say but the word, and my soul shall be healed. Lord, I am not worthy that Thou shouldst enter under my roof; say but the word, and my soul shall be healed. May the body of our Lord Jesus Christ preserve my soul unto life everlasting. Amen. I confess to almighty God, to blessed Mary ever Virgin, to blessed Michael the Archangel, to blessed John the Baptist, to the holy Apostles Peter and Paul, to all the Saints, and to you father: that I have sinned exceedingly in thought, word, and deed: through my fault, through my fault, through my most grievous fault. Therefore I pray blessed Mary ever Virgin, blessed Michael the Archangel, blessed John the Baptist, the holy Apostles Peter and Paul, all the Saints, and you, Father, to pray for me to the Lord our God. May almighty God have mercy on you, forgive you your sins, and bring you to life everlasting. Amen. ✝May the almighty and merciful Lord grant you pardon, absolution, and remission of your sins. Amen. Behold the Lamb of God, behold Him who takes away the sins of the world. Lord, I am not worthy that Thou should enter under my roof; but only say the word and my soul shall be healed. Lord, I am not worthy that Thou should enter under my roof; but only say the word and my soul shall be healed. Lord, I am not worthy that Thou should enter under my roof; but only say the word and my soul shall be healed. Let us pray. Upon Thy people who with devout hearts have recalled the Passion and Death of Thy Son, we beseech Thee, O Lord, may plentiful blessings descend: may gentleness be used with us, and consolation given us, may our faith increase in holiness, our redemption for ever made firm. Through the same Christ our Lord. R. Amen. Let us pray. Almighty and merciful God, who hast restored us by the Passion and Death of Thy Christ: preserve within us the work of Thy mercy; that by our entering into this mystery we may ever live devoutly. Through the same Christ our Lord. R. Amen. Let us pray. Be mindful of Thy mercies, O Lord, and hallow us with eternal protection us Thy servants, from whom Christ Thy Son established through His Blood this mystery of the Pasch. Through the same Christ our Lord. R. Amen.
BUILDING YOUR OWN REAL REMOTE EXPERIMENT COTROLLED BY A MOBILE OR TOUCH ENABLED DEVICE František Lustig, Jiří Dvořák, Pavel Kuriščák, Pavel Brom Laboratory of General Physics Education, Faculty of Mathematics and Physics, Ke Karlovu 3, 121 16 Praha 2, Czech Republic firstname.lastname@example.org , email@example.com , firstname.lastname@example.org , email@example.com Abstract We present "iSES Remote Lab SDK", a new version of software development kit (SDK) devoted for creation of online real remotely controlled experiments. In comparison with the original version based on Java applets, current interface based on JavaScript and HTML5 allows users to access it from smartphones or other touch enabled devices. It offers better graphical and design customization capabilities. While mostly used with ISES hardware, the kit also supports other hardware platforms (COM and USB devices, encapsulated third-party experimental setup, multimeters, stepper motors etc.) When deployed, it also provides basic logging features allowing the creator to observe user interactions with the experimental interface in detail. We also present a unique set of elementary modules of the iSES SDK that may be easily combined and used by beginners to create any parameter value input/output, XY or Y(t) graphs, visualizations including a webcam view etc. Experimental data can be easily exported for further processing. Finally, we present a few sample experimental designs available on our sites <http://www.eedu.eu> and <http://www.ises.info>. Keywords Remote experiments, reseach-based education, Physics, HTML5, JavaScript. 1. Remote experiments based on Java applets Since 2002 the remote laboratories have been developed at the Faculty of Mathematics and Physics. The first generation of remote experiments was based on Java applets. However, since 2012 Java applets began to be restricted due to security issues. Users now have to confirm running Java applets with warning about possible security risk. This basically rendered the technology unusable for client-side web user interfaces in all applications. Moreover, support of Java applets in smartphones and similar devices was mostly lacking. 2. Remote experiments based on JavaScript Since 2013 we have been moving to JavaScript when creating user interfaces for remote experiments on our faculty. Remote experiments are built with new software kit "iSES Remote Lab SDK" (Dvořák, Kuriščák, Lustig 2013). Philosophy of this new kit is the same as in case of Java applet version „ISES WEB Control" (Dvořák, Lustig, 2003). We want to provide non-programming users a possibility to create custom remote experiments. By using JavaScript and HTML5, the experiments work also on mobile and other touch enabled devices. Let us summarize how remote experiments work. Remote experiment is a server-client type application. Server side of the experiment consists of computer connected to the Internet. A measuring apparatus of real experiment is connected to the computer (e.g. our system ISES [3], [4], or other measuring systems like LabVIEW, devices with RS 232 or newly USB interface). It can also consist of stepper motors, controllable sources, multimeters etc. Note: If you want to create a remote experiment, where the user is able to control some device, it is not possible to use measuring systems which do not have output channel. Such systems (such as Pasco, Vernier) consist only of input channels and can be used only for experiments of type "sensing", where quantities are only measured. Systems with analogue or digital control channels, such as ISES, LabVIEW and others, allow building of remote experiments of type "control". Server-side computer has to run a MeasureServer application that communicates with hardware and provides data to connected users. To serve the actual user interface, a web server has to be also running, usually also on the measuring machine. Our experimental setups are using freely distributable WebServer Nginx. To provide webcam-captured live video stream, we developed an ImageServer application that can also be running on the measuring computer. Client device should run an internet browser supporting JavaScript and preferably WebSocket connection (fallback is available). These are considered almost standard features of all modern browsers in most devices. 3. Software kit "iSES Remote Lab SDK" for remote laboratory iSES Remote Lab SDK consists of approx. 20 freely distributable (under Creative Commons licence) JavaScript objects in commented source code. Objects/elements with graphical interface are called widgets. The widget source code can be modified by experienced programmers. However, widgets are highly configurable and provide many thoroughly documented options, which are available by default and which allow even non-programmers to build a complex measuring and controlling interface with data and video transfer. Among built-in features, users have access to real-time spline interpolation, simple processing, export of data in various formats, graphical output and other sophisticated functionality. Direct connection to the remote experiment server is realized through WebSocket protocol, which provides very low-latency. User interface elements are mostly based on JQuery and few other freely available JavaScript libraries that are distributed together with the SDK. By using these standard elements, the user interface visual design is also highly customisable. Web-page developers are able to alter the default design using standard methods (mostly CSS) to fit the webpage in which the interface is embedded. 3.1. Original on-line pedagogical research based on log system The MeasureServer records each user's activity in a log file with time stamps, which provides important information about measurement sessions of all users. Although there is a problem with anonymous IP addresses, we have some means like unique codes for each student that should be used for login before the session starts in order to surely assign a log record to the user. Through the analysis of the log file we can learn how students behave in a virtual learning environment, e.g. how much time they spent on a certain activity, which steps they did or did not perform, and whether the whole procedure was meaningful, or just playing with control elements, perhaps with some kind of confusion. We present an example of a log record in Tab. 1. Tab. 1: Example of a log record derived from the log file of the remote laboratory on the photolectric effect. From the log-record in Tab. 1 we can read that a student selected the measurement of the VoltAmpere characteristics of a vacuum phototube (mode 0 at the beginning) and had to wait in a queue for 88 seconds till he took control of the experimental setup. He switched the mercury lamp on (Sv1) and after approx. 5 min of playing and getting familiar with the interface he started data recording and systematically measured all the V-A characteristics for six available frequencies of light (Sf0-5). The student always used automatic measurement (Ma1) that takes approx. 40 s. Finally he stopped recording (Ps) and downloaded (Pd) his own data for further processing – determination of the stopping-voltage values and the experimental value of Planck constant. Curly brackets {...} correspond to the time duration since previous action in seconds. Parentheses (...) contain a parameter, e.g. an index of the selected filter. Furthermore, log records include some basic classification of activities for statistical analysis (S – settings, M – measurement, P – advanced processing of data). We managed to find 4–5 behaviour patterns, e.g. students' decisions to download and process someone else's data records when he/she is completely lost or because of traffic jams just before deadline. We also detected some kind of students' disengagement and perhaps confusion by the user interface, which helps us to develop new and better remote laboratories and to improve user interface as well. Details can be found in (Lustigová, Brom, 2014); (Lustigová et al., 2014). 3.2. Collection of simple remote tasks For beginners who want to try out custom remote experiments, we prepared the Collection of simple remote tasks such as remote analogue record of one quantity (e.g. temperature) in time, remote analogue control of one channel (e.g. switch relay), remote control of digital inputs and outputs, time dependence of two or more quantities, XY dependence of input and output quantities, remote control of linear and stepper motors, remote data transfer from multimeters with COM port, data record, data export, WEB camera stream etc. Examples are written very simply so the source code is clear. These simple tasks can be arbitrarily merged and combined, so even beginners are able to rapidly develop complex interfaces. They can immediately control their own remote experiments via mobile phone or tablet. 3.3. Final notes to "iSES Remote Lab SDK" Remote experiments built on iSES Remote Lab SDK can be used anywhere, anytime and by anyone and newly we modify them in such way so they are accessible from any PC platform, tablet or mobile phone. Few notes to hardware of measuring apparatus - nowadays we use ISES-PCI and ISES-USB kits. ISES-PCI uses ADDA PCI card installed in desktop PC. The big advantage of solutions based on ADDA card is large number of inputs and outputs (e.g. ISES-PCI with relay card has 8 analogue inputs, 2 analogue outputs, 16 digital inputs/outputs, resp. 16 relay outputs). There is no other kit that would offer such wide possibilities. Moreover, we prepared new simple kit ISES-USB, which has two analogue inputs, one analogue output and five digital inputs/outputs; also mini kit ISES-link with one analogue input and output and five digital inputs/outputs. Note that all variants provide outputs, because no proper remote experiment can be built without them. 4. Contemporary hardware base for "iSES Remote Lab SDK" Software kit "iSES Remote Lab SDK" presently supports measuring apparatuses ISES (ISES-PCI, ISES-USB, ISES-link), universal measuring apparatuses with COM or USB communication, especially linear and rotation positioning devices with large XYZ range (10 cm to 1 m). The commercial equipment "Franck-Hertz experiment" made by corporation Phywe and few other dedicated devices are supported as well. Support for other equipment is just a matter of new plugins. We are also able to create plugins for arbitrary equipment on demand. Fig. 4: Phy, Che and Bi ISES modules 5. Showcase of remote experiments On website <http://www.ises.info/index.php/en/laboratory> and <http://www.eedu.eu>, you can find showcase of experiments based on "iSES Remote Lab SDK", and also videos demonstrating how to work with them. Many experiments also contain an assignment, measuring instructions and examples of processing. Up to now we have built 18 remote experiments for secondary school and university level, which we freely offer to you for use in your school projects, education and also free time activities. http://kdt-20.karlov.mff.cuni.cz/ovladani_2.html Fig. 9: Solar energy conversion http://kdt-4.karlov.mff.cuni.cz/ Other remote experiments: Rectifier http://kdt-19.karlov.mff.cuni.cz Map of stations monitoring natural background radiation Meteorological station in Prague Heisenberg uncertainty principle Natural and driven oscillations Photoelectric effect http://kdt-1.karlov.mff.cuni.cz http://kdt-16.karlov.mff.cuni.cz/cz/mereni.html http://kdt-13.karlov.mff.cuni.cz/sterbina_js.html http://kdt-17.karlov.mff.cuni.cz http://kdt-29.karlov.mff.cuni.cz Some remote experiments built with „iSES remote Lab SDK" are running also on other schools such as: Mass oscillating on a spring http://remote-lab.fyzika.net/experiment/05/experiment-5.php?lng=cs at Gymnázium J. Vrchlického, Klatovy Franck-Hertz experiment (Phywe apparatus) at Pedagogical faculty MU Brno. http://22.214.171.124/index.html Other remote experiments built with „iSES remote Lab SDK" are located at Pedagogical faculty in Trnava and Faculty of Natural Sciences UKF in Nitra (SK). We are going to restore Polarisation of light, Faraday phenomenon, Magnetic field mapping, Magnetic field in coil axis etc. soon. 6. Conclusion – mobile technologies YES or NO? On fig. 14 we see the remote experiment Electromagnetic induction, visited by tablet and smartphone. We expect that new technologies of remote experiments based on JavaScript, which work on mobile devices, will become attractive for young generation. Mobile phones in school are a controversial topic. Their use is banned during class almost everywhere. However, the smartphones replace calculator, stopwatch, camera, GPS etc. Smart applications make possible to work with sound, light; measure speed, acceleration; record sound and video. They become priceless when one needs connection to the Internet – e-mail, cloud storages etc. To ban personal mobile devices or to actively use them? The movement to use personal mobile devices is called BYOT/BYOD Bring Your Own Technology/Device. Passive users of smartphones do not feel the rise of the "cloud computing" (originally based on utility and consumption of computer resources, nowadays providing services, programmes accessible from internet browsers). It is not surprising that the same webpages can be downloaded into PCs and mobile devices. In the past webpages for PCs and mobile phones had to be written separately! Social media become omnipresent with fast rise of smartphones. We are no more bound to classroom with computers. We are in a "school without walls". We are able to download music, videos, and books from the Internet. Now we have proved that you can "download" whole real experiment on physics/nature studies! Learning can be realised through mobile devices. It can be realised outside school, home, somewhere on the way, in restaurant, on party, while travelling etc. This phenomenon called "downtime learning" and was studied by (Dean Groom, 2011). Above listed technology and learning visions are suitable for remote experiments on mobile phones. Education, e.g. classic laboratories, which are nowadays inside school walls, become "laboratories without walls", which are accessible from anywhere, anytime, to anyone and they can be completed from any device (e.g. mobile). Remote experiments are new objects in e-learning and in m-learning. We do not try to prefer m-learning although it is very tempting. Let us use it spontaneously, on untraditional places, but in such way where we educate, explore and construct with classic or distant form of education; not where we only demonstrate new technologies. Let us work individually or in groups. In conclusion let us remind Dean Groom, who says that improving in environment of unlimited contact with different people and information means to be fond of exploring – to be anytime ready for an action, until you know everything, you have ever wanted… References DVOŘÁK, Jiří. LUSTIG, František. ISES WEB Control - software pro vzdálené laboratoře se soupravou ISES. Výroba učebních pomůcek PC-IN/OUT, U Druhé Baterie 29, 162 00 Praha 6, tel. 602 858 056, Praha, 2003. DVOŘÁK, Jiří. KURIŠČÁK, Pavel. LUSTIG, František. iSES Remote Lab SDK – internet School Experimental Studio for Remote Laboratory Software Development Kit. 2013. [cit. 20150515]. Available from: http://www.ises.info/index.php/en/systemises/sdkisesstudio. email: firstname.lastname@example.org, email@example.com, firstname.lastname@example.org, Business and License Agreement: SME RNDr. František Lustig. U Druhé Baterie 29, 162 00 Praha 6, phone +420 602 858 056, 2013. SCHAUER, F., LUSTIG, F., OŽVOLDOVÁ, M. ISES - Internet SchoolExperimental System for Computer-Based Laboratories in Physics, Innovations 2009 (USA), World Innovations in Engineering Education and Research. iNEER Special Volume 2009, chapter 10, pages 109118. ISBN 978-0-9741252-9-9. SCHAUER, F. LUSTIG, F., DVOŘÁK, J. OŽVOLDOVÁ, M. Easy to build remote laboratory with data transfer using ISES – Internet School Experimental System ISES. Eur. J. Phys. 29. 2008. 753-765. ISBN 978-0-9741252-9-9. GROOM, Dean. The Downtime Learner theory. 2011. [cit. 2015-03-11]. Available from: [https://deangroom.wordpress.com/2011/04/14/the-downtime-learner-theory/]. LUSTIGOVÁ, Zdena, BROM, Pavel. Educational Datamining. In: Virtual Learning Environments. iJAC. 2014, 1, 7, 39-42. ISSN: 1867-5565. LUSTIGOVÁ, Zdena, NOVOTNÁ, Veronika, BROM, Pavel. Detecting disengagement of online students. In: DISCO 2014. Praha: Center for Higher Education Studies, 2014, vol. 9, iss. 1, 134-145. ISBN: 978-80-86302-46-1.
VILLAGE OF COLDWATER INCOME TAX RETURN 610 West Sycamore Street Village of Coldwater Coldwater, OH 45828 Fax: (419) 678-2365 For calendar year Ph: (419) 678-2685 □Resident □Non-Resident □Partial Year Resident From ________ To ________ www.villageofcoldwater.com 2018 DUE APRIL 15, 2019 Taxpayer Name and Address Employe 5. Credits: NOTE: Re I am not re Residency Status (check one) □Final Return Phone Number Social Security # Social Security # Federal ID # Email Coldwater Other City Tax WH Medicare Wages r's Name Tax Withheld Cannot exceed 1% Box 5 on W-2 $ $ $ $ $ $ $ $ $ $ $ $ TOTAL 1a. 1b. 1c. IF NO OTHER INCOME, COMPUTE YOUR TAX ON LINE 3 2. Other Taxable Inome (Total of Sch C, E & H from Page 2 - must be attached) 2. $ 3. Total Taxable Income (Column 1c plus Line 2) 3. $ 4. Coldwater Income Tax - 1% of Line 3 4. $ 5a. Coldwater Tax Withheld (Column 1a above) 5a. $ 5b. Estimated Tax Paid 5b. $ 5c. Credit from Prior Years 5c. $ 5d. Other City Tax Withheld (Column 1b above) 5d. $ 5e. TOTAL CREDITS 5e. $ 6. Tax Due (Subtract Line 5e from Line 4) 6. $ IF FILED AND/OR PAID AFTER APRIL 15 COMPLETE NO. 7 7. Penalty, Interest & Late Filing Fee 7a. Penalty (15% of Line 6) if past April 15 7a. $ 7b. Interest (0.58% per month of Line 6) if past April 15 7b. $ 7c. Late Filing Fee ($25.00 per month up to $150.00) if past April 15 7c. $ 8. TOTAL AMOUNT DUE (Line 6 plus Lines 7a, b, c) (Make check payable to VILLAGE OF COLDWATER) 8. $ fundor tax due of less than $10.01 are not payable. 9. Overpayment 9a. Refund $ 9b. Credit to Next Year $ 10. Income subject to 1% city tax which is not fully withheld $_______________ x rate of 1% 10. $ 11. Credit: Overpayment from prior year (Line 9 above) 11. $ 12. Net city tax due (Subtract Line 11 from Line 10) (if $200.00 or less, no estimate required) 12. $ 13. Amount paid with this declaration (at least 22.5% of Line 12) 13. $ 14. Amount due from Line 8 14. $ 15. Amount due from Line 13 15. $ 16. Total amount due April 15 or 105 days after fiscal year end (Line 14 plus Line 15) 16. $ (Make check payable to VILLAGE OF COLDWATER) quired to complete this tax return because: □ Taxpayer deceased, list date of death ____________________ □ Under 18 years of age, list birth date _______________ □ Only income from non-taxable source, list source _________________________ □ Total/permanent disability □ Moved out prior to 1/1/18, list date of move _______________ □ Retirement income only □ Rental property subject to village tax was sold, list date _______________ □ Business terminated, list date _______________ list whom it was sold to _______________________________________ The undersigned declared that this return (and accompanying schedules) is a true, correct and complete return for the taxable period stated. Signature of Taxpayer Date Tax Preparer Date Signature ofSpouse Date Telephone Number If this return was prepared by a tax professional, may we contact them directly? □ Yes □ No City Where Employed 1. REQUIRED ATTACHMENTS: ALL W-2s, FORM 1040, ALL REFERENCED SCHEDULES DECLARATION OF ESTIMATED TAX FOR YEAR 2019 SCHEDULE C - BUSINESS INCOME * DO NOT USE THIS PAGE IF YOUR ONLY SOURCE OF INCOME IS FROM WAGES, DIVIDENDS OR INTEREST * 1. ATTACH COPIES OF FEDERAL SCHEDULES (ENTER TOTAL INCOME FROM SCHEDULES) $ 2. A. ITEMSNOT DEDUCTIBLE (FROM LINE M SCHEDULE X) B. ITEMS C. DIFF N E OT TAXABLE (FROM LINE Z SCHEDULE X) R 3. A. ADJ E $ NCE BETWEEN LINES 2A AND 2B TO BE ADDED TO OR SUBRACTED FROM LINE 1 USTED INCOME (LINE 1 PLUS OR MINUS 2C IF SCHEDULE X IS USED) B. AMOUNT OF LINE 3A ALLOCABLE TO THIS CITY _______ % 4. NET OPERATING LOSS FROM PRIOR YEARS, IF ALLOWED 5. NET BUSINESS INCOME SCHEDULE E - INCOME FROM RENTS (ATTACH STATEMENT EXPLAINING COLUMNS 3, 4 AND 5) 1. KIND &LOCATION OF PROPERTY 2. RENT AMOUNT 4. REPAIRS 3. DEPRECIATION (OR LOSS) SCHEDULE E $ $ $ $ $ 6. NET INCOME (OR LOSS) $ $ $ $ NET INCOME $ SCHEDULE H - OTHER INCOME NOT INCLUDED IN SCHEDULE E FROM PARTNERSHIPS, S CORPORATIONS, ESTATES, TRUSTS, FEES, ETC. $ $ RECEIVED FROM FOR (DESCRIBE) AMOUNT $ TOTAL INCO $ ME SCHEDULE H ADD TOT $ ALS OF SCHEDULES C, E & H. ENTER HERE AND ON LINE 2, PAGE 1 DEDUCT (IRC 1221 B. 5% OF EXCEPT C. TAXES D. TAXES E. GUARANT CURRE F. FEDERA TO REIT G. FEDERA OWNER H. RENTA I. OTHER M. TOTAL SCHEDULE Y - BUSINESS APPORTIONMENT FORMULA A. LOCATED B. LOCATED C. PERCENTAGE STEP 1. ORIGINAL COST OF REAL & TANG. PERSONAL PROPERTY TOTAL STEP 1 GROSS ANNUAL RENTALS PAID MULTIPLIED BY 8 STEP 2. GROSS RECEIPTS FROM SALES MADE AND/OR WORK STEP 3. WAGES, SALARIES AND OTHER COMPENSATION PAID OR SERVICES PERFORMED STEP 4. TOTAL OF PERCENTAGES STEP 5. AVERAGE PERCENTAGE $ $ $ $ $ $ $ $ $ $ EVERYWHERE IN THIS CITY (B ÷ A) % % % % % $ 5. OTHER EXPENSES VILLAGE OF COLDWATER 2018 INCOME TAX RETURN DUE APRIL 15, 2019 FILING REQUIRED, EVEN IF NO TAX IS DUE PENALTY AND INTEREST WILL BE ASSESSED FOR REFUSAL TO COMPLY ON OR BEFORE APRIL 15, 2019, IF APPLICABLE PLEASE PROVIDE A COPY OF YOUR FEDERAL EXTENSION MAILING: Mail your final return complete with W2s, 1040, and/or appropriate Federal Schedules TO: ASSISTANCE: Village of Coldwater Income Tax 610 West Sycamore Street Coldwater, OH 45828 Fax: (419) 678-2365 Email: email@example.com For questions not answered in the General Instructions or help in filing please call (419) 678-2685 or stop in the office between the hours of 8 am to 5 pm Monday thru Thursday, or 8 am to 4 pm on Friday, or visit our web site at www.villageofcoldwater.com Line 1 Line 4 Line 6 GENERAL INSTRUCTIONS 1. WHO SHOULD FILE THIS RETURN: Anyone receiving this form and all Coldwater residents whether or not any tax is due are required to file. Also, all individuals, partnerships, corporations or other entities having income taxable by the Village of Coldwater have a filing obligation. Part year residents are required to file a return on wages earned while living in Coldwater. Please note that if wages are pro-rated, credit for tax withheld must also be pro-rated. D. filed with the income tax return. Employee business expenses that have been properly reported on Federal Form 2106 and that have been deducted from Federal tax purposes may be included as an adjustment to taxable income if that total of such expenses does not exceed the related exprenses, a copy of Form 2106 and Federal Schedule A must be employee business expenses relating to that income must also be pro-rated. Employee business expenses related to income earned in another taxing municipality may by eligible for a refund from that city. When claiming a deduction for employee business income from the same employer. When income is pro-rated, 3. Extension form is acceptable. EXTENSION OF TIME TO FILE: An extension must be filed on or before the original due date of the return, must be in writing, and for a period not to exceed 6 months or not more than 30 days beyond any extension requested and granted by the IRS. A copy of the Federal 2. April 15 or earlier. A return that is mailed must be postmarked April 15 file on a calendar year basis. Fiscal year taxpayers must file on or before the 105th day following the close of the fiscal year. A return is considered timely filed when received by the Village of Coldwater on or earlier. Returns are filed with the Village of Coldwater Income Tax Department, 610 West Sycamore Street, Coldwater, Ohio 45828. WHEN AND WHERE TO FILE RETURN: The filing deadline is no later than April 15 following the close of the tax year. All wage earners must 4. INCOME SUBJECT TO TAX: Income subject to taxation includes, but is not limited to the following: A. as a result of a covenant not to compete, supplemental unemployment benefits, vacation pay, lottery winnings, compensation received by residents of the Village of Coldwater, regardless of where earned, income received from the exercise of All salaries and wages (reported in Box 5 of your W-2 as Medicare wages), commissions, tips, director's fees, executor fees, sick pay, stock options. This includes ordinary gains from the sale of severence pay, bonuses, deferred compensation, incentive business property as reported on Form 4797. payments, strike pay, wage continuation plans, income received B. The net profits of all unincorporated business, partnerships, professions, rentals, farm income or other activities conducted by residents of the Village of Coldwater regardless of where earned. C. The net profits of all corporations derived from work done or services performed or rendered in the Village of Coldwater. 5. INCOME NOT TAXABLE: Dividends, interest, military pay and allowances (including Ohio National Guard Reserve), pensions, annuities, alimony, Social Security, Medicare, welfare benefits, unemployment benefits, lump sum distributions, disability income, capital gains, and Section 125 (cafeteria plans) contributions. 6. Losses from Federal Schedules may NOT be used to reduce wages. The portion of a net operating loss sustained for a tax year allocable to the Village of Coldwater may be applied against the portion of the profit of the succeeding year(s) allocable to the Village of Coldwater until exhausted, but in no event for more than five (5) years. 8. CITY vs. FEDERAL RETURNS: Exemptions and certain itemized deductions as available on individual federal returns are NOT DEDUCTIBLE on city returns. Items not deductible: moving expense, tax sheltered annuity, IRA or Keogh contributions, capital losses, alimony expense, expenses applicable to non-taxable income. 7. TAX CREDIT: Credit for municipal tax withheld or paid to other communities is given, not to exceed 1%. 9. PENALTY AND INTEREST: Penalty and interest are assessed for failure to file a return and/or pay the tax when due. 10. DECLARATION: A declaration is required to be filed when a taxpayer anticipates taxable income that is not subject to 1% withholding. If estimated tax is $200.00 or less, no declaration is necessary. A declaration must be filed on or before April 15. Fiscal year taxpayers must file within 105 days after the beginning of each fiscal year. For individual filers, payment of the estimated tax is due on or before the fourth, seventh, tenth and thirteenth months after the beginning of the taxable year. For non-individual filers, payment of the estimated tax is due on or before the fourth, seventh, tenth, and twelfth months after the beginning of the taxable year. The first quarter voucher is on the bottom of the tax return. The remaining vouchers will be mailed on a quarterly basis. INSTRUCTIONS FOR COMPLETING CITY TAX RETURN List each W-2 separately entering employer's name, city where work performed, amount of Coldwater tax withheld, credit for Line 7 other city tax withheld (see line 5d below), and wage amount from Complete only if return is being filed and/or paid after April 15 (or appropriate fiscal year end). Penalty and interest are figured on the net tax due. Box 5 of the W-2 (Medicare wage). If your W-2s and earnings summaries are marked "various" or "all cities" in the local tax withheld box, please request an itemized breakdown by city from Line 2 your employers and attach this to your return. Total each column. If W-2 income only, proceed to Line 3. If earnings are other than W-2 wages, enter the total of all Other Income from Page 2. Attach all appropriate federal schedules. Line 3 Total of Column 1c and 2. Line 5 Multiply the amount on Line 3 by 1% (0.01). Credits a. Enter total Coldwater tax withheld (from 1a) b. Estimated tax paid c. Credit from prior year d. Step 1 - If your income was earned in a city with a tax rate greater than 1%, multiply your wage amount by 1% - this is the amount you will receive as a credit. e. Add lines a through d. Subtract Line 5e from Line 4. This is tax due. If overpayment, enter are not payable. amount on Line 9. NOTE: Refunds or tax due of less than $10.01 Line 6 plus Lines 7a, b, c. Make check payable to VILLAGE OF COLDWATER. Refund or credit from Line 6. List estimated income subject to taxation which is not fully TAXPAYERS WHO ARE NOT FULLY WITHHELD MUST CONTINUE ON TO LINE 10. withheld by employer and/or is reported on Line 2. Multiply this figure by 1% which is your estimated tax. Enter credit from prior year (Line 9b). Net city tax due (if $200.00 or less, no estimate required). Enter amount paid with return (at least 22.5% of Line 12). Line 8 Line 9 Line 10 Line 11 Line 13 Line 12 Line 14 Enter amount due from Line 8. Line 16 Line 15 Enter amount from Line 13. Total Lines 14 and 15. Make check payable to: VILLAGE OF COLDWATER. Mail return and payment prior to April 15 to avoid late filing fee/penalty. Sign and date return.
European Society of Trauma and Emergency Surgery Recommendations on hip fractures Klaus Wendt, Dominik Heim, Christoph Josten, Richard Kdolsky, Hans-Jörg Oestern, Henrik Palm, Jan Bernard Sintenie, Radko Komadina, Cem Copuroglu Corresponding author: Klaus Wendt, MD, PHD University Medical Center Groningen Trauma Surgery P.O. Box 30001 9700 RB Groningen The Netherlands E-mail: email@example.com Introduction Hip fractures among the elderly are one of the major fragility fractures in terms of quality of life, health outcomes and medical costs. (1) Since mortality and morbidity are high, hip fractures have a direct impact on public health (2) and are one of the main reasons for disability. (3) Increases in age-adjusted incidence of falls with accompanying deterioration in ageadjusted bone quality may explain the reason for osteoporotic hip fractures among the elderly. (2) According to United Nations records from 2009, the average lifetime of human beings was 56 years in 1970; by 2000 it rose to 65 and by the year 2050 it is expected to be 75.5 years (73.3 for men and 77.9 for women). (4) According to some epidemiological studies, there were 1.66 million hip fractures worldwide in 1990. Epidemiological projections estimate these annual figures to rise to 6.25 million by 2050. (2) In another epidemiological study, the total number of hip fractures in 1990 was found to be 1.26 million; this is estimated to approximately double to 2.6 million by 2025 and to 4.5 million by 2050. (5) As advances in medicine and healthcare awareness increase, life expectancy at birth and lifetime spans will rise exponentially. Management of hip fractures requires a wide spectrum of approaches, from prevention to postoperative care. (6) The socioeconomic impact of hip fractures is increasing on a worldwide scale, and there is a need to develop preventive strategies (5) as well as evidence-based treatment protocols to minimise the enormous social burden of these fractures. Given that hip fractures are common, costly injuries with a complex treatment journey that is complicated by comorbidities in the elderly patient group, building clinical recommendations is an important and challenging topic if one considers that infrastructures do vary among European countries. These recommendations are therefore proposals for medical treatment in typical situations, and do not constitute legally committing rules to be observed. ESTES study group, proximal femur Cem Copuroglu Turkey Dominik Heim Switzerland Christoph Josten Germany Richard Kdolsky Austria Radko Komadina Slovenia Hans-Jörg Oestern Germany Henrik Palm Denmark Jan Bernard Sintenie The Netherlands Klaus Wendt The Netherlands The European Society for Trauma and Emergency Surgery (ESTES) Study Group was formed in 2014 with the aim of developing ESTES recommendations on proximal hip fractures. After a review of the recent literature and already existing guidelines in several European countries the members of the study group wrote a concept of the different parts of the recommendations. On a consensus meeting in September 2014 in Frankfurt a definitive version of the recommendations was formulated and agreed by all study group members. The recommendations on hip fractures are approved by the ESTES board. Patient group and aims These recommendations focus on elderly people with a minor trauma of the proximal femur: 1. Extra-articular pertrochanteric/subtrochanteric fractures (AO classification 31 A1–3) 2. Femoral neck fractures (AO classification 31 B1-3). Minor trauma can be a fall indoors or outdoors from a standing height. Restoring the level of activity is the main treatment goal. To reach this goal a multidisciplinary approach is necessary. A trauma (orthopaedic) surgeon, anaesthetist, geriatrician and emergency physician can be part of the team. The coordinator should be a trauma (orthopaedic) surgeon. (7) He has the ability to overview the whole process. This means that a care pathway for this patient group should be established. (8,12) History Not every elderly patient is able to answer questions adequately. For further information the family, nursing home staff and paramedics are important. Be aware of legal responsibilities and patient treatment limitations. Diagnostics Key points: physical examination, basic lab, X-ray Basic steps in this process are: 1. General physical examination (documentation: decubitus, mental state, dehydration) 2. Registration of fracture signs 3. Basic lab: Haemoglobin, electrolytes, renal function and coagulation 4. ECG 5. Thoracic X-ray (starting point) 6. AP pelvic X-ray and a lateral view if possible. (13) CT-scan is indicated if the X-rays show no fracture but there is a high index of suspicion at physical examination. (14,15) An MRI is optional for pathological fractures. (16) The differential diagnosis should include: 1. Hip contusion 2. Pelvic fracture (pubic branch) 3. Fracture of the acetabulum 4. Fracture of the femoral head 5. Fracture of the greater trochanter Preoperative workup Key points: management of pain, decubitus, delirium At least a trauma (orthopaedic) surgeon, anaesthetist and geriatrician should be involved. Depending on the local situation, one of these medical specialists has to coordinate the workup. Clear interdisciplinary agreements are necessary. (8) Pain management is very important. (17,18) Apart from analgesic drugs there are several options: 1. Regional block, for example fascia iliaca compartment block (19) 2. Traction splint 3. Urinal catheter Decubitus prevention has to start at admission. A pressure-relieving mattress is necessary in bed-bound patients. (20) The state of the skin has to be monitored on a daily basis. Early prophylaxis, diagnosis and treatment of delirium are important. (21,22) The mental status has to be monitored on a daily basis. One option is using the delirium observational scale (DOS). To avoid electrolyte disorders and dehydration, fluid management has to start early. (23) Many elderly persons take anticoagulant drugs. Be aware of coagulation disorders. This has to be addressed preoperatively Operation Key points: conservative treatment, endoprosthesis, intramedullary device, DHS Conservative treatment There might be an option for nonoperative treatment in case of a valgus-impacted femoral neck fracture in a vital patient without severe osteoporosis. Depending on pain, weightbearing has to start early. Before discharge an X-ray control of the hip is advisable. (24 25) In pertrochanteric fractures there are hardly any indications for conservative treatment. Exceptions are patients with a severe general condition, like ASA 5 patients. Operative treatment The operation should be performed during the daytime by a dedicated team. (26) Especially for head-preserving procedures it should take place within 24 hours. Most important is the general condition of the patient. In patients with a severe general condition the preoperative workup may take more than 24 hours. Fasting time should be as short as possible. (27) The choice between regional and general anaesthesia shows no influence on the incidence of perioperative blood loss, postoperative respiratory insufficiency, myocardial infarction, myocardial insufficiency, renal insufficiency or cerebrovascular deficits. (28,29) Regional anaesthesia in proximal femoral fractures diminishes the risk of thrombosis. (30) Antibiotic prophylaxis has to start 30 minutes prior to the operation. (31) The operative treatment of femoral neck and pertrochanteric fractures is discussed controversially. The following recommendation is based on the article 'A new algorithm for hip fracture surgery' by H. Palm et al. from Copenhagen and on the German guidelines for femoral neck and pertrochanteric fractures. (32,33) Femoral neck fractures Garden classification, femoral neck A femoral neck fracture in a head-preserving procedure must be reduced anatomically. Nondisplaced fractures (Garden 1 and 2, < 20° posterior tilt): * Osteosynthesis: Dynamic Hip Screw, cannulated screws or Hansson pins Displaced fractures (Garden 3 and 4, > 20° posterior tilt): * Prosthesis; the choice between a total hip prosthesis and a hemiarthroplasty depends on the age and general condition of the patient. Patients from nursing homes with nosocomial infections colonised with MRSA of ESBL have a higher risk of postoperative infection. In these patients with a displaced femoral neck fracture an osteosynthesis can be considered. (34,35,36) Pertrochanteric fracture AO classification, proximal femur Stable fractures (AO/OTA type A.1 and A.2.1): * Dynamic hip screw Unstable fractures (AO/OTA type A.2.2, A.2.3 and A.3): * Antegrade intramedullary nail The aim of all procedures is early full weight-bearing. Postoperative treatment Key points: avoid pulmonary embolism, hypoxemia, delirium, decubitus All hip fracture patients should be clustered in one nursing ward in order to increase the experience of the nursing staff, thus improving the quality of care for the patients, and paying special attention to the care of elderly patients (early start of rehabilitation, adequate diet, pressure ulcer prevention). Multidisciplinary teamwork is generally considered effective in hip fracture rehabilitation. At least a trauma (orthopaedic) surgeon, geriatrician, dietician and physiotherapist should be _______________________________________________________________________________________________ involved. During the stay at the nursing ward the patients should be visited routinely by the geriatrician. (8) The incidence of thrombosis and pulmonary embolism after a hip fracture is high. The incidence of symptomatic venous thromboembolism is low (1.34%) in patients given pharmacological thromboprophylaxis. (13,37,38) Sequential compression and arterial venous foot impulse systems can reduce the risk of DVT. (13,39) Mechanical prophylaxis is labourintensive and poorly tolerated. There is no good evidence that compression stockings reduce the incidence of venous thromboembolism. (13,39) Pharmacological prophylaxis is recommended. (40) In the majority of cases low molecular-weight heparin (LMWH) is given for 4-6 weeks. Other choices, like coumarin or fondaparinux, are an option. Adequate pain relief is associated with reduced cardiovascular, respiratory and gastrointestinal problems and a lower incidence of delirium. Several drugs can be used for pain relief. The choice depends on the circumstances in the specific country and hospital. Pain intensity should be scored with the aid of a visual analog scale (VAS score) on a regular basis. Hypoxemia is a serious postoperative problem and can persist several days after the operation. Routine use of pulse oxymetry can reduce the incidence of hypoxemia. Supplemental oxygen should be given in the first postoperative hours and as long as hypoxemia persists. (13,41) Fluid and electrolyte management should be monitored routinely. (23) Malnutrition occurs frequently in the elderly. Poor nutrition can lead to mental apathy, muscle wasting and weakness, impairs cardiac function, and lowers immunity to infection. The nursing staff has to assess the nutritional status with the aid of a malnutrition score such as the MUST score. A dietician should be involved. Oral protein feeds provide protein, energy, some vitamins and minerals, and may have a positive impact on postoperative morbidity. (42) Delirium is a serious and frequent postoperative complication and a negative prognostic factor for the outcome. Prophylaxis should start early. Mental state should be monitored frequently with the aid of a delirium attention protocol. Pharmacological treatment has to be started when delirium occurs. Decubitus prophylaxis has to start early. The patient should be transferred on a pressurerelieving mattress at admission. (20) The nursing staff should estimate pressure sore risk with the aid of a decubitus score. A urinary catheter should be removed as early as possible. Early mobilisation can prevent decubitus, thromboembolism and pneumonia. The patient should be mobilised within 24 hours. (43) If possible, full weight-bearing should be achieved. Balance and gait are essential components of mobility. Activities of daily living such as transferring, washing, dressing and toileting should be trained. A physiotherapist should be involved in the treatment. Discharge, nursing home and outpatient clinic Key points: early planning, co-working, prevention To prevent delay, discharge procedures have to start early. Cooperation with nursing homes and geriatric rehabilitation units should be considered. A nursing home physician should be involved early. The rehabilitation programs of hospitals and rehabilitation units should be coordinated. (8) After a hip fracture the risk of another fracture increases considerably. The multidisciplinary team has to advice and initiate osteoporotic diagnosis and treatment. (44,45) This depends on the local situation and on who is in charge. Bone density measurement is recommended. In patients above 80 years of age with prevalent hip fracture, the WHO does not advice densitometry to initiate osteoporotic treatment. Results of fall prevention programs are controversial. Hip protectors are not recommended, as the incidence rate of hip fractures in protected vs. unprotected hips among nursing home residents did not differ (3.1% vs. 2.5%). (46) According to Masud's multifactorial interdisciplinary prevention programmes in the late 90s, post-fall and post-fracture strategies currently focus on multifactorial interventions with osteoporosis and sarcopenia treatment. (36,47) Lean-mass DXA measurement correlates with body composition DXA scans and depicts the loss of muscle mass. (48) Compliance with Ethical Requirements Klaus Wendt, Dominik Heim, Christoph Josten, Richard Kdolsky, Hans-Jörg Oestern, Henrik Palm, Jan Bernard Sintenie, Radko Komadina and Cem Copuroglu declare that they have no conflict of interest. References 01) Chang KP, Center JR, Nguyen TV, Eisman JA. Incidence of hip and other osteoporotic fractures in elderly men and women: Dobbo Osteoporosis Epidemiology Study. J Bone Miner Res 2004 Apr;19 (4):532-6. 02) Kannus P, Parkkari J, Sjeyanen H, Heinonen A, Vuori I, Jaryinen M. Bone 1996 Jan;18(1 Suppl):57S-3S 03) Tuzun C, Tikiz C. Hip fractures in elderly and problems during rehabilitation. Turkish Journal of Geriatrics 2006;9(2):108-16 04) Gullberg B, Johnell O, Kanis JZ. World-wide projections for hip fracture. Osteoporosis Int 1997;7 (5):407-13. 05) United Nations Population Division. World population prospects: The 2008 revision population database. Internet: http://esa.un.org/UNPP/p2k0data.asp, February 24, 2010. 06) Haleem S, Lutchman L, Mayahi R, Grice JE, Parker MJ. Mortality following hip fracture: trends and geographical variations over the last 40 years. Injury 2008 Oct; 39(10):1157-63. 07) Hung WW, Egol KA, Zuckerman JD, Siu AL. Hip fracture management: tailoring care for the older patient. JAMA 2012 May 23;307(20):2185-2194 08) Flikweert ER, Izaks GJ, Knobben BA, Stevens M, Wendt KW The development of a comprehensive multidisciplinary care pathway for patients with a hip fracture: design and results of a clinical trial. BMC Musculoskelet Disord. 2014 May 30;15:188. doi: 10.1186/1471-2474-15-188 09) Slovenian recommendations for hip fracture treatment in elderly 2012 10) Richtlijn Behandeling van de proximale femurfractuur bij de oudere mens, The Netherlands 2008 11) Komadina R, Hip, Osteoporosis: New Paradigm. Eur J Trauma Emerg Surg 2008 12) Saltvedt I, Prestmo A, Einarsen E, Johnsen LG, Helbostad JL, Sletvold O. Development and delivery of patient treatment in the Trondheim Hip Fracture Trial. A new geriatric in-hospital pathway for elderly patients with hip fracture. BMC Res Notes 2012;5:355 13) Management of hip fracture in older people. A national clinical guideline, Scotland 2009 14) Heikal S, Riou P, Jones L The use of computed tomography in identifying radiologically occult hip fractures in the elderly. Ann R Coll Surg Engl. 2014 Apr;96(3):234-7 15) Jordan R, Dickensen E, Westacott D, Baraza N, Srinivasan K. A vast increase in the use of CT scans for investigating occult hip fractures. Eur J Radiol. 2013 Aug;82(8): e356-9 16) Blain-Paré E. Ehlinger M, Dosch JC, Moser T. Rapid osteolysis of the femoral neck: consequence of an insufficiency fracture of the hip? Skeletal Radiol. 2013 Aug;42(8):1089-95 17) Gille J, Gille M, Gahr R, Wiedemann B. Acute pain management in proximal femoral fractures: femoral nerve block (catheter technique) vs. systemic pain therapy using a clinic internal organisation model. Anaesthesist. 2006 Apr;55(4):414-22 18) Roberts KC, Brox WT, Jevsevar DS, Sevarino K. Management of hip fractures in the elderly.J Am Acad Orthop Surg. 2015 Feb 19) Mouzopoulos G. Vasiliadis G. Lasanianos N. Nikolaras G. Morakis E. Kaminaris M. Fascia iliaca block prophylaxis for hip fracture patients at risk for delirium: a randomized placebo-controlled study J. Orthopaed Traumatol 2009 , 10:127-133 20) Rich SE, Shardell M, Hawkes WG, Margolis DJ, Amr S, Miller R, Baumgarten M. Pressure-redistributing support surface use and pressure ulcer incidence in elderly hip fracture patients. J Am Geriatr Soc. 2011 Jun;59(6):1052-9 21) Robles MJ, Formiga F, Vidán MT. Delirium prevention and treatment in elderly hip fracture. Med Clin (Barc). 2014 Apr 22;142(8):365-9 22) Kalisvaart KJ, de Jonghe JF, Bogaards MJ, Vreeswijk R, Egberts TC, Burger BJ, et al. Haloperidol prophylaxis for elderly hip-surgery patients at risk for delirium: a randomized placebo-controlled study. J.Am.Geriatr.Soc. 2005 Oct;53(10):1658-1666 23) Ollivere B, Rollins K, Brankin R, Wood M, Brammar TJ, Wimhurst J. Optimising fast track care for proximal femoral fracture patients using modified early warning score. Ann R Coll Surg Engl. 2012 May;94(4):267-71 24) Buord JM, Flecher X, Parratte S, Boyer L, Aubaniac JM, Argenson JN. Garden I Femoral neck fractures in patients 65 years old and older: is conservative functional treatment a viable option? Orthop Traumatol Surg Res. 2010 May;96(3):228-34 25) Taha ME 1 , Audigé L, Siegel G, Renner N. Factors predicting secondary displacement after non-operative treatment of undisplaced femoral neck fractures. Arch Orthop Trauma Surg. 2015 Feb;135(2):243-9. doi: 10.1007/s00402-014-2139-9. Epub 2014 Dec 31. 26) Chacko AT 1 , Ramirez MA, Ramappa AJ, Richardson LC, Appleton PT, Rodriguez EK Does late night hip surgery affect outcome? J Trauma. 2011 Aug;71(2):447-53; discussion 453. doi: 10.1097/TA.0b013e3182231ad7 27) Bjorkelund KB, Hommel A, Thorngren KG, Lundberg D, Larsson S. The influence of perioperative care and treatment on the 4-month outcome in elderly patients with hip fracture. AANA J. 2011 Feb;79(1):51-61 28) Parker MJ, Handoll HH, Griffiths R: Anaesthesia for hip fracture surgery in adults. Cochrane Database Syst Rev 2004, (4)(4):CD000521. 29) White SM, Griffiths R, Holloway J, Shannon A. Anaesthesia for proximal femoral fracture in the UK: first report from the NHS Hip Fractures Anaesthesia Network. Anaesthesia 2010 Mar;65(3):243-8 30) Martin VC. Hypoxaemia in elderly patients suffering from fractured neck of femur. Anaesthesia 1977;32(9):852-67. 31) Gillespie WJ, Walenkamp GH Antibiotic prophylaxis for surgery for proximal femoral and other closed long bone fractures. Cochrane Database Syst Rev. 2010 Mar 17;(3):CD000244 32) Palm H, Krasheninnikoff M, Halck K, Lemser T, Bang Foss N, Jacobsen S, Kehlet H, Gebuhr P A new algorithm for hip fracture surgery.Reoperation rate reduced from 18% to 12% in 2,000 consecutive patients followed for 1 year. Acta Orthopaedica 2012 33) German Guideline Hip Fractures DGU, Leitlinien Unfallchirurgie – überarbeitete Leitlinie S2-e,AWMF-Nr. 012 – 001 / 012-002, 2014 34) Eseonu KC, Middleton SD, et.al. A retrospective study of risk factors for poor outcomes in methicillin-resistant staphylococcus aureus (MRSA) infection in surgical patients. J Orthop Surg Research 2011;6:25. 35) Duckworth AD, Phillips SA, et.al. Deep infection after hip fracture surgery: predictors of early mortality. Injury 2012;43(7): 1182-6. 36) Masud T,Morris RO.Epidemiology of falls. Age Ageing 2001;30:2-7. 37) Rosencher NVC, Emmerich J, Fagnani F, Samama CM; the ESCORTE group. Venous thromboembolism and mortality after hip fracture surgery: the ESCORTE study. J Thromb Haemost 2005; 3(9):2006-14. 38) Handoll H, Farrar M, McBirnie J, Tytherleigh-Strong G, Milne A, Gillespie W. Heparin, Low molecular weight heparin and physical methods for preventing deep vein thrombosis and pulmonary embolism following surgery for hip fractures. The Cochrane Library 2006(4):(CD000305). 39) Sobieraj DM, Coleman CI, Tongbram V, Chen W, Colby J, Lee S, Kluger J, Makanji S, Ashaye A, White CM. Comparative effectiveness of low-molecular-weight heparins versus other anticoagulants in major orthopaedic surgery: a systematic review and meta-analysis.Pharmocotherapy. 2012 Sep;32(9):799-808 40) Carpintero P, Caeiro JR, Carpintero R, Morales A, Silva S, Mesa M. Complications of hip fractures: A review World J Orthop. 2014 Sep 18;5(4):402-11 41) Hedström M 1 , Ljungqvist O, Cederholm T. Acta Orthop. 2006 Oct;77(5):741-7. Metabolism and catabolism in hip fracture patients: nutritional and anabolic intervention-a review. 42) Keehan R 1 , Rees D 2 , Kendrick E 1 , Bradshaw C 1 , Flavell E 2 , Deglurkar M 1 . Geriatr Orthop Surg Rehabil. 2014 Jun;5(2):37-42. doi: 10.1177/2151458513520167. Enhanced recovery for fractured neck of femur: a report of 3 cases. 43) Kiel DP et al.: Efficacy of a hip protector tp prevent hip fracture in nursing home residents.The HIP PRO randomited controlled trial. JAMA 298: 413-422, 2007 44) Queally JM, Kiernan C, Shaikh M, Rowan F, Bennett D. 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PRICE REDUCTION OF SOLAR THERMAL SYSTEMS Work Plan 2015 -2018 May 2016 (rev. 2) History of changes \| \| Page \| \| Section \| Changes / Remarks \| \|---\|---\|---\|---\|---\| \| 4 \| 4 \| Project A.1, activities \| Project A.1, activities \| Term "7-10 reference systems" changed to \| \| \| \| \| \| "minimum five reference systems" \| \| \| 4-5 \| \| Project A.2 - A.5, activities \| Project A.2 - A.5 are merged, named A.2. \| \| \| 4 \| \| Project A.2, deliverables \| Deliverables reduced from 4 to 2 (now A.3, A.4) \| \| \| 4 \| \| Project A.2, new activity and deliverable \| Definition of "cost tool" and deliverable added. \| \| \| 5 \| \| Timescale / Milestones \| Updated according to changes above. \| \| \| Approved earlier: \| \| \| \| \| \| 4 \| \| Project overview, projects A.2 and A.4 \| Term “non-technical” deleted \| \| \| 4 \| \| Project A.2, title, text and name of deliverable \| Term “non-technical” deleted \| \| \| 5 \| \| Project A.4, title, text and name of deliverable \| Term “non-technical” deleted \| \| \| 5 \| \| Project A.5, D. A.5 \| Change reference syst. to “optimized systems” \| \| \| 6 \| \| Timescale / Milestone \| Quarter 4, / year 1; DA.2 changed to D A.1 \| Objectives This Task aims at the purchase price reduction for end-users of installed solar thermal systems by evaluating and developing sustainable means to reduce production and/or installation costs on material, sub-component, system-component and system level. Special emphasis is placed on the identification and reduction of post-production cost drivers, e.g. channels of distribution. An extensive market research and the definition of reference systems, cost analyses, and the study of socio-political boundary conditions for solar thermal prices in selected regions will provide the basis for the evaluation of cost-structures and the cost reduction potential. A reduction of the purchase price up to 40% contrasted to the applied reference systems shall be achieved by: - Simplified system designs - Less but innovative and cost-efficient materials - Standardized components (e.g. collector, storage tank), subcomponents (e.g. connectors, casing parts) and installation - Low production costs - Plug & play systems for a simplified installation - Reduced maintenance and operation costs Additionally, ways to make solar thermal more attractive by improved marketing and consumer-oriented design will be explored. The research activities shall be specifically targeted at the needs and potentials of different markets and offer tailored solutions for affordable solar thermal systems at a competitive price. Means The objectives shall be achieved in the following subtasks: Subtask A: Market success factors and cost analysis (Norway, Michaela Meir) Subtask B: System design, installation, operation and maintenance (Germany, Stephan Fischer) Subtask C: Cost-efficient materials, production processes and components (Austria, Gernot Wallner) Subtask D: Information, dissemination and stakeholder involvement (Germany, Sandrin Saile) Operating Agent: Germany (Michael Köhl) Subtask A: Market success factors and cost analysis Objectives Subtask A contains the investigation of regionally typical solar thermal applications and system designs and definition as reference systems for the investigation of the cost reduction potential in all subtasks. Their entire aim is to arrive at a purchase price reduction of up to 40%. To this end, Subtask A shall initially focus on all cost factors beyond technical process steps such as channels of distribution and installation. The objective is to develop an understanding of the post-production cost drivers in selected markets that should be taken into account alongside the technical developments carried out in Subtask B and C. Therefore, part of this Subtask will additionally be dedicated to an investigation of the political and legal boundary conditions that support or hinder the use of solar thermal systems in selected markets. Market success factors such as marketing and awareness raising activities, aspects of branding and consumer friendly design will be researched as additional tools to boost the market penetration of solar thermal applications. The most relevant systems per geographic region will be defined in close cooperation with the involved industry in the frame of an issue-specific expert round at the beginning of the Task in combination with the 2 nd Task meeting. The expert rounds are organized by Subtask D. They will be followed by LCA and LCC analyses, laying the groundwork for the material and process related cost analyses and work on optimized systems in Subtask B and C. The main results of this subtask are: - Definition of reference systems - Comprehensive cost category analyses with regard to production, installation, maintenance, and distribution channels - Performance of LCA as a basis for LCC of reference systems and optimized systems - Identification of the cost reduction potential at the investigated markets - Identification of the most promising cost reduction measures - Identification of non-technical success factors such as global mega trends, branding, industrial design, quality, and customer needs - Identification of political and legal boundary conditions supporting or hindering the market penetration of solar thermal systems (subsidy mechanisms, legal requirements, standardisation, certification, energy labelling, etc.) They will be achieved in the frame of different projects: Projects Project A.1: Definition of solar thermal and conventional reference systems Project A.2: Cost tool definition, life cycle costs of reference and optimized systems Project A 3: Political, legal and social boundary conditions Project A.4: Market success factors Project A.1: Definition of solar thermal and conventional reference systems Activities: Project A1, Definition of minimum five reference systems 1 as basis for a cost / performance comparison and definition of non-variables: application (e.g. DHW, space heating in single and multi-family houses), location and system design in the frame of an expert round with industrial partners in combination with the 2 nd task experts meeting. Deliverables: Project A.2: Cost tool definition, life cycle costs of reference and optimized systems Activities: In this project, a tool will be defined, which allows to quantify and compare costs (cost reduction) of solar thermal systems. Cost and life cycle analyses (LCC / LCA) for reference systems will be carried out with focus on post-production costs (distribution channels, installation, warranty costs, etc.). For selected reference the focus will be on aspects along the complete value creation chain with the aim of a complete cost breakdown as basis for optimization in Subtask B and C. As next step cost and life cycle analyses (LCC / LCA) for the optimized systems will be carried out in the same line and for comparison with the reference systems. Deliverables: \| No. \| Deliverable \| \|---\|---\| \| D A.2 \| Report on selected tool for quantifying and comparing costs \| \| D A.3 \| Report on cost structure for reference systems \| \| D A.4 \| Report on cost structure for optimized systems \| 1 In the framework of this task a reference system is a system typical for one purpose (e.g. domestic hot water preparation) and one country. These reference systems serve as reference for all cost improvements. However cost improvements are not limited to reducing the costs of parts of the reference system or its installation but include also alternative system designs with the same or higher solar yields. Project A.3: Political, legal and social boundary conditions Activities: This project deals with aspects that have the power to either support or hinder the market penetration of solar thermal systems. Factors such as e.g. subsidy mechanisms, legal requirements, standardisation, certification, etc. will be identified and analysed in detail. Deliverables: \| No. \| Deliverable \| \|---\|---\| \| D A.5 \| Report on impact of political, legal and social boundary condi- tions \| Project A.4: Market success factors Activities: Investigation of market success factors with the potential to additionally support the market penetration of investigated solar thermal applications. In the centre of interest are beneficial marketing activities and mechanisms, awareness raising activities, aspects of branding, consumer-oriented industrial design. Marketing specialists of the involved industry partners will be invited to a workshop on marketing strategies. The workshop will be organized in close cooperation with Subtask D. Timescale / Milestones (quarters) \| Project \| 1 \| 2 \| 3 \| 4 \| \| 5 \| \| 6 \| 7 \| 8 \| \| 9 \| 10 \| 11 \| 12 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| A.1 \| \| \| \| \| D A.1 \| \| \| \| \| \| \| \| \| \| \| \| \| A.2 \| \| \| \| \| \| \| D A.2 \| \| \| \| D A.3 \| \| \| \| \| D A.4 \| \| A.3 \| \| \| \| \| \| \| \| \| \| \| D A.5 \| \| \| \| \| \| \| A.4 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| D A.6 \| Subtask B: System design, installation, operation and maintenance Objectives In the frame of Subtask B, cost reduction shall be achieved by the optimization of system designs and the use of standardized, prefabricated components and sub-components as well as standardized installation based on a critical evaluation of the involved costs. The aim is to reduce the costs for the kWh heat produced by solar thermal of the investigated reference systems up to 40%. This shall be achieved by a standardisation of components e. g. collectors, stores, controllers and mounting devices and an optimization of the reference systems with regard to simple installation, operation and maintenance of established systems or the development of innovative new system concepts in accordance with the selected markets and approaches developed in Subtask A. Investigated are systems with low production costs (recommended by Subtask C) or systems promising easy installation, commissioning, operation and maintenance (e.g. by means of pre-fabricated, standardized components, plug & play systems, etc.). The aim is to arrive at optimized and standardised systems, which are - easy to produce - easy to install (e.g. less fastening points, standardized mounting, easy to assemble components) - easy to control (e.g. by simplified controllers) - easy to recycle - easy to maintain The main results of this subtask are: - New component proposals for a 40% price reduction - Proposals for innovative, new system concepts - Proposals for optimized system concepts - Proposals for standardization of components and installation They will be achieved in the frame of different projects: Projects Project B.1: Definition of standardised components Project B.2: Manufacturing costs Project B.3: Technical after sales costs Project B.4: Cost optimization of reference systems Project B.5: New proposals for a 40% price reduction Project B. 1: Definition of standardised system components Activities: - Identification of possibilities to standardize the system components (collector, storage tank, etc.) with respect to size, hydraulic connections, position of temperature sensors, etc. to enable cheaper procurement of sub-components and standardised installation of the systems. - Identification of cost savings by the use of the standardised system components for solar thermal systems. Deliverables: \| No. \| Deliverable \| \|---\|---\| \| D B.1 \| Potential cost savings by use of standardised. components \| Project B.2: Production costs Activities: Detailed cost analysis with regard to purchasing costs of subcomponents and the costs during the manufacturing process for the reference systems. Results will contribute to the total cost breakdown elaborated Subtask A. Deliverables: Project B.3: Installation and operation costs Activities: This project is dedicated to costs pertaining to installation, operation and maintenance for the reference systems. Results will contribute to the total cost breakdown elaborated in Subtask A 3. Deliverables: \| No. \| Deliverable \| \|---\|---\| \| D B.3 \| Report on cost analysis for installation, operation and mainte- nance for the reference systems. \| Project B.4: Cost optimization of reference systems Activities: Proposals for a cost optimization of the reference systems and the reduction of overall costs shall be elaborated and contribute to the comprehensive cost analysis of optimized systems in Subtask A 5. Deliverables: \| No. \| Deliverable \| \|---\|---\| \| D B.4 \| Report on cost optimization of reference systems and tech- nical after sales costs \| Project B.5: New proposals for a 40% price reduction Activities: Developments of new proposals for up to 40% price reduction of selected applications (e.g. building integrated, HVAC, control systems). The price reduction shall be tackled from different sides; aspects to be considered are system design, control systems, installation / commission as well as operation and maintenance. Deliverables: Timescale / Milestones (quarters) \| Project \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| \| 9 \| \| 10 \| 11 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| B.1 \| \| \| \| \| \| \| \| \| D B1 \| \| \| \| \| \| \| B.2 \| \| \| \| \| \| \| \| \| \| \| D B2 \| \| \| \| \| B.3 \| \| \| \| \| \| \| \| \| \| \| D B3 \| \| \| \| \| B.4 \| \| \| \| \| \| \| \| \| \| \| \| \| \| D B4 \| \| B.5 \| \| \| \| \| \| \| \| \| \| \| \| \| \| D B5 \| Subtask C: Cost-efficient materials, production processes and components Objectives The aim of this subtask is to develop and evaluate cost-efficient and reliable materials and components for solar thermal systems. The work will be based on the needs defined in Subtask A and is conducted in close cooperation and interaction with Subtask B. In order to achieve these goals, the activities in Subtask C will be: - Development, characterization and evaluation of plastics and hybrid (organic/inorganic) materials, thermo tropic overheating protection, cheap solutions based on thermoplastics - Development, characterization and evaluation of other materials with cost-reduction potential (e.g. metal light weight constructions, composites, etc.) - Identification of possibilities for reduced material usage, e.g. through assessment of the need for high efficient materials - Identification of new production processes linked with innovative materials and new approaches in terms of collector components (e.g. adhesive bonding instead of mechanic bonding; fully adhesive edge bond; polymeric collector components; roll-bond absorber technology) - Development of innovative, cost-efficient components - Development of new test methods for component testing (failure testing, impact testing, media resistance) Projects Project C.1: Identification of major cost drivers Project C.2: Material substitution and functional integration Project C.3: Innovative, cost-efficient processes and components Project C.1: Identification of major cost drivers and saving potentials Activities: In order to gain knowledge on savings potential on material and component level, respective methods of other industry sectors shall be researched. Based on the results of the costs analysis in Subtask B, the major cost drivers of the reference systems (component and material level) shall then be identified and selected for optimization in projects C 2 to C 4. Project C1 further includes a critical cost assessment for the optimized materials that will be used as input for the comprehensive cost analyses of optimized components and systems in Subtask A 5. Deliverables: \| No. \| Deliverable \| \|---\|---\| \| D C.1 \| Report on cost reduction methods in other industries \| \| D C.2 \| Report on cost drivers and selected components and materi- als for optimization \| \| D C.3 \| Cost assessment for optimized components and materials \| Project C.2: Material substitution and functional integration Activities: The aim of this project is to have a look at alternatives to the major cost drivers identified in C 1. Ways of material reduction or substitution and functional integration, either by the formulation and development of plastics or hybrid materials or the evaluation of other materials with cost reduction potential (e.g. metal, composites, etc.) will be investigated. Appropriate testing methods will be established in order to qualify alternative materials for their use in solar systems. Deliverables: \| No. \| Deliverable \| Month \| \|---\|---\|---\| \| D C.4 \| Report on testing and qualification methods (material level) \| 27 \| Project C.3: Innovative, cost efficient processes and components Activities: This project will research and transfer best practice examples from other industry branches that successfully introduced cost-efficient, highly prefabricated components or subcomponents by innovative and fully automated processes. Its aim is the modelling and testing of innovative, cost efficient components for solar thermal systems which can be transferred to the research activities in Subtask B. - Transfer of knowledge and expertise from component manufacturers - Methods for pre-qualification, optimization and scale-up of components - Modelling and design of components \| No. \| Deliverable \| \|---\|---\| \| D C.6 \| Report on testing and pre-qualification methods for components of solar-thermal systems \| \| D C.7 \| Report on the potential of design of less expensive components \| Time-scale / Milestones (quarters) \| C.1 \| D C1 \| D C2 \| D C3 \| \|---\|---\|---\|---\| \| C.2 \| \| D C4 \| D C5 \| \| C.3 \| \| D C6 \| D C.7 \| Subtask D: Information, dissemination and stakeholder involvement Objectives: As interface to stakeholders outside the Task, Subtask D will involve the relevant industry to support the Task activities and make use of its accomplishments. It will also address the endusers and consumers of solar thermal systems, inform them about innovative possibilities created by the Task and thus provide a gateway to important stakeholder groups inside and outside industrial and academic circles. In order to achieve this goal, this subtask will conceptualize and implement networking events to bring industry, research, end-users and installers together. It will support and promote the results of the entire Task, in particularly those of Subtask A, where a synergetic collaboration is envisaged. Activities involve the organization of workshops to provide input for Subtask A as well as PR activities that are specifically tailored to fit the needs of the marketing measures developed in Subtask A. Dissemination is further ensured by the organization of national or international dissemination workshop(s), scientific publications, presentations on conferences and trade fairs and other PR and marketing activities. The main results of this subtask are: - Input and support from industrial companies. - Publications in reviewed journals, magazines and conference proceedings. - Public website and online information. - Networking and dissemination events. Project D.1: Industry liaison Activities: Project D.1 will serve as a gateway to the interested solar thermal community, industry and research, to political decision makers as well as installers and end-users of solar thermal systems. To ensure a routinely and active exchange and to provide input to the ongoing research, especially the topics dealt with in Subtask A, issue-specific workshops and expert rounds will be organized. Further national and international dissemination and networking activities can be planned and implemented in accordance with the specific needs and wishes of the Task participants. Deliverable: \| No. \| Deliverable \| Month \| \|---\|---\|---\| \| D D.1 \| Workshop with invited industrial partners to assess the needs of the involved industry and to identify reference systems in Subtask A (gain and select input for Subtask A) \| 9 \| \| D. D.2 \| National dissemination workshop by Task partner(s) \| 24 \| \| D D.3 \| Marketing workshop (in collaboration with Subtask A) \| 27 \| \| D D.4 \| Workshop for exploitation and dissemination \| 33 \| Project D2: Dissemination and information Activities: This project will make use of various publication and dissemination measures such as a public website, regular newsletters, scientific publications and presentations on conferences. To ensure that the findings will be distributed in the most appropriate channels, online publication as well as a close cooperation with solarthermalworld.org is envisaged. Deliverables: \| No. \| Deliverable \| \|---\|---\| \| D D.5 \| Public website and press release \| \| D D.6 \| e-Newsletter \| \| D D.7 \| Publications (reviewed journals, online, conferences, etc.) \| Time-scale / Milestones (quarters) \| Project \| 1 \| \| 2 \| 3 \| \| 4 \| \| 5 \| 6 \| 7 \| 8 \| \| 9 \| \| 10 \| 11 \| 12 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| D.1 \| \| \| \| \| DD 1 \| \| \| \| \| \| \| DD2 \| \| DD3 \| \| \| \| DD4 \| \| D.2 \| DD5 \| DD5 \| \| \| \| DD6 \| DD6 \| \| \| \| DD6 \| DD6 \| \| \| \| \| \| DD 6 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| DD8 \|
NSAB 2000 GENERAL CONDITIONS OF THE NORDIC ASSOCIATION OF FREIGHT FORWARDERS GENERAL CONDITIONS OF THE NORDIC ASSOCIATION OF FREIGHT FORWARDERS Note: Authentic text in Danish, Finnish, Norwegian and Swedish respectively. These conditions taking effect on June 1st, 1998, have been agreed between the Nordic Association of Freight Forwarders and the following organisations: DENMARK: SWEDEN: Erhvervenes Transportudvalg NORWAY: Transportbrukernes Fellesorganisasjon FINLAND: Industrins och Arbetsgivarnas Centralförbund Svensk Handel Svenska Handelskammarförbundet Sveriges Industriförbund ICA Aktiebolag Kooperativa förbundet Lantbrukarnas Riksförbund Centralhandelskammaren Handelns Centralförbund Finlands Befraktarråd The conditions give the customer in all respects at least the degree of protection stipulated by the FIATA Model Rules for Freight Forwarding Services (1996 version). INTRODUCTORY CONDITIONS 3) when he undertakes carriage of goods by road. The General Conditions of the Nordic Association of Freight Forwarders set forth the freight forwarder's and the customer's rights and obligations, including the freight forwarder's liability under various transport law conventions, such as CIM, CMR, the Hague-Visby Rules and the Warsaw Convention. B. Under §§ 24 – 26 the freight forwarder has a liability as intermediary, without liability as carrier, with regard to carriage of goods not covered by A. APPLICABILITY Unless otherwise expressly agreed, these conditions will apply to members of national associations affiliated with the Nordic Association of Freight Forwarders, and also to other parties having agreed to apply them. § 1 THE FREIGHT FORWARDER CONTRACT The freight forwarder contract may include the performance of: § 2 – carriage of goods – other services in connection with the transport or storage of goods, such as – storage of goods 1) clearance of goods, 3) handling and marking of goods, 2) cooperation in the performance of the customer's obligations under public law, 4) signing of insurance, 6) collection of 'cash on delivery' charges and other assistance concerning the payment for the goods, 5) assistance with documents for export and import, 7) advice in matters of transport and distribution. A. The freight forwarder has a liability as The freight forwarder may carry out these services either on his own account or as intermediary. a) when he performs the carriage of goods with his own carrier under §§15-23: means of transport (performing carrier), or The freight forwarder shall be considered as contracting carrier: b) when he has expressly or impliedly accepted liability as carrier (contracting carrier). 1) when he has issued a transport document in his own name, 2) when in connection with marketing or in his offer he formulated his undertaking in such a way, e.g. quoting his own price for the transport, that it can be reasonably assumed that he has undertaken a liability as carrier, a) when he has a liability as carrier in accordance with A., C. The freight forwarder's liability includes liability for those he has engaged to perform the contract (agents and independent contractors): b) when the services have been performed by himself with c) when he has accepted responsibility for the services on his own account. the help of his own equipment or employees, or These conditions apply equally to the persons of whose services the freight forwarder makes use for the performance of the contract as to the freight forwarder himself, irrespective of the grounds for the customer's claims against the freight forwarder and such other persons. The aggregate liability of the freight forwarder and such other persons is limited to what applies to the freight forwarder's liability under these conditions. In other cases than those mentioned under a) – c) the freight forwarder is responsible as intermediary without liability for other parties than his own employees. When the freight forwarder has undertaken to perform the contract on his own account, in addition to what has been expressly agreed, general practice and generally accepted terms are applicable in so far as they do not deviate from these conditions. D.With regard to warehousing, the conditions of § 27 apply. THE CUSTOMER In the present conditions, the customer is the party that has concluded a contract with the freight forwarder, or that has acquired the rights of that party. The liability of the customer is governed by the conditions of § 28. § 3 GENERAL CONDITIONS THE PERFORMANCE OF THE CONTRACT § 4 It is incumbent upon the parties to provide each other with information necessary for the performance of the contract. The freight forwarder undertakes to collect, take care of and procure the transport of goods in accordance with the contract and in a suitable way for the customer with generally used means and routes of transport. Instructions to the freight forwarder concerning the scope of the contract shall be given directly to him. Information contained in the invoice stating that goods have been sold cash on delivery or against a declaration of value specified in the dispatch instructions does not therefore mean that the freight forwarder has undertaken to collect the invoice amount or sign insurance. § 5 Should the freight forwarder, or any of those for whom he is responsible, wilfully have caused damage, delay or other loss, he may not invoke the rules in these conditions which exonerate him from or limit his liability, or alter the burden of proof, unless otherwise stated in § 23. It is the duty of the freight forwarder to prove that, according to the contract, he has protected the customer's interests in a diligent manner. § 6 The freight forwarder is (with a time guarantee) liable for the goods arriving within the time that: The freight forwarder is responsible for ensuring that the goods arrive within a reasonable time (without a time guarantee). When assessing such reasonable time, regard shall be had to information as to the expected time of arrival stated by the freight forwarder in his marketing or in connection with the signing of the contract. – has been agreed upon in writing as a special, timeguaranteed transport – has been presented by the freight forwarder in a written quotation that was accepted by the customer. – has been submitted in writing as a condition of an offer expressly accepted by the freight forwarder § 7 If the risk of depreciation of goods already taken over arises or, if by reason of the nature of the goods, there is a danger to persons, property or to the environment, and the customer cannot be reached, or should he not, upon being requested to remove the goods, arrange to do so, the freight forwarder may take appropriate measures in respect of the goods, and, if necessary, sell the goods in an appropriate manner. The freight forwarder may, depending on the circumstances and without notice, sell on behalf of the customer, render harmless or destroy goods which are in danger of becoming worthless or extensively depreciated, or which give rise to imminent danger. If it becomes necessary for the freight forwarder in the performance of the contract to act before seeking instructions, he does so at the customer's risk and for his account. After deduction of reasonable expenses connected with the sale, the sum received from the sale shall be immediately reported to the customer. For such expenses the freight forwarder may debit a special expense charge. The freight forwarder shall notify the customer as soon as possible of measures that have been taken, and, upon request, supply evidence of any expenses in connection herewith, as well as prove that he has exercised due diligence in limiting costs and risks. § 8 The freight forwarder has a duty to notify a claim against a third party, where goods have been damaged, delayed or when some other loss has occurred due to that party's acts or omissions. The freight forwarder shall inform the customer and consult with him in order to take such steps as are necessary to secure the customer's claim to compensation from the party who has caused the damage or loss, or who is responsible therefore, and shall, when requested to do so, assist the customer in his relation to the third party. If so requested, the freight forwarder shall transfer to the customer all rights and claims that the freight forwarder may have under his agreement with a third party. § 9 Unless otherwise agreed, the customer is obliged, upon request, to make advance payment for such expenses as may be incurred in the performance of the contract. The freight forwarder's quotation is based on information relevant to the contract supplied to the forwarder, or else on circumstances that are deemed by the forwarder as normal for the intended contract. If the circumstances do not indicate otherwise, the freight forwarder should be able to assume that the goods which have been handed over for carriage are of such a nature and such a relation between weight and volume as are normal for the type of goods in question. § 10 Unless otherwise agreed, when the goods have not been delivered for transport, and the contract therefore cannot be wholly or partially executed as agreed, the freight forwarder has the right to receive the agreed payment for freight and other remuneration less what the freight forwarder has saved, or could reasonably have saved, by not having to execute the contract. Notwithstanding the customer's obligations as to payment under contracts of sale or freight agreements with parties other than the freight forwarder, he has a duty upon request, to pay the freight forwarder what is due for the contract (remuneration, advance payment, refund of outlays) against appropriate documentation. Although the freight forwarder has given the customer the right to defer payment until the arrival of the goods at destination, the customer has nevertheless a duty, when so requested, to pay the freight forwarder what is due, if, due to circumstances beyond the freight forwarder's control, the contract cannot be performed as agreed provided such non-performance is not due to a cause which is the freight forwarder's responsibility under these conditions. § 11 As regards outlays in addition to those which have been expressly agreed upon, or which normally follow from the freight forwarder's contract and which have not been paid in advance to him, the freight forwarder has the right to compensation for documented outlays and costs connected therewith. The freight forwarder has the right to special compensation for work which is clearly necessary in addition to what has been explicitly agreed upon or normally follows from the freight forwarder's contract. The compensation is determined in accordance with the same principles as those applying to the compensation for the services under the contract. § 12 If the freight forwarder has to pay additional amounts for the agreed services, the customer has a duty upon request to refund these amounts subject to appropriate documentation. It is the freight forwarder's duty to check, and if possible, ensure together with the customer, that the services rendered are within the scope of the contract, and that the amounts debited are reasonable. The freight forwarder shall, if possible, inform the customer prior to such payment being made. § 13 Should the performance of the contract be interrupted by reason of hindrances beyond the freight forwarder's control, he is entitled to refund of outlays incurred and work carried out against appropriate documentation. LIEN, ETC. The freight forwarder has a lien on the goods under his control, for fees and expenses in respect of such goods – remuneration and warehousing charges included – as well as for all other amounts due from the customer under contracts according to § 2 above. § 14 Should the goods be lost or destroyed, the freight forwarder has similar rights in respect of compensation payable by insurance companies, carriers or others. Should the amount due to the freight forwarder not be paid, he has the right to arrange the sale, in a satisfactory manner, of as much of the goods as is required to cover the total amount due to him, including expenses incurred. The freight forwarder shall, if possible, inform the customer well in advance what he intends to do with regard to the sale of the goods. SPECIAL CONDITIONS THE FREIGHT FORWARDER'S LIABILITY AS CARRIER The freight forwarder is liable as carrier in accordance with §§ 16 – 23 for loss, depreciation of or damage to goods, occurring between the moment when the goods have been taken over for transport until the moment the goods have been delivered, as well as for delay in delivery. § 15 In any event, the liability ceases 15 days after the freight forwarder has informed the party who has the right to receive the goods that the goods have arrived, or has forwarded a written notice in this respect to the address stated by the customer. Thereafter, the freight forwarder is liable for taking care of the goods as agreed or follows from his duty to protect the customer's interests in a diligent manner under § 5. § 16 a) fault or neglect of the customer, There is no liability if loss, depreciation, damage or delay is caused by: b) handling, loading, stowage or unloading of the goods by the customer or anyone acting on his behalf, d) lack of or insufficient packing, c) the inherent nature of the goods to be easily damaged, e.g. by breakage, leakage, spontaneous combustion, rotting, rust, fermentation, evaporation or being susceptible to cold, heat or moisture, e) faulty or insufficient address or marking of the goods, g) circumstances which the freight forwarder could not avoid f) faulty or insufficient information about the goods, and the consequences of which he was unable to prevent. The stipulations of a) – f) notwithstanding, the freight for- warder is liable to the extent that his fault or neglect has caused or contributed to the loss, depreciation, damage or delay. Unless specifically agreed, the freight forwarder is not liable for money, securities and other valuables. When assessing the freight forwarder's liability under points b), d) and e), consideration shall be taken of whether, despite his knowledge of the circumstances, the freight forwarder has approved or failed to object to the customer's measures concerning the goods. § 17 Freight charges, customs charges and other outlays connected with the transport of the goods lost will also be compensated. Apart from that, the freight forwarder is not obliged to pay any compensation, e.g. for loss of profit, loss of market or other loss of any kind whatsoever. Compensation for loss or depreciation of goods shall be calculated on the basis of their invoice value, unless it is proved that their market value, or the current value of goods of the same kind and nature at the time and place the freight forwarder took over the goods was different from the invoice value. Compensation will not be paid for antique value, sentimental value or other special value. § 18 Compensation for damaged goods shall be paid to an amount equivalent to the extent of depreciation in value. The amount is arrived at by using the percentage of depreciation in value consequent upon damage to the goods, in relation to the value of the goods, as laid down in § 17, par. 1. Expenses referred to in § 17, par. 2, first sentence, will also be paid to the same extent, but apart from this, the freight forwarder is not obliged to pay any further compensation. § 19 If the freight forwarder has paid the full value of the goods, he may take over title to the goods if he so desires. Delay § 20 A.If the goods are delivered too late under § 6, par. 1, the freight forwarder shall compensate the customer for such direct and reasonable expenses as could have been foreseen as probable consequences of the delay at the time of the conclusion of the contract, although with an amount not exceeding a sum equivalent to the freight or other compensation agreed in the contract. B. When a time guarantee has been agreed, according to § 6, par. 2, and the agreed time of transport has been exceeded, the freight forwarder shall, unless otherwise agreed, credit the customer for the freight or any other compensation agreed upon for the transport. This does not apply if the delay was caused by circumstances beyond the freight forwarder's own control, except that with regard to carriage of goods by road within Europe the freight forwarder is liable also for circumstances within the control of persons engaged by him for the performance. Compensation for delay shall never exceed the amount of the freight. The customer shall be considered to have suffered a loss equivalent to the amount of the freight, as long as it cannot be shown that the amount of the loss is smaller. In the latter case only the amount equivalent to the loss shall be credited. Delay and total loss – with regard to international road transports, within 30 days after the expiry of the agreed period of time, or, if no particular period of time has been agreed upon, within 60 days from the moment the goods were accepted for transport The customer has the right to compensation as if the goods had been lost if no delivery has been made – for other types of transport, within 60 days from the time when the goods should have arrived. The customer has no right to compensation as if for total loss if the freight forwarder can prove within the above mentioned time limits that the goods have not been lost and that they can be delivered within a reasonable period of time. § 22 For loss, depreciation of or damage to goods the freight forwarder's liability is limited to SDR 8,33 per kg gross of the part of the goods which has been lost, depreciated or damaged. § 23 If a certain mode of transport has been expressly agreed upon, or if it is proved that loss, depreciation, damage or delay has occurred whilst the goods were being carried by a particular means of transport, the freight forwarder shall instead be liable in accordance with the law applicable to such mode of transport and the commonly used and generally accepted conditions of carriage, to the extent that these deviate from what is laid down in § 5, par. 2 or §§ 15 – 22. THE FREIGHT FORWARDER'S LIABILITY AS INTERMEDIARY The freight forwarder is liable for damage resulting from his lack of due diligence in the performance of the contract. It is the duty of the freight forwarder to prove that he has exercised such due diligence in order to protect the customer's interests according to the contract. § 24 The freight forwarder is not liable for acts or omissions of third parties in performing the transport, loading, unloading, delivery, clearance, storage, collection or other services rendered by the freight forwarder, provided he can prove that he has acted with due diligence in choosing such third parties. Unless specifically agreed, the freight forwarder is not liable for money, securities and other valuables. § 25 In calculating the extent of compensation for loss, depreciation, damage and delay, the stipulations of §§ 17 – 19 and § 20 A., shall be applied correspondingly. § 26 a) for delay a sum equivalent to the agreed payment for the contract, The freight forwarder's liability as intermediary, etc. is limited to SDR 50 000 in respect of each contract, always provided that compensation cannot exceed: b) for loss, depreciation of or damage to goods SDR 8,33 per kg gross of the part of the goods which has been lost, depreciated or damaged. § 27 B. When the freight forwarder arranges storage as intermediary the provisions of §§ 24 – 26 apply. A. For storage of goods in connection with a transport for which the freight forwarder is liable as carrier, he is liable for a period of 15 days after the transport in accordance with the provisions of §§ 15 – 23. C. For other storage the freight forwarder is liable also for persons engaged for the performance of the contract. The following additional conditions apply: At the request of the customer the freight forwarder shall make an inventory of the stock. 1. The freight forwarder shall check and issue receipts for whole packages of goods received, without any liability, how-ever, for the content of the packages and invisible damage. The freight forwarder shall, upon opening the packages, immediately notify the customer of any defect or damage that he has observed or should have observed. 2. If the customer has not left any special instructions with regard to the storage of the goods, the freight forwarder may freely choose between various storage possibilities, provided that he exercises due diligence in so doing. The freight forwarder shall take care of the necessary delivery control. 3. Unless otherwise instructed in writing by the customer, the freight forwarder shall sign insurance for the risks of fire, water and burglary in his own name and for account of the customer based upon the invoice value at the time of storage + 10 %. The freight forwarder is liable for delay according to §§ 20 – 21. For loss, depreciation of or damage to the goods not covered by insurance in accordance with the above, or when no insurance has been taken out, the freight forwarder is liable for negligent acts or omissions with the determination and limitation of liability specified in §§ 17 – 19 and § 22. The freight forwarder's liability in relation to all customers is limited, however, to SDR 500 000 with regard to damages occurring on one and the same occasion. 4. If goods in store, by reason of their nature, are deemed to be a danger to property or persons, the customer has a duty to remove the goods immediately. 5. The customer shall inform the freight forwarder at the latest at the time of delivery of the address to which notice concerning the goods shall be sent and at which instructions shall be received, and inform the freight forwarder immediately of any changes thereof. THE CUSTOMER'S LIABILITY § 28 a) the particulars concerning the goods are incorrect, unclear or incomplete, The customer has a duty to hold the freight forwarder harmless for damage or loss incurred by the freight forwarder owing to the fact that: b) the goods are incorrectly packed, marked or declared, or incorrectly loaded or stowed by the customer, d) due to errors or omissions by the customer the freight forwarder is obliged to pay duty or official taxes or to provide security. c) the goods have such harmful properties as could not have been reasonably foreseen by the freight forwarder, In assessing the customer's responsibility in accordance with a) and b) regard shall be had to whether the freight forwarder, despite his knowledge of the circumstances, has accepted or failed to make an objection to the measures taken by the customer in respect of the goods. Should the freight forwarder, in his capacity as charterer or shipper become liable in connection with carriage of the customer's goods by sea, to pay general average contribution to the shipowner or the carrier, or become exposed to claims from third parties for reasons stated above, the customer shall hold the freight forwarder harmless. NOTICE OF CLAIM AND DISPUTES NOTICE OF CLAIM Notice of claim shall be given to the freight forwarder without undue delay. In case of apparent depreciation or damage, notice should be given immediately upon the receipt of the goods. § 29 If notice of claim is given later than within seven days from the day when the goods were received, it is up to the party who gave notice of claim against the freight forwarder to prove that the damage or depreciation of the goods had occurred before the goods were received. If the claimant fails to prove this, the goods will be considered to have been delivered in perfect condition. Notice of claim concerning matters other than damage to, or depreciation or loss of the goods shall be given within fourteen days from the day on which the customer knew or ought to have known about the circumstances forming the basis of the freight forwarder's liability. If such notice of claim has not been given, the customer has lost his right of claim. When a particular mode of transport has been agreed upon with the freight forwarder, the statutory provisions and the generally approved conditions applicable to such mode of transport shall apply instead, to the extent that they deviate from what is stated in par. 1 above. TIME-BAR (Denmark, Finland and Sweden) Legal proceedings against the freight forwarder shall be commenced within a period of one year, otherwise the right of claim will have become lost. The time limit period runs: § 30 a) upon depreciation of or damage to goods from the day upon which the goods were delivered to the consignee, This time-bar shall apply when the freight forwarder's habitual place of business is located in Denmark, Finland or Sweden. b) upon delay, loss of the whole consignment or other kind of loss from the time at which the delay, total loss or other loss could at the earliest have been noticed. When a particular mode of transport has been agreed upon with the freight forwarder, the statutory provisions and the generally approved conditions applicable to such mode of transport shall apply instead, to the extent they deviate from what is stated in par. 1 above. ARBITRATION (Finland, Norway and Sweden) Finland § 31 Except as stated below, disputes between the freight forwarder and his customer shall not be referred to the courts, but shall be decided by arbitration and according to Finnish law. The arbi- trators shall be appointed by the Arbitration Institute of the Central Chamber of Commerce in Finland, and the arbitration shall be conducted according to the Rules of this Institute. The arbitration shall take place in the City of Helsinki. The commencement of legal proceedings for the collection of undisputed claims does not imply a waiver of arbitration with respect to disputed counter-claims which may not be enforced, litigated or set-off other than by means of arbitration. Disputes concerning amounts which do not exceed EUR 30 000, or which concern customers who have entered into the contract mainly for private purposes shall not, however, be subject to arbitration. Norway The Rules for Arbitration and Alternative Dispute Resolution of the Arbitration Institute of the Oslo Chamber of Commerce and Norwegian law shall apply when the freight forwarder's habitual place of business is located in Norway. Disputes between the freight forwarder and his customer shall not, except as stated below, be referred to the courts, but shall be decided by arbitration in accordance with the Rules for Arbitration and Alternative Dispute Resolution adopted by the Arbitration Institute of the Oslo Chamber of Commerce. This Institute will be allowed to decide whether the ordinary arbitration rules shall be applied in a given case, taking into consideration the complexity of the case, the value of the matter in dispute and other circumstances. The commencement of legal proceedings for the collection of undisputed claims does not imply a waiver of arbitration with respect to disputed counter-claims which may not be enforced, litigated or set-off other than by means of arbitration. Disputes concerning amounts which do not exceed EUR 30.000, or which concern customers who have entered into the contract mainly for private purposes shall not, however, be subject to arbitration unless otherwise agreed. Sweden The commencement of legal proceedings for the collection of undisputed claims does not imply a waiver of arbitration with respect to disputed counter-claims which may not be enforced, litigated or set-off other than by arbitration. Disputes between the freight forwarder and his customer shall not, except as stated below, be referred to the courts, but shall be decided with the application of Swedish law by arbitration according to the Rules of the Arbitration Institute of the Stockholm Chamber of Commerce. The Rules for Simplified Arbitration shall apply unless the Institute due to the complexity of the case, the value of the matter in dispute or other circumstances decides that the Arbitration Rules of the Institute shall apply. If so, the Institute shall also decide whether the Arbitration Tribunal shall be constituted with one or three arbitrators. Disputes concerning amounts which do not exceed EUR 30.000, or which concern customers who have entered into the contract mainly for private purposes shall not, however, be subject to arbitration unless otherwise agreed. JURISDICTION (Denmark) When the freight forwarder's habitual place of business is located in Denmark, legal proceedings against him shall be instituted before a court in Denmark and in accordance with Danish law. § 32
SAFety inRadiation ONcology SAFRON https://rpop.iaea.org/SAFRON/Default.aspx Updates on Patient Safety in Radiotherapy December 2018 The Bad Apple Theory The Bad Apple Theory "When faced with a human error problem you may be tempted to ask 'Why didn't they watch out better? How could they not have noticed?' You think you can solve your human error problem by telling people to be more careful, by reprimanding the miscreants, by issuing a new rule or procedure. They are all expressions of the 'Bad Apple Theory' where you believe your system is basically safe if it were not for those few unreliable people in it. This old view of human error is increasingly outdated and will lead you nowhere." Sidney Dekker, Professor, Griffith University in Brisbane, Australia The Bad Apple Theory maintains that the complex systems work fine, medical errors occur because of the behaviour of unreliable people, human cause medical errors and dominate as the contributor to errors and that medical errors are a surprise. 1 By focusing efforts on the human "bad apple" we miss the opportunity for prevention, using the person who made the error as fully responsible is a management short-sightedness for those wishing to provide high quality of care and safe radiotherapy. Not only are staff encouraged not to report errors because they are punished, there is a lack of support for implementing robust safety systems to prevent errors. The culture of safety in these organization can have both negative impact on patient care and staff morale. What is solved in finding a person to blame? How errors in radiotherapy are handled is important in improving and maintaining safety and quality. According to leaders in the subject of error prevention, human error is just a label. It is an attribution, something that people say about the presumed cause of something after-the -fact." 2 In medical event investigations, human error should not be the end but the beginning to ask questions on why or what happened and how it happened. The opportunity to evaluate the event for systematic or process errors is lost and this may lead to a reoccurrence of a similar event. SAFRON has 174 events that have been attributed to human error, some of these are missed opportunities to evaluate and improve the robustness of safety systems. For 23 of these events there were no suggestive preventive actions, for 151 of these events, even though human error was identified as the cause of the event (33), preventive actions were provided for 118 events, these remaining events can be categorized as improvements in the processes, communication and training. Of the 174, facilities indicated that 54 were human error and no changes were implemented in prevention of errors. For those 54, there is a missed opportunity to improve safety. 1 Follow us on social media: When human error is identified as the cause of the event and facilities begin to look for a causation and prevention through improvements in communication, procedures, and training, this is an evolution towards rejecting the bad apple theory. Human errors are just a step in the process of dealing with a failure and participating in the process to make changes to the process to prevent the failure from happening again. Facilities that acknowledge that errors will happen, will achieve a better understanding of the need to have a safety system in place, improve processes, interjecting safety barriers into the system and support a positive response when an error happens. When we eliminate human error as the cause of the event, we can address the real solutions of improving procedures, rules and monitoring, adding more automation and standardizing practices. 3 1. The Field Guide to Human Error Investigations, S. Dekker, Taylor & Francis, 2017. SAFRON December 2018 2. Behind Human Error, D.D. Woods, S. Dekker, R. Cook, L. Johannesen, N. Sarter, CRC Press 2010, accessed 12-03-2018 https://www.researchgate.net/ publication/50387403_Behind_Human_Error 3. How could this Happen, edited by J. Hagen, Palgrave Macmillan, 2018. New IAEA Safety Guide SSG-46: Radiation Protection and Safety in Medical Uses of Ionizing Radiation This Safety Guide provides recommendations and guidance on fulfilling the requirements of IAEA Safety Standards Series No. GSR Part 3 for ensuring radiation protection and safety of radiation sources in medical uses of ionizing radiation with regard to patients, workers, carers and comforters, volunteers in biomedical research, and the public. It covers radiological procedures in diagnostic radiology (including dentistry), image guided interventional procedures, nuclear medicine, and radiotherapy. Recommendations and guidance are provided on applying a systematic approach to ensure that there is a balance between being able to utilize the benefits from medical uses of ionizing radiation and minimizing the risk of radiation effects to people. Links to IAEA Publication for Radiotherapy Training on Radiation Protection of Patients Website: https://rpop.iaea.org/RPoP/RPoP/Content/index.htm 2 Attention to details → Scheduling SAFRON has received several reports where scheduling of the patient's treatment contributed to the medical event. New treatment protocols such as SBRT and hyper-fractionation are being introduced and scheduling is no longer "the standard five fractions per week." Some radiation oncology management systems default to 5 treatments per week. Radiation Oncologists, Medical Physicists and Radiation Therapists need to have a procedure in place where they verify the number of fractions per week and the number of treatments planned for the patient. Some methods of identifying this include colour coding instructions that are different from the "standard" treatment, verifying the prescription at the time of treatment planning and at the time of first treatment. With complex radiation oncology management systems, the receptionist may be scheduling the patient's treatments. They too need to verify the number of fractions the patient is to receive each week, recognizing that this is an area where errors can occur is the first step. Follow us on social media: "In the successful organization, no detail is too small to escape close attention." Lou Holtz, University Coach To help prevent these errors, radiotherapy facilities should consider standardizing the prescription, add verification step to include the number of fractions per week before developing the treatment plan and add the verification of the prescription to include number of fractions each week to the first day of treatment checklist. Independent verification of treatment plans early in the therapy could also identify the error early in the process. As treatment protocols evolve, the number of fractions per week may be less standard and more patient specific. Publications that might be helpful to further the understanding of how to prevent these errors are provided below: * Standardizing dose prescriptions: An ASTRO white paper, S B. Evans MD, MPH, B.A. Fraass, P. Berner CMD, FAAMD, K.S. Collins PhD, RT(R) (T), CMD, T. Nurushev PhD , M. J. O'Neill MD, J. Zeng MD, L. B. Marks MD, Practical Radiation Oncology (2016) 6, e369–e381 MPH https://www. practicalradonc.org/article/S1879-8500(16)30157-6/ pdf * Reducing errors in radiation therapy through electronic safety checklists, Applied Radiation Oncology, July 2014, J. Greenwalt, MD, K. Mittauer, MS, C. Liu, PhD, R. Deraniyagala, MD, C. G. Morris, MS, and A.R. Yeung, MD, http://cdn.agilitycms.com/ applied-radiation-oncology/ARO_07-14_Greenwalt. pdf * Medical Physics Practice Guideline 4.a: Development, implementation, use and maintenance of safety checklists, JOURNAL OF APPLIED CLINICAL MEDICAL PHYSICS, VOLUME 16, NUMBER 3, 2015, Task Group Authors: L. E. Fong de los Santos, S. Evans, E. C. Ford, J. E. Gaiser, S. E. Hayden, K. E. Huffman, J.L. Johnson, J.G. Mechalakos, R. L. Stern, S. Terezakis, B. R. Thomadsen, P. J. Pronovost, L.A. Fairobent, AAPM Staff, https://aapm.onlinelibrary.wiley.com/ doi/epdf/10.1120/jacmp.v16i3.5431 3 # 1. 2. 3. 4. 5. 6. 7. 8. 9. SAFRON Updates SAFRON Events Where the number of fractions and frequency of treatment variation contributed the eventvariation contributed the event \| Title of the Event \| Event Details \| \|---\|---\| \| Transcription error of dose \| An old woman with an oesophagus cancer treated by radiation therapy only. Teh initial prescription was 50Gy but afetr staff discussion it was proposed 20Gy in 5 sessions 3 times. Teh prescription was modified on the prescrip tion file but with a mistake i.e. 10Gy/week. When the simulation was realised on the chart the resident transcribed the initial prescription (i.e. 50Gy) and this was modified but only the total dose and not the dose per fraction. In the chart the dose for each beam was correctly reported according to the initial prescription and the dosimetry BUT when the calculation of the MU was done, the total doses for each beam were modified and the doses per fraction were not modified so the patient received 20Gy in 15 days 10 frac tions, instead of 20Gy in 5 days 5 fractions. Tehn the treatment was stopped during 2 weeks before a new series will be done. And the error was seen at this moment and was modified by a senior. (ROSIS 1052175742) \| \| Prescription in chart difefrs from the sent treatment plan \| Patient should start with 6 new fields. In the treatment chart it is written as if the patient should receive the treatment in two groups, 3 fields a day, each group every other day. But in Visir all fields are in one group (all being treated each day). Dosimetrist confirms that the plan is made so that all fields should be treated every day. I contact physicist and physician who writes this in the chart. Had I not asked, and the patient had got 3 fields a day, only half of the dose had been given. (ROSIS 1120777915) \| \| Bi-daily treatment booked as one fraction per day in booking system and V&R \| Treatment with curative intent, 10 fractions/week, 2 fractions/day was pre scribed. Teh personnel at the treatment machine observed (during routine pre-treatment control) that booking of the treatment in the booking system, as well as in the calendar of Mosaiq was done with one fraction per day. \| \| Frequency delivered for SBRT did not match the prescribed frequency \| Teh physician prescribed 54 Gy over 3 fractions (18Gy/fx) to be delivered once weekly. Teh patient received 54 Gy over 3 fractions in 7 days. Fraction 1 and 2 were delivered in the same week resulting in a weekly administered dose to the intended site difefring from the weekly prescribed dose by > 30%. \| \| Patient did not receive 3 fractions of 18Gy each at 3 fractions per week. Teh third fraction was received almost 3 weeks later. \| Teh patient was prescribed SRS with 3 fractions of 18Gy each, 3 fractions per week. Teh second fraction was rescheduled and actually performed on the date of the scheduled third fraction. Teh third fraction was not rescheduled at that time. Tehre was a total time interval of almost 3 weeks between the second and third treatment, resulting in one third of the dose delivered beyond the weekly prescribed dose. \| \| Incorrect MU and fractions planned \| Incorrect MU and fractions planned \| \| Incorrect no. of fractions (25 instead of 20) \| Incorrect no. of fractions (25 instead of 20) \| \| Patient received incorrect dose for 16 fractions because the dose per fraction and the number of fractions were reversed in the treatment plan and sent to the R&V system. \| This 91 year old male patient with a history of recurrent melanoma was undergoing outpatient treatments at the hospital. Treatment covered neck and scalp areas. Teh following treatment plan was ordered by the Radiation Oncologist - Intensity Modulated Radiation Tehrapy (IMRT) plan of 6 MV photon to a total dose 5500 cGy in 20 fractions (275 cGy x 20 fractions). Instead of the ordered dose, the patient was receiving 20 cGy each session (20 cGy for 275 fractions was entered into the treatment delivery system from the treatment plan). In vivo dosimetry done during the 3rd fraction showed under dose. This finding did not receive additional review immedi ately (there was no written Policy and Procedure to address such findings). A repeat dosimetry carried out during the 16th treatment indicated lower dose than expected levels, which triggered additional review of the chart. It was then discovered that the treatment plan dose and fractionation numbers were reversed in the system. \| \| 4/33 fractions delivered over a two-day period (BID) for single fraction per day prescription \| Teh oncologist ordered 33x180 cGy daily treatments. A Rapidarc plan was generated and approved with correct fractionation and daily dose limit. On the morning of 4/15 the patient was mistakenly scheduled for two fractions per day (BID). On the afetrnoons of 4/15 and 4/16 therapists overrode the daily dose limit and delivered two fractions earlier than expected. This error was caught by nurses and physicians in the afetrnoon on 4/16. \| Links to IAEA Publication for Radiotherapy Training on Radiation Protection of Patients Website: https://rpop.iaea.org/RPoP/RPoP/Content/index.htm Follow us on social media: 4 # 10. 11. 12. 13. SAFRON Updates SAFRON Events Where the number of fractions and frequency of treatment variation contributed the eventvariation contributed the event \| Title of the Event \| Event Details \| \|---\|---\| \| Weekly administered dose dif fered from the weekly prescribed dose by more than 30 percent \| Patient was receiving radiation therapy for melanoma in the supraclavicular areas. Teh physician wrote the prescription for a 3D radiation therapy plan to deliver 5 fractions of 6 Gy each to the area for a total dose of 30 Gy. Teh prescription also specified to treat the patient 2 fractions per week. Teh therapists treating the patient failed to notice the specification of 2 fractions per week and scheduled the patient for daily treatment (7/1/14 to 7/3/14). Afetr the long weekend, the patient was treated again on 7/7/14 when the deviation from the prescribed treatment schedule was noticed. Teh patients 5th and final treatment was delayed until the following week (7/14/14). \| \| A patient intended to be treated 2 fractions per week instead re ceived 3 fractions in a single week \| Teh radiation oncologist intended to treat 2 fractions per week, but did not specify this in the prescription document. He did note 2 fractions per week in the radiation oncology record and verify system, ARIA, but neither the dosimetrist nor the physicist who checked the plan noticed the discrepancy between the intended fractions per week and the plan. Teh therapist schedul ing the patient did see the discrepancy and sent a note to the dosimetrist ask ing for clarification, but the dosimetrist was on vacation and did not receive the note until the following week. In the meanwhile the therapist scheduled a standard fractionation of 5 treatments per week. Teh patient received 3 fractions in one week, plus a 4th fraction on Monday of the following week. On that Monday the dosimetrist received the note and forwarded it to the radiation oncologist, who received it Tuesday. Teh radiation oncologist real ized the patient had not been treated according to his intent and cancelled the final fraction on Tuesday, rescheduling it for Friday. \| \| Mistake on the protraction (num ber of days between 2 fractions) for a treatment of axillary nodes \| Teh radiation oncologist discovered that an error has been done on the protraction (at the time the appointments were planned). Teh prescribed treatment planned to deliver the total dose in 9 fractions of 5 Gy each, 3 fractions per week. But the patient received 8 fractions, 5 fractions per week (ie each day with no interruption) until the radiation oncologist discovers the mistake during a medical consultation of the patient. Teh estimated 2Gy equivalent dose received by the irradiated area is 66 Gy instead of 42 Gy ini tially prescribed. However, the OARs of this area (lungs, heart, spinal cord) received doses below the recommended dose constraints. \| \| Patient received treatment on the wrong day \| A patient should receive two fractions in the cobalt unit on alternate days, but he was treated on consecutive days. (ROSIS 1084748839) \| Another resource to improve safety and quality in radiotherapy Improving Safety and Quality One Certificate at a Time i.treatsafely.org provides free access to high quality, practical training videos that show step-by-step instruction for performing common clinical tasks. These educational videos range from contouring and treatment planning to device QA and the clinical implementation of quality and safety tools. Because the videos are created by radiation medicine professionals, you get real clinical information from people who actually practice in the clinic. If you have not completed the Safety and Quality in Radiotherapy, online training, consider completing the course. We have registered 2020 for the course and issued 644 certificates and it is an excellent way to start the conversation in your radiotherapy facilities. Join the other leaders in safe radiotherapy by receiving your certificate. You can access the course at: http://elearning.iaea.org/m2/ course/view.php?id=392 Links to IAEA Publication for Radiotherapy Training on Radiation Protection of Patients Website: https://rpop.iaea.org/RPoP/RPoP/Content/index.htm 5 Follow us on social media:
Name: KEY ECON 201—Montgomery College David Youngberg EXAM 3 - There are 110 possible points on this exam. The test is out of 100. - You have one class session to complete this exam, but you should be able to complete it in less than that. - Please turn off all cell phones and other electronic equipment. - You are allowed a calculator for the exam. This calculator cannot be capable of storing equations. This calculator cannot double as a cell phone. - Be sure to read all instructions and questions carefully. - Remember to show all your work. - Try all questions! You get zero points for questions that are not attempted. - Please print clearly and neatly. Part I: Matching. Write the letter from the column on the right which best matches each word or phrase in the column on the left. You will not use all the options on the right and you cannot use the same option more than once. 2 points each. 1. A Core inflation 2. H Cyclical unemployment 3. G Discouraged workers 4. B Gross Domestic Product 5. E New consumer durables 6. I Toilet paper 7. D Transfer payments 1 A. Excludes food B. Excludes washing your own dishes C. GDP doesn't include this, but it should D. GDP doesn't include this, and it shouldn't E. GDP includes this, as it should F. GDP includes this, but it shouldn't G. Not in the labor force H. Not a part of the natural rate of unemployment but in the labor force I. Sales of this aren't strongly harmed during a recession 1. Core inflation excludes particularly volatile prices: food and energy. 2. Cyclical unemployment is unemployment due to recessions. Such individuals are in the labor force (because they are looking for work) but should have a job if the economy was functioning well. 3. Such workers don't have a job and aren't looking for work. Like stayat-home parents, the retired, and some students, they are therefore not in the labor force. 4. Washing your own dishes is nonmarket production; it create value but since it isn't a market transaction it's not included in the labor force. 5. Consumer durables which are brand new (not used) are a form of consumption. Since they were recently produced, they should be included in GDP. Such goods are included under C, or consumption. 6. Toilet paper is too important to not buy. While sales might drop a little during a recession, they won't fall very much. This is not a purchase many people are willing to put off. 7. When the government sends people money it hasn't purchased anything. Transfer payments are not included in GDP as they shouldn't; nothing was produced. This money will be counted, however, when the recipient uses it to buy things. 1 As in, when the government gives someone money. Examples include unemployment insurance, welfare, and Social Security. Part II: Multiple Choice. Choose the best answer to the following. 4 points each. 8. Which of the following goods is/are never directly counted as a part of GDP? a. Computer games b. Used bicycles c. Airplane engines d. A & C e. B & C Used bicycles aren't produced (only new ones are) so they aren't included. Airplane engines sometimes aren't directly counted (because they are intermediary) BUT they are explicitly counted when the engine is imported/exported. 9. About what is the size of the U.S. economy? a. $19 billion b. $190 billion c. $1.9 trillion d. $19 trillion e. $190 trillion As of 2016. 10. In The Economic Organization of a P.O.W. Camp, what kind of money were the currencies discussed in the reading? a. Cigarettes: commodity currency; German marks: fiat currency. b. Cigarettes: commodity currency; bully marks: fiat currency. c. Cigarettes: commodity currency; bully marks: representative currency. d. Cigarettes: representative currency; bully marks: fiat currency. e. Cigarettes: representative currency; bully marks: representative currency. The value of the cigarette was the cigarette itself; it was a commodity currency. But the bully mark represented food; it was a representative currency. The reading did not discuss German marks. 11. We discussed many gaps, or problems, with how GDP is calculated. Which of the following is not such a gap? a. It doesn't include any steel sold to a local car company. b. It doesn't include cooking your own dinner. c. It doesn't include cooking meth and the creation of other illegal substances. d. B & C e. None of the above While it's true that it doesn't include steel sold to a car company, this is not a problem as such steel would be an intermediary good. 12. Which of the following would illustrate the fundamental problem of a CPI which only examines the price of various clothes? a. If the price of televisions increased, there would be no inflation. b. An increase in the price of fabric would register as inflation. c. Both A & B are equally problematic. d. There is nothing wrong with such a CPI. e. There is something wrong, but none of them are listed here. The CPI is used to calculate inflation. It does this by examining the prices of a variety of goods. It's important that there's a variety so price increases unique to an industry aren't mistaken for an increase in the price level. So why isn't A also correct? While it may be problematic, it's not a fundamental issue. Just because an increase in the price of television doesn't result in inflation doesn't mean there's a problem. The whole point of a variety of goods is that no one good has undue sway. 13. In The Economic Organization of a P.O.W. Camp, the prisoners switched from a cigarette currency to a paper currency. What was the new currency backed by? a. Cigarettes b. German currency c. Alcohol d. Food e. Nothing The "bully mark" was backed by food; prisoners could exchange the paper currency for a certain amount of food. 14. Why did they adopt a paper currency? a. To help keep prices stable b. To discourage borrowing c. To ensure everyone had money d. B & C e. None of the above Using cigarettes as currency resulted in instability. When the Red Cross's regular deliveries were interrupted, prices fell due to the lack of cigarettes. When the Red Cross would deliver a bunch at once—four times a year— prices would explode. Being beholden to Red Cross deliveries during wartime made for an unstable currency. 15. Which of the following is not a function of money? a. Always used in every exchange b. Prices of the same good should be the same everywhere c. Doesn't lose value over time d. B & C e. None of the above Both A and C are functions (medium of exchange and store of value, respectively) but B is not. 16. According to the quantity theory of money, which of the following is true? a. Increasing the money supply (M) always leads to inflation. b. The only way to get inflation is to increase the money supply (M). c. Increasing real GDP increases the price level, all other things being equal. d. Increasing real GDP decreases the price level, all other things being equal. e. None of the above Remember the equation: Mv = pY. A isn't true because you can increase Y or decrease v to balance the equation. B isn't true because you can increase v or decrease Y to get inflation. C is the opposite of what actually happens when you increase Y: holding M and v the same, if Y increases, p must fall. 17. Russia is dangerously close to entering a recession. If Russia enters a recession, which of the following goods would be hit particularly hard? a. Soap b. Carrots c. Plates d. A & B e. None of the above Plates are consumer durables: they are used for many years and new plates will be put off as old ones wear out or break (plates that are still intact will be washed more). Carrots and soap are consumables and are not luxuries. 18. As we discussed, the labor force participation rate for women is substantially higher than it was 60 years ago. Which of the following is not a possible reason for this change? a. The decline of sexism in the workplace b. The economy's greater emphasis on professional services c. The invention of birth control d. A & C e. None of the above All of these things contributed to the increase in the female labor force participation rate. 19. Which of the following statements is/are true? a. It is possible for the number of net new jobs created to be unusually high and, at the same time, for the unemployment rate to rise. b. Unexpected inflation hurts lenders because makes it more likely people will not be able to pay back their loans. c. All the ways people in a country spend money equals all the ways people in that country make money. d. A & C e. All of the above are true A is true if there are many discouraged workers. A large number of newly created jobs encourage people to start looking. These new entrants to the labor force increase unemployment. C is also true: the total income in a country equals the total spending in a country. That's why there are two different ways to calculate GDP: the income and the spending approaches. But B is false. While unexpected inflation hurts lenders, it's because the inflation makes the resulting money less valuable. In fact, people are more likely, not less likely, to pay back their loans (because wages would increase). Part III: Short Answer. Answer the following. 16 points each. 20. We discussed several reasons why the labor force participation rate changes over time. Briefly describe two of these reasons. 1) Changes in demographics change the LFPR. If the elderly take up a larger share of the population (due to aging baby boomers and/or improved lifespan), LFRP falls as the percent of adults in retirement increases. If many immigrants enter the country, the LFPR may rise since immigrants tend to not only be of working age but they also immigrate to work. They would be either be looking for a job or already have one. 2) Taxes and benefits change the LFPR. Reducing Social Security benefits for working seniors encourage them to leave the labor force. Generous benefits for needy people may discourage them from looking for a job. You could also discuss the new kinds of jobs available, improved technology (notably the Pill), and decreased sexism in the workplace, each of which encourage women to enter the labor force. 21. Use the hypothetical information below to calculate the real GDP growth rate from 2013 to 2014. Remember to show all your work. Round your answer to the nearest two decimal places, if necessary. The first step is to remember there are two ways to calculate GDP: spending and income. We don't have rent or profit so we'll have to use the spending approach. That means we add consumption (C), investment (I), and government spending (G) together. Then we subtract imports from exports and add the result (NX). We will do this for each year: That's a high growth rate but we're not done yet. This question asks for the real growth rate. For that, we need the rate of inflation. We can see that the CPI was 100 in 2014 and became 107 in 2015. Inflation is thus 7%. The real growth rate is 3%. 22. Using the hypothetical data below, calculate the unemployment rate, the natural rate of unemployment, and the labor force participation rate. Remember to show all your work. Round your answers to the nearest two decimal places, if necessary. First, we need all the people who are unemployed. Remember, discouraged workers are not unemployed! So we add up the structural, frictional, and cyclical unemployment: 22+8+20 = 50 Now we add that number to the employed to get the labor force. The total employed are the full time and part time employed people are: 350+200 = 550. 50+550=600 The unemployment rate is thus: 50 / 600 = 8.3% The natural rate is calculated the same way, but we don't include cyclical unemployment in the numerator. We still include it in the denominator because the cyclically unemployed are still in the labor force. The natural rate is thus: 30 / 600 = 5.0% The labor force participation rate is the labor force divided by the adult population (or, all the people who could be working): 600 / 750 = 80.0% 2 Civilian and noninstitutionalized
August 21, 2017 Lisa Costas Sanders Contract Principal Planner 1017 Middlefield Road Redwood City, CA 94063 Via email: email@example.com RE: Response to Notice of Preparation of a Draft Environmental Impact Report for the Proposed 557 East Bayshore Road Project, July 21, 2017 Dear Ms. Costas Sanders, Citizens Committee to Complete the Refuge appreciates the opportunity to respond and provide scoping comments on the Notice of Preparation (NOP) of a Draft Environmental Impact Report (DEIR) for the 557 East Bayshore Road Project (Project) proposed by applicant SyRes Properties, LLC. The Citizens Committee to Complete the Refuge has an ongoing interest in wetlands protection, restoration and acquisition. Our efforts have led to the establishment and expansion of the Don Edwards San Francisco Bay National Wildlife Refuge, including the addition of 1600 acres at Bair Island in Redwood City. We have taken an active interest in Clean Water Act, Endangered Species Act and California Environmental Quality Act regulations, policies and implementation at the local, state and national levels, demonstrating our ongoing commitment to wetland issues and protection of Refuge wildlife and habitats. The close proximity of the Project to the waters, mudflats and tidal marsh of the Don Edwards San Francisco Bay National Wildlife Refuge (Refuge) and the associated special status and other wildlife species using these sensitive habitats is cause for concern. Inner Bair Island is currently undergoing restoration back to tidal marsh and the Refuge anticipates that populations of federal and state endangered Ridgway's rail and the salt marsh harvest mouse, already present at Bair Island, will be increasing in this area. For this reason, our scoping comments will focus primarily on Biological Resources. Project: According to the August 1, 2017 Planning Staff Report to the Redwood City Planning Commission, "the project site is approximately 14.6 acres in area, located east of US Highway 101 along East Bayshore Road and adjacent to Smith Slough and Bair Island. The site currently contains a vacant movie theater complex and surface parking. The site is surrounded by light industrial uses, car dealerships, and a mini storage facility. SyRes Properties, LLC proposes to redevelop the site at 557 East Bayshore Road with a 338-unit residential building and a 100,000 square foot fitness center building. Parking would be provided below the residential building and at-grade. The residential building is proposed at five stories (55' in height) and the fitness center is proposed at two stories (42' in height). The project includes improvements along the Bay Trail and new public access points." Notification: The project site is approximately 120 feet from the Refuge boundary; however, it is unclear if the Refuge was specifically included on the list of agencies or property owners that were provided with the NOP document. The NOP includes no reference to the Refuge in the project location or in any graphics or figures. If the NOP document was not sent to the Refuge, an opportunity for this agency to provide scoping comments on the project should be provided, and the Refuge should be included on the recipient list for any future notifications regarding the draft and final EIR and any future study sessions, public meetings and formal hearings for the Project. Biological Resources Existing Conditions: The DEIR must provide an accurate description of existing conditions on the Project site as well as adjacent areas that could be impacted by the Project. Maps showing the location of the tidal wetlands in the adjacent utility easement and the Refuge tidal marsh, mudflat and slough habitats must be included. Distances from the buildings to the adjacent tidal wetlands and the Refuge should be provided. Special status species and other wildlife currently using the Project site, the adjacent wetlands and the Refuge should be identified, as well as sensitive sites and habitat suitable for listed species. All federal, state and regional agencies with jurisdiction over the Project site, the adjacent wetland area, the tidal marsh, mudflats and sloughs in and around Inner Bair Island and the associated listed species and other wildlife that could be impacted should be identified in the DEIR and the basis for their jurisdiction should be provided. Potential Impacts: The Project site is directly adjacent to wetlands and in close proximity to the Refuge and its associated tidal marsh and wildlife. Potential impacts from the Project include the following: Construction of Public Pathways In or Over Wetlands – The Project Site Plan shows connections from the Project to the Bay Trail. The Plan shows one of the pathways going over tidal wetlands in the adjacent utility easement that are jurisdictional under Section 404 of the Clean Water Act. It is unclear whether construction of the pathway will involve fill or placement of bridges. The DEIR must identify and analyze impacts to this wetland and outline required mitigation, including monitoring and reporting requirements as appropriate. Swallow Nesting Colony - Cliff swallows (Petrochelidon pyrrhonota), a migratory species fully protected under the Migratory Bird Treaty Act of 1918, have nested under the eaves of the Century 12 Theater back walls for over a decade (see attached photos). The location of the nests on the theater varies from year to year. For example, in 2009, the swallows predominantly used the north-facing wall, whereas in 2016 they used the west-facing wall. In the spring of 2016, CCCR member Matt Leddy counted 29 active nests on the west wall of the theater building from a vantage point on the Bay Trail. There may have been additional nests that were obscured by trees or building angles. Nesting requirements for the cliff swallow include a vertical structure such as the walls of the theater overhang, a source of mud for nest construction - which they gather from the adjacent arm of Smith Slough - and open foraging areas found throughout Inner Bair Island. Inner Bair Island is part of the Don Edwards National Wildlife Refuge, and these abundant swallows are a significant part of the avifauna on the island. The California Department of Fish and Wildlife considers February 15 to September 1 to be the nesting season of the cliff swallow, during which time completed nests cannot be disturbed or removed. A mitigation measure related to the demolition of the Century 12 Theater building should be included in the DEIR to document this seasonal restriction. Cliff swallows are famous for their return to Mission San Juan Capistrano each spring; however, the population of cliff swallows has been declining in Central California (Sauer, et. al., 2017). Because of this regional decline, the size of the colony, and the swallow's long-term use of the Century 12 Theater site, the DEIR should: 1) include cliff swallow nesting in the existing biological conditions for the project site, 2) evaluate how removing the existing theater building nest site will impact this colony and their presence and use of the Refuge, and 3) provide options for re-creating a nesting structure for the colony, either on the project site, or within the vicinity of Bair Island. Collaborative partnerships could be considered for the siting, construction and maintenance of an alternative nesting structure. (Citation: Sauer, J.R., D.K. Niven, J.E. Hines, D.J. Ziolkowski, Jr, K.L. Pardieck, J.E. Fallon, and W.A. Link. 2017. The North American Breeding Bird Survey: Results and analysis 1966–2015. Version 2.07.2017 USGS Patuxent Wildlife Research Center. Laurel, MD) Bird strike hazards – Smith Slough and Refuge tidal marsh and levees provide roosting and foraging habitat for thousands of birds, and migratory shorebirds, songbirds and waterfowl may traverse the Project area. How will bird strike hazards associated with the new five-story building be mitigated? Shadowing - The DEIR must identify and analyze shadow impacts from increased building height. The NOP states that the residential building height will be a maximum of 55 feet; however, other project documents state 75 feet. Because of the close proximity of the residential building to adjacent wetlands in the utility easement, and to the tidal marshes and mudflats in the Refuge, especially during winter months, afternoon shadows would extend into these sensitive sites. The area that could be impacted by shadowing includes substantial areas of pickleweed, a marsh plant that is known to be intolerant of shade. Light - Artificial night lighting that intrudes into nearby wildlife habitats can be disruptive, and may also result in increased predation. Due to the close proximity to tidal marsh habitat, what lighting design and operational measures would be required in the five-story building and for the perimeter outdoor use and landscaped areas to eliminate this impact? Outdoor areas and litter – The Project includes an outdoor kitchen area with seating. Food scraps left in any outdoor areas and garbage/recycling receptacles could attract nuisance and predatory species such as crows, ravens, gulls, rats, skunks and racoons to the detriment of wildlife in adjacent wetlands and the Refuge. How would this impact be mitigated? The Project could generate litter that would pollute the tidal marsh and waters of the Refuge endangering wildlife in the immediate area, or get carried with the tides and currents to other locations in Smith Slough and San Francisco Bay. What mitigation measures would be put in place to ensure that the Project does not cause an increase in the amount of litter entering tidal marshes and waters, either from the Project location or from increased use of the Bay Trail? Predator perches/nesting sites – Landscaping trees, the five-story buildings and light poles and other structures and signs associated with the Project could provide perches for predatory birds such as hawks, falcons, crows and ravens. Unsuitable trees could create avian nesting sites in very close proximity to tidal marsh. Rails and harvest mice are especially vulnerable to predators during high tides, when they are more exposed in the higher marsh and on the sides of levees. The DEIR should outline requirements for building and landscape design elements that would mitigate this impact, including placing trees back from marsh areas, and utilization of the Landscape Tree Suitability Index required for the Pacific Shores Center and Westpoint Marina projects in Redwood City. Domestic Animals – Project residents' outdoor cats and off-leash dogs could significantly impact wildlife in the Refuge through disturbance and depredation of birds and salt marsh harvest mice. Allowing feral cat feeding colonies on the Project site would also impact wildlife. Increased use of the Bay Trail by Project residents walking their dogs could lead to water quality impacts from dog waste on the trail. What measures or restrictions will be put in place to mitigate these potential impacts? Noise and Vibration – Construction of the proposed Project could impact special status species and other wildlife due to noise and vibration from construction equipment. Noise associated with Project-based activities such as building and landscape operations and outdoor activities could disturb nearby wildlife. How will these impacts be mitigated? With the Inner Bair Island transition to tidal marsh currently well underway, Ridgway's rail populations could expand into Inner Bair Island and be present during the years that Project demolition and construction takes place. The DEIR should discuss mitigation measures for protecting nesting Ridgway's rail from construction activity impacts. Human Disturbance – The DEIR should determine to what extent the level of activity on the Bay Trail will increase in this vicinity with the addition of the two connecting pathways from the Project. Because of the immediate proximity of hundreds of residents, will the types of activities on the trail change? Would greater use of the Bay Trail in a such a concentrated area negatively impact wildlife and how could impacts be mitigated? Recovery and Conservation Plans - The DEIR should document and consider that all of Smith Slough is included in the 2013 U.S. Fish and Wildlife Service Recovery Plan for Tidal Marsh Ecosystems of Northern and Central California, which identifies strategies and geographic areas suitable for the recovery of federally listed species such as the salt marsh harvest mouse and Ridgeways rail (formerly California clapper rail) in San Francisco Bay. How will the existing suitable habitat for these two endangered species be protected from impacts associated with the Project? Impacts to wildlife may range from loss of habitat, increased predation, inability to conduct daily functions (roosting, foraging, breeding, nesting, etc.), detrimental expenditures of energy as wildlife move away from repeated disturbance, reduced recruitment, greater distance traveled to roost sites, etc. Potential impacts to wildlife resources must have effective and enforceable mitigation measures proposed in the DEIR. Hydrology and Water Quality/ Hazardous Materials The Project site is adjacent to sensitive aquatic and tidal marsh habitats that could be adversely affected by pumping of potentially contaminated groundwater, construction activities and stormwater runoff. Below Grade Parking Structure – The Project includes an underground parking garage below residential buildings that may require pumping of groundwater during excavation and construction, and on an ongoing basis. San Mateo County Environmental Health has notified residents with wells in neighborhoods adjacent to Whipple Avenue that the underlying aquifer in this area of Redwood City has been contaminated from leaking underground tanks at gas stations located on Whipple Avenue. The DEIR must determine if the groundwater in the area of the project contains gasoline contaminants, or chemicals from other sources, analyze potential impacts, and provide mitigation. Pumping contaminated groundwater into the adjacent tidal wetlands is not an acceptable option. If treatment/disposal of contaminated groundwater is not feasible, the DEIR should include and analyze alternative building designs with above-grade parking. Construction and Stormwater Impacts - Construction activities, including fill and grading, could pollute adjacent sensitive sites with excess sediment, and with chemical contamination from construction materials such as concrete, mortar, hydrated lime, fuels and paint. Stormwater runoff from the landscaped areas associated with the Project could carry pesticides and fertilizer. The DEIR must analyze these potential impacts and provide mitigation measures to prevent pollutants from entering adjacent wetlands and impacting sensitive habitat and wildlife. According to the NOP, the DEIR will "address the potential for sea level rise to impact the site". The DEIR must provide adequate information on the proposed measures that will be employed to address flooding from sea level rise specifically, so that the environmental analysis in the DEIR can be evaluated. Any measures proposed should not impact wetlands or sensitive habitats adjacent to the Project Area. Additionally, future SLR/flooding impacts to East Bayshore Road, the only access to the Project site, must be evaluated in the DEIR, and appropriate mitigation provided. The DEIR should analyze the effectiveness of any proposed measures at various sea level rise scenarios, and consider potential impacts from future modification of these flood protection measures in the event sea level rise exceeds projections. Any future changes to address sea level rise could result in impacts to adjacent wetlands and the public Bay Trail. The DEIR should determine if project buildings should be set further back in order to ensure there would be adequate room to accommodate any necessary future flood protection measures. Aesthetics/Alternatives In the Project Site Plan, one end of the five-story residential building is located very close to the edge of the property that faces the Bay Trail and the Refuge. The DEIR should identify, analyze and mitigate impacts to the views from the Refuge bike/pedestrian trail on Inner Bair Island, and the views and pedestrian experience on the Bay Trail. When the impacts to Biological Resources discussed above related to height are also considered, including bird strike hazards, shadowing of wetlands, and artificial light, the DEIR should include an alternative that pulls the end of the residential building significantly back, or steps down the height to two stories to be consistent with other buildings along this segment of the Bay Trail. Thank you for the opportunity to provide comments on the Proposed 557 East Bayshore Road Project NOP. Sincerely, Gail Raabe CCCR Co-Chair cc: Aaron Aknin, Community Development Director Steven Turner, Planning Manager Anne Morkill, SFBNWRC Jared Underwood, DESFBNWR Carin High, CCCR Attachment Attachments:
Mr. Richard M. Creamer Director of Compliance Services Internal Revenue Service Department of the Treasury Ogden, Utah 84201 Pamela F. Olsen Assistant Secretary for Tax Policy 1500 Pennsylvania Ave. NW, Room 1334 Washington, DC 20224 RE: Form 907, Request for extension of time to bring suit, file # 0469104150 Dear Mr. Creamer, Pursuant to Section 6532 (a) (2) of the Internal Revenue Code, we respectfully request an extension of time to file our suit for refund. Due to the conflict in Iraq and the financial impact those expenses will have on the current budget we feel that the timing of our suit may be inappropriate. Besides, we do not object to the taxation of income, for it is understood that such must be in an organized society. We do, however, strongly object to the inclusion of our living expenses in taxable income, as those expenses are not "taxable" income under the Sixteenth Amendment any more than the "reasonable and necessary expenses" of business are. As you know the ratification of the Sixteenth Amendment was for the specific purpose of making the accumulated wealth of our country contribute to the support of government, not to enslave the working class. The entire American history of taxation, at least until 1940, shows this to be true. It was the taxation of income, not people, that drove the demand for a correction of the error made by the Supreme Court in the Pollock Cases of 1895. Congress, realizing that the decision in Pollock forever barred it from assessing a tax upon the accumulated wealth derived from capital, sought the approval of the people to rectify that inequity. In the debates over the wording of that amendment Congress made it very clear that the income tax was not to be a "capitation" tax, or a direct tax upon capital. Instead, the purpose of the 16 th Amendment was to allow Congress the ability to treat the net income, or profits, derived from capital in the same manner they had always treated the net income, or profits, derived from business and professional labor. The Secretary of the Treasury made that position clear under Article 21 of Regulation 45 (1918) when he defined "net-income" as being "commercial net income". The Regulations remained that way up until 1954 when Congress revised the Tax Code. It was the personal exemption allowance that, throughout the 52 years proceeding the amendment and the 27 years that followed, insulated the people from the excise tax levied upon commercial net income from being a tax upon them personally. It was well recognized by the framers of our Constitution and those who followed the framers, that a tax levied upon the basic necessities life was, in essence, a capitation tax requiring apportionment. The framers recognized that a tax upon the fruits of labor was also a capitation tax, for those fruits were necessary in order to purchase the necessities of life. Where were they to draw the line between the fruits of personal labor necessarily expended to support the worker and his family, and a gain or profit derived from that personal labor? The question was easy to answer in the case of capital, for capital has a defined cost or value when it is acquired (also referred to as its "tax basis"). This is not true with personal labor, except for the personal labor purchased by employers for use in making capital productive. Congress, rather than deal with that issue instead chose to set the "personal exemption" at a relatively high amount in order to avoid the question of constitutionality being raised. That all changed in 1940, not in an effort to enslave the common worker through an excise tax on income, but to ensure that those who operated upon the basis of commercial net income paid the tax imposed upon them. However, when faced with an overwhelming need for revenue due to the war effort, and finding that the common worker was willing to contribute, Congress abandoned the prior principles upon which the Sixteenth Amendment was found acceptable to the people. We do not protest the taxation of our wages, except for the fact that it is those wages which provide the means for the support ourselves and family. The current proposal to lower taxes is welcomed, however, shouldn't Congress be looking at the impact upon the living expenses of the worker, rather than the bottom line profits of corporations and business? When was the last time Congress paid attention to the needs of the working class, instead of the grumbling of business and wealth? When do we get to satisfy our needs and acquire the ability to accumulate a wealth of our own, before we are forced to pay a tax based upon that implied accumulation of wealth to our government? We believe Congress should be promoting the accumulation of wealth by the working class, in order to relieve government of the obligation to provide for those who now refuse to work or who are now unable to provide for themselves after retirement. This can only be accomplished by allowing the working class the ability to keep the fruits of their labors. By putting the money back into the laborer's pocket, Congress will accomplish the President's goal; not by lower taxes, but by increasing the profits of business from which more tax dollars will be generated. It is our position that the personal exemption is not a gesture of generosity on behalf of the government. It was constructed specifically to avoid the unconstitutional direct taxation of people, without apportionment. History and the Congressional Record show this to be true. The personal exemption is itself a Constitutional imperative in relation to a Federal income tax. How could the amount of the exemption be determined arbitrarily, without subjecting the tax to Constitutional objection as being repugnant to Article 1, Section 9, clause 4? It is not our desire to file a lawsuit, as legal battles rarely accomplish anything. The solution, to us anyway, seems relatively simple. Congress has at times indicated a desire to sunset the Internal Revenue Code, why? Other than the tumult the Tax Code has created, its basic concept is correct. They have now acknowledged the practicality of lowering taxes, albeit at the wrong end of the scale. Return the tax to its Sixteenth Amendment meaning by increasing the personal exemption to an amount that actually reflects reality for the majority of American citizens, and the objection to its imposition goes away; both in the moral as well as the legal aspects. The personal exemption for a single person in 1913 was $3,000, the same as it is today, 90 years later. However, inflation has taken its toll and $3,000 no longer satisfies the constitutional purpose for which the personal exemption was made part of the statute. We believe that this inequity should be changed over a period of years, not as a result of an adverse ruling by the court. We have provided the outline of our legal argument for your review and consideration and it is our hope that a reasonable and timely solution can be found. We are asking for this extension in order for our concerns to be addressed in an appropriate manner by Congress, not the court system. Sincerely (www.taxhistory.com) cc. Joint Committee on Taxation Mary M. Schmitt, Acting Chief of Staff 1015 Longworth House Office Bldg. Washington, DC 20515 House Ways and Means Committee Congressman William Thomas 2208 Rayburn House Office Bldg. Washington, DC 20515 Senate Finance Committee Senator Chuck Grassley 219 Dirksen Senate Office Bldg. Washington, DC 20510-6200 Senator Dianne Feinsten 331 Hart Senate Office Bldg. Washington, DC 20510-0504 Senator Barbara Boxer 112 Hart Senate Office Bldg. Washington, DC 20510-0505 Congressman Jerry Lewis 2112 Rayburn House Office Bldg. Washington, DC RE: Form 907, Request for extension of time to bring suit, file # 0469104150 We would like you to be aware that we have been pursuing our concerns through correspondence with members of congress and the Joint Committee on Taxation, and that we set forth our grievance and concerns in a document now contained in the Congressional Records of 2-13-01 [2]. We are doing everything we can to comply with the law; what else must we do to be heard? We do not protest the legitimate taxation of income, as that issue was settled by the Sixteenth Amendment. Nor do we protest the inclusion of our wages in a report of gross income, for including them appears to satisfy the intent of taxing "all income, from whatever source derived" [3]. Our concern is that although the Sixteenth Amendment provides that the tax may be levied upon the income "derived from" a particular source, without apportionment, it does not provide for the taxation of the source itself, without apportionment. Sources of income, and the income "derived from" them are separate and distinct subjects under the Sixteenth Amendment. Our question is now, and always has been: in the taxation of employee wages as "taxable income" (when those wages represent the entire annual receipts of the employee receiving them), where is the line drawn between those wages as annual receipts, and the source (labor) from which they are produced, so that both the letter and the spirit of the Constitution are maintained? [4] The Sixteenth Amendment, as Chief Justice White in the Brushaber Case pointed out, did not do away with "the two great classes of direct and indirect taxes", nor did it abandon the "two rules by which their imposition must be governed". Both the class within which the tax falls and the method by which it must be implemented are still a valid part of our Constitution [5]. Where, then, is the line between direct and indirect taxation drawn separating a valid indirect tax levied upon income, from a "capitation, or other direct, tax" levied upon people; for either one of those taxes must be paid out of one's yearly receipts, or income [6]? When the income tax code was drafted in 1913, Congress decided to confine the application of the tax to yearly net income, not gross income or annual receipts. [7] We believe Congress knowingly confined the income tax to yearly net income specifically to avoid running afoul of the constitutional requirement that all taxes levied directly on property or people must be apportioned [8]. We say this because it appears Congress maintained those principles throughout the years of 1862 to 1940. It has only been since 1940 that the personal exemption allowance has been reduced to below the average cost of living for the majority of citizens throughout the United States [see graphs, attached]. By taking a tax previously confined to commercial net income and reducing the personal exemption to below a reasonable allowance, then applying that tax to the gross receipts of common labor for hire employee, Congress, it appears to us, ventured into tax territory reserved by the Constitution for "capitation" taxes. It was recognized by the Court in Pollock that some determination must be made that would settle the question as to what constituted a "direct tax" under the requirements of Article 1, Section 2, clause 3, and Article 1, Section 9, clause 4 of the Federal Constitution. [9] The Pollock Court accepted that challenge and defined the Constitutional concept of "direct tax" to mean: "a tax upon one's whole income, is a tax upon the annual receipts from his whole property, and as such falls within the same class as a tax upon that property" [158 US 601, 625]. The Court made no distinction between the receipts of capital and the receipts of labor, for both capital and labor fall within the legal definition of property. The Court, again, when asked to define income, came to the same conclusion by defining the term income, under the Sixteenth Amendment, to mean "the gain derived from capital, from labor, or from both combined". The court did not define income as the gross receipts derived from capital or labor, as such would cause the tax to be in conflict with the Constitutional requirement of apportionment for all direct taxes. The Sixteenth Amendment recognized that a person possesses only two sources from which they may derive income, although those sources may be used in many different ways. The definition of "direct tax", as expressed in Pollock, rests upon the meaning of the term "income" being the receipts "derived from" property [10], while the definition of the term "income" under the Sixteenth Amendment rests upon the meaning of income being the "gain," or profit derived from those receipts. The line separating a direct income tax from an indirect income tax being established by which of the two definitions of income, the tax, in substance, operated upon. A tax upon gross receipts being a "capitation, or other direct, Tax" requiring apportionment, while a tax upon the gain (income), or profit, "derived from" those receipts, is a Sixteenth Amendment income tax not requiring apportionment. The courts have held many times that "it is the substance, not the form" which separates valid taxation from arbitrary confiscation. They also have held that "what cannot be done directly because of constitutional restrictions cannot be accomplished indirectly by legislation which accomplishes the same result." [11] Congress avoided invalid taxation, either by accident or knowledge, through every US Revenue Act implemented up until 1940. In all of those acts, the amount allowed as a deduction for "personal, living and family expenses" either at least met or exceeded the basic cost of living for the majority of people within the United States. Where is the line drawn between a tax upon the person (capitation tax), which would be paid out of the receipts or income from his labor, and an indirect tax upon that labor? The two taxes, according to the Constitution, do not operate the same, because everyone must labor, in one way or another, in order to support themselves and family [12]. The Sixteenth Amendment provided for the taxation of income, which was derived from capital and or labor, it did not provide for the taxation of the capital or labor itself. This follows from the definition of source in its common speech usage and the fact that the tax is personal [13]. It stands, therefore, that in order for income (gain) to be "derived" from a source there must be something from which it can be separated or drawn. The term source, by practical operation, must be in reference to receipts, and the "gain" derived determined by the accounting method employed [26 USC 441-475]. Keeping that distinction in mind, Chief Justice White explained in 240 U.S.1, 19 [Brushaber] the difference between a tax levied upon the constitutional source, and one levied upon the income derived from it. "a condition which clearly demonstrates that the purpose was not to change the existing interpretation except to the extent necessary to accomplish the result intended; that is, the prevention of the resort to the source from which a taxed income was derived in order to cause a direct tax on the income to be a direct tax on the source itself, and thereby to take an income tax out of the class of excise, duties and imposts, and place it in the class of direct taxes." This brings us to our last point: the application of these concepts to the determination of "taxable" income as reflected on the modern day 1040 tax return form. This is critical to understand, for the entire basis of the Sixteenth Amendment income tax rest upon whether or not the tax is imposed upon the receipts as income, or the gain "derived from" those receipts. The case at hand is Alexander v. I.R.S., First Circuit No. 95-1451 and deals with the specific point of "above the line" versus "below the line" deductions. Certain deductions, called expenses of producing income (business and financial expenses), are deducted above the line, while other "miscellaneous itemized deductions"(including employee "business" expenses, if there are such things) and the personal exemption, are deducted below the line. What does "the line" represent in relation to the Sixteenth Amendment income tax imposed by the tax code? The Joint Committee on Taxation provided a somewhat confusing answer: JCS-3-01 "Volume II: Recommendations of the Staff of the Joint Committee on Taxation to Simplify the Federal Tax System", page 30, #6 "Above –the-line deductions and itemized deductions. Reference: http://waysandmeans.house.gov/hearings.asp?formmode=archive&hearing=101 "Present law does not reflect a coherent theory for treating some deductions as abovethe-line and some deductions as itemized deductions. Although above-the-line deductions are frequently thought of as deductions related to the production of income and itemized deductions are frequently thought of as reflecting ability to pay or encouraging certain behavior, not all deduction can be accounted for under these principles." According to Justice Stewart, in Commissioner v. Tellier, 383 U.S. 687 (1966), the Federal Income Tax is a tax upon "net income", not upon gross income or annual receipts. It is that way because Congress chose to make it that way in 1913 [14]. If Congress chooses to tax gross income, then they must tax the gross income of all those within the class being taxed. If, on the other hand, they choose to tax commercial net income, then they must limit the tax to those within the class who operate upon the basis of "commercial net-income", they cannot mix the two distinct measurements without trespassing upon the due process clause of the Federal Constitution [15]. The term "taxable income" was in use long before Congress implemented 26 USC 63 in 1954 [16]. The term was used to identify that portion of the receipts Congress intended to levy their tax upon; the courts then referring to this as "exerting the full measure of the taxing power". The term, by definition, means "that which is taxable" under the statute, and in reality has nothing to do with the amount of "taxable income" Congress actually makes subject to the tax [17]. Under the Revenue Acts implemented prior to 1954, the tax was levied upon the person's entire net income, then a credit was allowed against that net income for certain itemized deductions and the personal exemption, before the tax was payable [18]. Today line 22, of the 1040 Tax Return, represents this same taxable income, i.e. "commercial net income" as evidenced by the separate schedules; and Congress may diminish it if they choose. The point being is that in the case of soleproprietors, business professions or occupations, and other entities deriving gains and profits from the "use" or "employment" of capital and or labor, the amount shown on line 22 of the 1040 tax return represents "commercial net income" [See 26 CFR 301.7701-1,2,-3]. Whereas, for the common labor for hire employee the amount shown on line 22 quite often represents their entire annual receipts, leaving the personal exemption, allowed by 26USC151, as their only relief from what otherwise could be a financial disaster. The Courts have said many times, and in many various ways, that "the power to tax is the power to destroy". Their meaning has always been clear, that the "power to tax", once confirmed, is unrestricted, that it is indeed "the power to destroy", for what entitles them to take 1% by taxation also allows them to take 100%. Whether or not that action would be politically acceptable is of no concern to the court [19]. By legal definition then, the income tax operates upon line 22 of the current 1040 tax return (the line separating gain from receipts), not line 39; thereby maintaining the separation between a direct tax measured by receipts, and an indirect excise tax levied upon the gain derived from those receipts. (Except in the case of the common labor for hire employee having no other income). To this end it has been said by many courts that "exemptions and deductions are a matter of legislative grace" and therefore may be discarded at will. [20] However, the court in Tellier, held that that was not necessarily so, for those expenses necessary for arriving at net-income under the statute must be allowed, or: "we would come close to making this type of business taxable on the basis of its gross receipts, while other business would be taxable on the basis of net income. If that choice is to be made, Congress should do it." Congress apparently did make that choice in relation to the common labor for hire employee when they implemented section 22 (n) under the 1944 Revenue Act. What basis did they have and what did they mean by the term "adjusted gross income", in a commercial net income tax system? Can the two measurements of "taxable income" be justified? Or, can the same code section of the statute levy both a net income and a gross receipts tax upon two separate members of the same class, without being discriminatory? The question of the validity of an indirect income tax, in relation to common labor for hire employment, has never been addressed. All such taxes, whether levied as license taxes, special taxed, or income taxes, have been sustained upon the basis of the privilege of doing business, and that has not changed. [21] The Court in Pollock specifically avoided the question by stating that such taxes, measured by "gains and profits", in the past had been upheld as excises, but as to being an "income tax" they made no comment [158 U.S. 601, 635]. The taxes at issue in Pollock can be found not only in the 1894 Statue, but in the Civil War Statutes as "license taxes," "special taxes," or "income duties" as well; none of which attached to the common labor for hire employee, nor were they based upon wages [22]. To date, the question has not been raised as to why Congress felt it necessary to create "adjusted gross income" in the first place. [23] If section 22(a) (Gross Income Defined) of the 1939 Code was sufficient to include such common labor for hire employment wages in gross income; what was the point of adding subsection (n), the sections requiring the report of gross income and permitting the deduction of business expenses already existed? [24] We do not protest the taxation of income, nor even suggest that common labor for hire employees be categorically exempted from the operation of the tax. Our objection is that all persons subject to the tax must be treated upon like principles, or the tax is arbitrarily applied and void for want of due process. A tax imposed upon the annual receipts of common labor for hire employment is not the same, in substance, as a tax laid upon the "gain", "profit", or "income" derived from their labors, accruing to their employer. The two subjects of the intended tax are entirely distinct from one another. If the Amendment's purpose is to tax yearly gains, from whatever source derived, then a tax upon annual receipts, no matter how they are acquired, is void for lack of apportionment, unless the personal exemption, in fact, does fulfill its statutory purpose. To hold otherwise would destroy the line between direct and indirect taxation established by Article 1, Section 8 and Article 1, Section 9, clause 4. FOOTNOTES [1] Letter to Richard M. Creamer, Director, Compliance Section, Ogden, UT [2] http://waysandmeans.house.gov/legacy.asp?file=legacy/fullcomm\107cong\2-1301\record\given.htm [3] Congressional Record of October 16, 1913, page 5679: "The statutory exemption of $3,000 is allowed for personal living and family expenses; however, this and other gross income for which special deductions are allowed by the law must be embraced in the return of gross income" [4] Fairbank v. U.S., 181 U.S. 283, 290: "It is a restriction on the power of Congress; and as, in accordance with the rules heretofore noticed, the grants of powers should be so construed as to give full efficacy to those powers and enable Congress to use such means as it deems necessary to carry them into effect, so in like manner a restriction should be enforced in accordance with its letter and spirit, and no legislation can be tolerated which, although it may not conflict with the letter, destroys the spirit and purpose of the restriction imposed." See also Gulf v. Ellis, 165 U.S. 150, 160 [5] Eisner v. Macomber, 252 U.S. 189, 206: "A proper regard for its genesis, as well as its very clear language, requires also that this Amendment shall not be extended by loose construction, so as to repeal or modify, except as applied to income, those provisions of the Constitution that require an apportionment according to population for direct taxes upon property, real and personal." See also Brushaber v. U.P. 240 U.S. 1, 17, 18, 19 [6] Taxing The Exercise of Natural Rights, John MacArthur Maguire (1934), p.286: "If the Legislature were to attempt, by taxing all occupations, practically, to annul the prohibition against a poll tax, the question might arise. But there is a clear distinction between a tax upon certain specified businesses, where the skill of the operator is a source of profit, or where the public are appealed to for patronage and protection of a fixed and regular business, and a tax covering all persons, whatever may be their occupation." (Burch v. Mayor of Savannah, 42 GA. 596, 600-601 (1871)) [7] Congressional Record of August 28, 1913, page 3844, statement of Senator Cummins: "Why, Mr. President, should Congress attempt to do more that is declared in the first section of the proposed bill? It is right; it is comprehensible; it embraces everything—no, I will withdraw that; it does not embrace the full power of Congress, because Congress can levy a tax upon gross incomes if it likes; it may diminish the extent of its taxing power or not exercise it at all; it may exclude certain things from the taxing power that it might include; but it can not change the character of the taxation; and when it is declared in the first lines of this bill that a tax is levied upon the entire net-income of all the citizens of this country, we have exercised all the power we have." See also Treasury Regulation 118, section 39.21-1 (b) (Art. 21 of Treasury Regulation 45 (1918)): "Although taxable net income is a statutory conception, it follows, subject to certain modifications as to exemptions and as to deductions for partial losses in some cases, the lines of commercial usage. Subject to these modifications, statutory net income is commercial net income." [8] Congressional Record of July 5, 1909, pages 4109 to 4120, S.J.R. 40. Senator McLauren: "Amend the joint resolution by striking out all after line 7 and inserting the following to wit; The words 'and direct taxes' in clause 3, section 2, Article 1, and the words 'or other direct,' in clause 4, section 9, Article 1, of the Constitution of the United States are hereby stricken out." This amendment to S.J.R. 40 was rejected, page 4120. [9] Brushaber v. U.P., 240 U.S. 1, 16: "It was held that the duty existed to fix what was a direct tax in the constitutional sense so as to accomplish this purpose contemplated by the Constitution." [10] Pollock v. Farmers, 158 U.S. 601, 618, Chief Justice Fuller: "That is a tax upon the reality and a tax upon the receipts therefrom were alike direct;" [11] Fairbank v. U.S., 181 U.S. 283, 296, citing 157 U.S. 429, 581: "If it be true that by varying the form the substance may be changed, it is not easy to see that anything would remain of the limitations of the Constitution, or of the rule of taxation and representation.… But constitutional provisions cannot be thus evaded. It is the substance, and not the form, which controls, as has indeed been established by repeated decisions of this court." See also: City of Detroit v. Murray Corp., 355 U.S. 489, 492: "we are concerned only with its practical operation, not its definition or the precise form of descriptive words which may be applied to it" … Consequently in determining whether these taxes violate the Government's constitutional immunity we must look through from and behind labels to substance." See also: Educational Films Corp. v. Ward, 282 U.S. 379. [12] U.S. v. Gilmore, 372 U.S. 39, 44 (1963): "For income tax purposes Congress has seen fit to regard an individual as having two personalities: "one is [as] a seeker after profit who can deduct the expenses incurred in that search; the other is [as] a creature satisfying his needs as a human being and those of his family but who cannot deduct such consumption and related expenditures." See also: Federal Income Taxation Cases and Materials, Surrey and Warren (1953) page 217. Ditto Volume 1 1972 Edition, page 496 [13] Graves v. People of State of New York, 306 U.S. 466, 480, 481: "It is measured by income which becomes the property of the taxpayer when received as compensation for his services; and the tax laid upon the privilege of receiving it is paid from his private funds …" See also: Federal Tax Procedure and Appeals by James Conlon (1936), page 61: "The commonly accepted definition of the term 'source' is 'that from which anything comes forth, regarded as its cause or origin, the first cause,' Webster's New International Dictionary". [There must be labor, before there can be compensation; labor is the origin, or first cause, not the employer] [14] Mcdonald v. C. I. R., 323 U.S. 57, 67: "Taxation on net, not on gross, income has always been the broad basic policy of our income tax laws. Net income may be defined as what remains out of the gross income after subtracting the ordinary and necessary expenses incurred in efforts to obtain and keep it." [15] Mills v. State of Maine, First Circuit, No. 96-1973: "Instead, in the subset of concerns, the Equal Protection Clause requires 'that cities, states and the Federal Government must exercise their powers so as not to discriminate between their inhabitants except upon some reasonable differentiation fairly related to the object of regulation…. View against this backdrop, '[e]qual protection of the laws means that 'no person or class of persons shall be denied the same protection of the laws which is enjoyed by other persons or other classes in the same place under like circumstances." See also: Gulf v. Ellis, 165 U.S. 150; Reagan v. Taxation, 461 U.S. 540; Schweiker v. Wilson, 450 U.S. 221; Colgate v. Harvey, 296 U.S. 404; Louisville Gas & Electric V. Coleman, 277 U.S. 32; Royster Guano Co. v. Com. Of Virginia, 253 U.S. 412; Tanner v. Little, 240 U.S. 369; Billings v. People Of Illinois, 188 U.S. 97; Home Insurance v. State of New York, 134 U.S. 594; Barbier v. Connolly, 113 U.S. 27. [16] Taxable Income by Roswell Magill, 1936, Chapter 9 "Gross income, Gross Receipts, or Net Income"; New Colonial Ice Co. v. Helvering, 292 U.S. 435, 440 (1934); See also [18] below. [17] Congressional Record of August 28, 1913, page 3846, Senator Cummins: "Congress can deduct from an income, in order to reach a taxable part of the income, anything it pleases. It can deduct a quarter of it, or it can deduct a half of it, or it can deduct all of it. This, therefore, does not relate to the constitutional authority of Congress. See [7] above. [18] A Treatise on the Federal Income Tax Law of 1913 by Thomas Gold Frost (1913). Section 37, page 28: "The purpose of the framers of the Act in only permitting deductions for the expenses actually incurred in carrying on any business, and excluding personal, living and family expenses, was for the reason that the specific exemption of $4,000 from taxable income was supposed to be sufficient to provide personal, living and family expenses." [19] MCCray v. U.S., 195 U.S. 27, 55-64, page 60: "This principle is pertinent only when there is no power to tax a particular subject, and has no relation to the case where such right exists. In other words, the power to destroy, which may be the consequence of taxation, is a reason why the right to tax should be confined to subjects which may be lawfully embraced therein, even although it happens that in some particular instance no great harm may be caused by the exercise of the taxing authority as to a subject which is beyond its scope." See also: South Carolina v. Baker, 485 U.S. 505, 516: "The United States cannot convert an unconstitutional tax into a constitutional one simply by making the tax conditional. Whether Congress could have imposed the condition by direct regulation is irrelevant. Congress cannot employ unconstitutional means to reach a constitutional end." See also: Mobile v. Turnipseed, 219 U.S. 35, 43; Stebbins v. Riley, 268 U.S. 137, 141, 143; Heiner v. Donnan, 285 U.S. 312, 325330. [20] New Colonial Ice Co. v. Helvering, 292 U.S. 435, 440: "The power to tax income like that of the new corporation is plain and extends to the gross income. Whether and to what extent deductions shall be allowed depends upon legislative grace." Commissioner v. Soliman, 506 U.S. 168, 179: "A deduction from gross income is a matter of grace, not right, Com. V. Sullivan, 326 U.S. 27, 28; Com. V. Tellier, 383 U.S. 687, 693. However, look at both Sullivan and Tellier, for the Court seems to qualify their remarks by adding. "If we enforced as federal policy the rule espoused by the Commissioner in this case, we would come close to making this type of business taxable on the basis of its gross receipts, while all other business would be taxable on the basis of net income. If that choice is to be made, Congress should do it. [21] Hill v. C.I.R., 181 F2d 906 (1950) School teacher is "in the business" of being a teacher. Trent v. C.I.R., 291 F2d 669 (1961) trade or business includes all means of gaining a livelihood by work. Noland v. C.I.R., 269 F2d 108 [2,3] We start with the assumption that every person who works for compensation is engaged in the business of earning his pay. Kowalski v. C.I.R., 65 TC 44 (1975) "Over the years we have held on more than one occasion that a taxpayer may be in the trade or business of being an employee" [22] Library of Congress web site: http://memory.loc.gov/ammem/amlaw/lwsllink.html http://memory.loc.gov/cgi- bin/ampage?collId=llsl&fileName=012/llsl012.db&recNum=463 http://memory.loc.gov/cgi- bin/ampage?collId=llsl&fileName=013/llsl013.db&recNum=252 [23] Shepards; 26USC22(n) 1944 to 1954, 26USC62 1954-1996 [24] Pedone v. United States, 151 F.Supp. 288, 291: "The common understanding of the word income is the amount which one has gained by his transaction or activity. His gains, not his gross receipts, are his constitutionally taxable income." @294 "While, over the years, there has been some dispute as to whether the term "income" contained therein means "gross income" or "net income" the cases are quite settled on the point that it does not mean "gross receipts." C.I.R. v. Weisman, 197 F2d 221, 225: "In this view, a tax by Congress on the merchant's gross receipts, as such, would not be a tax on income, sustainable under the Sixteenth Amendment. The question then would be whether such tax fell within the general taxing power of Congress conferred by Article 1, Section 8 of the Constitution, or whether it would be deemed a "direct" tax which had to be laid in proportion to the population, as provided in Article 1, Section 9," [Would not a tax upon the gross receipts of the common law employee fall within this same rule? If not, why not?]
K: Maternal / Newborn Care Maternal / Newborn Care Competency: K-1 Prenatal Care, Assessment and Teaching Priority: One Date: September 1, 2005 A Licensed Practical Nurse will: K-1-1 Demonstrate knowledge of human anatomy and physiology in relation to pregnancy: - cardiovascular - digestive - endocrine - genitourinary - integumentary - lymphatic - musculoskeletal - nervous - respiratory - reproductive. K-1-2 Demonstrate knowledge of pregnancy: - presumptive signs of pregnancy - probable signs of pregnancy - positive signs of pregnancy - physiological changes - EDC (expected date of confinement) - psychological signs - prenatal classes. K-1-3 Demonstrate the ability to perform full health assessment related to pregnancy such as: - last menstrual cycle - number of pregnancies (gravida, para) - fundal height - auscultation of fetal heart - testing of urine. Competency: K-1 Prenatal Care, Assessment and Teaching A Licensed Practical Nurse will: K-1-4 Demonstrate the ability to teach the pregnant client in relation to prenatal care. K-1-5 Demonstrate knowledge of complications associated with pregnancy such as: - abortion - abruptio placenta - eclampsia - ectopic pregnancy - effects of substance abuse - gestational diabetes mellitus - hyperemesis gravidarum - inuterine growth retardation - malposition of fetus - placenta previa - transient hypertension. K-1-6 Demonstrate the ability to teach the client about complications of pregnancy. K-1-7 Demonstrate knowledge and ability to apply fetal monitor to facilitate a "Non-Stress" test: - prepare client for application of "Non-stress" test - assist appropriate health professional with on-going monitoring and report results. K-1-8 Demonstrate ability to provide nursing interventions to alter non-reactive fetal monitoring reading by: - positioning client - offering juice or ice water - providing oxygen. Page: 2 Maternal / Newborn Care Competency: K-2 Knowledge and Assessment of Labour A Licensed Practical Nurse will: K-2-1 Demonstrate knowledge of birthing process: - Stage 1 – labour onset to full cervix dilation - Stage 2 – full cervix dilation to delivery of baby - Stage 3 – delivery of baby to expulsion of placenta - Stage 4 – expulsion of placenta to afterbirth recovery. K-2-2 Demonstrate ability to perform full health assessment and specialized admission specific to maternal nursing such as: - awareness of risk factors - awareness to blood types - auscultation of fetal heart - consents - delivery record - last menstrual cycle - note whether strep B test is done - prenatal records / history - previous genetic anomalies - previous pregnancies (gravida, para) - vital signs. Priority: Two Date: September 1, 2005 Maternal / Newborn Care Competency: K-3 Assist with Managing Labour A Licensed Practical Nurse will: K-3-1 Demonstrate ability to assist authorized professional during management of labour: - apply external fetal heart monitor - assist with ongoing monitoring throughout labour - provide care to labouring client - report and document as required. K-3-2 Demonstrate ability to test appropriate specimens during labour such as: - glucometer - urine - amniotic fluids using litmus paper / kits. K-3-3 Demonstrate ability to assist authorized professional with invasive procedures such as: - vaginal exams - artificial rupture of membranes - insertion of internal mode fetal monitoring - epidural anesthesia / analgesia - induction - obtaining consents if applicable. K-3-4 Demonstrate ability to use non-pharmacological techniques to assist client in managing pain during labour and delivery. K-3-5 Demonstrate ability to administer medications and nitrous oxide to client in labour as per agency policy. (See Competency Band U) Priority: One Restricted Activity Authorization Date: September 1, 2005 K-4-9 Major Competency Area: K Priority: One Maternal / Newborn Care Competency: K-4 Assist with Delivery Date: September 1, 2005 A Licensed Practical Nurse will: K-4-1 Demonstrate ability to use sterile techniques to set-up delivery suite. K-4-2 Demonstrate ability to assist authorized professional in delivery process. K-4-3 Demonstrate ability to use equipment for safe delivery. K-4-4 Demonstrate ability to provide care and initial medications to stable newborns as per employer protocol. (see Competency Band U). K-4-5 Demonstrate ability to assist authorized professional with neonatal resuscitation. (see Competency Band BB). K-4-6 Demonstrate ability to assist authorized professional with Apgar scoring. K-4-7 Demonstrate ability to assist authorized professional with examination of placental tissue and cord structure. K-4-8 Demonstrate ability to procure appropriate specimens for analysis such as: -cord blood sample. Demonstrate ability to assist authorized professional with appropriate nursing interventions: - chills - hemorrhage - seizures - shock. K-4-10 Demonstrate ability to document concisely any abnormal findings. K-4-11 Demonstrate ability to assist client and family in the event of still birth or death of newborn. Priority: One Maternal / Newborn Care Competency: K-5 Postpartum Care and Teaching Date: September 1, 2005 A Licensed Practical Nurse will: K-5-1 Demonstrate knowledge of involution process. K-5-2 Demonstrate knowledge of medical terminology as it applies to postpartum client. K-5-3 Demonstrate ability to perform assessment of post delivery client such as: - breasts / nipples - caesarean section incision - fundus - hemorrhoids - lochia - perineum - vital signs. K-5-4 Demonstrate ability to recognize post-delivery complications such as: - boggy fundus - client passing large clots or tissue - difficulty voiding or distended bladder - displaced fundus - edema (hands and feet) - high blood pressure - postpartum hemorrhage - seizure activity. K-5-5 Demonstrate ability to provide appropriate nursing interventions. K-5-6 Demonstrate ability to recognize physiological changes such as: - after pains - cervical closure - constipation - decreased perineal muscle tone Competency: K-5 Postpartum Care and Teaching A Licensed Practical Nurse will: K-5-6 Demonstrate ability to recognize physiological changes such as: (continued) - diuresis - involution of uterus - lactation - ovulation / menstruation - vaginal rugae - vital sign changes - diaphoresis - weight loss. K-5-7 Demonstrate ability to recognize psychological changes such as: - bonding - postpartum blues - postpartum depression. K-5-8 Demonstrate the ability to teach and support client in ongoing postpartum care such as: - breast feeding / bottle feeding - changes in family dynamics - importance of rest - involution - newborn care - perineal hygiene - personal hygiene - physiological changes - psychological changes. Page: 2 Competency: K-5 Postpartum Care and Teaching A Licensed Practical Nurse will: K-5-9 Demonstrate the ability to perform ongoing assessments during postpartum period such as: - bowel function - breasts - caesarean section incision - edema - fundus - legs (deep vein thrombosis) - lochia - pain in breasts, uterus, perineum, other - perineum – episiotomy / hemorrhoids - vital signs - voiding. K-5-10 Demonstrate ability to safely use equipment needed in the postpartum period. K-5-11 Demonstrate the ability to assist mother with breast feeding. K-5-12 Demonstrate the ability to initiate inter-agency referrals as part of discharge planning. K-5-13 Demonstrate ability to provide discharge teaching to mother, father and / or significant other. Page: 3 Maternal / Newborn Care Competency: K-6 Prenatal Pre-operative Care and Teaching Priority: One Date: September 1, 2005 A Licensed Practical Nurse will: K-6-1 Demonstrate knowledge and ability to assist authorized professional in preparing client for elective and emergency caesarean section: - administer pre-operative medications - catheterization - continuous fetal monitoring - ensure consent is signed - frequent monitoring of vital signs as required - infusion therapy - observation of changes in client's condition and reporting of same - pre-operative care and teaching. K-6-2 Demonstrate knowledge and ability to provide pre-operative / prenatal teaching as per hospital policy / procedures for elective and emergency caesarean sections: - breast care post surgery - care of incision post surgery - deep breathing and coughing exercises - discharge teaching - infusion therapy and nutrition - personal hygiene care - referrals - support of incision post surgery when mobilizing. Maternal / Newborn Care Competency: K-7 Postnatal / Post-operative Care and Teaching Priority: One Date: September 1, 2005 A Licensed Practical Nurse will: K-7-1 Demonstrate knowledge and ability to provide post-operative / postpartum care following return from OR / Recovery room. K-7-2 Demonstrate knowledge and ability to complete ongoing assessments during postpartum period and report any changes or abnormalities: - bowel functions - catheter care – voiding post catheter removal - firmness and position of fundus - incision care / dressing changes - infusion therapy / intake and output - lochia – amount and odor - nutritional requirements when breast feeding - pain in breasts, uterus, incision, perineum or legs - perineum – episiotomy / hemorrhoids - post epidural protocols - redness, swelling, pain in back of legs - vital signs. K-7-3 Demonstrate ability to safely use equipment needed in postpartum care. Priority: One Maternal / Newborn Care Competency: K-8 Knowledge and Teaching of Newborn Care Date: September 1, 2005 A Licensed Practical Nurse will: K-8-1 Demonstrate knowledge and ability to perform physical assessment on newborn. K-8-2 Demonstrate knowledge and ability to perform newborn admission to the nursery: - following normal delivery - following caesarean section delivery. K-8-3 Demonstrate knowledge and ability to monitor clinical manifestations of newborn. K-8-4 Demonstrate knowledge of equipment pertaining to newborn care. K-8-5 Demonstrate knowledge and ability to provide discharge teaching regarding care of newborn such as: - appointment with physician - events which should be reported to regulated health professional - evaluate car seat safety / perform car seat testing - other referrals as necessary - provide health link information - reinforce feeding and bathing of newborn - visit by community health nurse. K-8-6 Demonstrate knowledge and ability to assist appropriate professional with transferring neonate to specialized care. K-8-7 Demonstrate knowledge and ability to assist appropriate professional with gavage feeding.
Financial Statements For the years ended December 31, 2015 and 2014 Management's Responsibility To the Shareholders of Sahara Energy Ltd.: Management is responsible for the preparation and presentation of the accompanying financial statements, including responsibility for significant accounting judgments and estimates in accordance with International Financial Reporting Standards. This responsibility includes selecting appropriate accounting principles and methods, and making decisions affecting the measurement of transactions in which objective judgment is required. In discharging its responsibilities for the integrity and fairness of the financial statements, management designs and maintains the necessary accounting systems and related internal controls to provide reasonable assurance that the transactions are authorized, assets are safeguarded and financial records are properly maintained to provide reliable information for the preparation of the financial statements. The Board of Directors is responsible for overseeing management in the performance of its financial reporting responsibilities, and for approving the financial information included in the financial report. The Board fulfils these responsibilities by reviewing the financial information prepared by management and discussing relevant matters with management, and external auditors. The Board is also responsible for recommending the appointment of the Company's external auditors. MNP LLP, an independent firm of Chartered Professional Accountants, is appointed by the shareholders to audit the financial statements and report directly to them; their report follows. The external auditors have full and free access to, and meet periodically and separately with, the Board of Directors and management to discuss their audit findings. April 27, 2016 (Signed) "Yachao Peng" Yachao Peng Chief Executive Officer Independent Auditors' Report To the Shareholders of Sahara Energy Ltd. We have audited the accompanying financial statements of Sahara Energy Ltd., which comprise the statement of financial position as at December 31, 2015, the statements of loss and comprehensive loss, changes in equity and cash flows for the year then ended, and notes, comprising a summary of significant accounting policies and other explanatory information. Management's Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with International Financial Reporting Standards, and for such internal control as management determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors' Responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit 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 financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditors' judgment, including the assessment of the risks of material misstatement of the 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 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 financial statements. We believe that the audit evidence we have obtained in our audit is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the financial statements present fairly, in all material respects, the financial position of Sahara Energy Ltd. as at December 31, 2015, and its financial performance and its cash flows for the year then ended in accordance with International Financial Reporting Standards. Other Matter The financial statements of Sahara Energy Ltd. as at December 31, 2014 and for the year the ended, were audited by another auditor who expressed an unmodified opinion on those statements on April 3, 2015. Calgary, Alberta April 27, 2016 Chartered Professional Accountants Commitment (Note 14) Approved on behalf of the Board: (Signed) “ Panwen (Michelle) Gao ” , Director (Signed) “ Gary Chang ”, Director 4 Sahara Energy Ltd. Statements of Loss and Comprehensive Loss For the years ended December 31 (in Canadian dollars) 5 6 6 7 7 Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) 1. Nature of operations Sahara Energy Ltd. (the "Company") was incorporated under the Business Corporations Act (Alberta) and is listed on the TSX Venture Exchange ("the Exchange"). The Company is a junior resource exploration company engaged in the acquisition, exploration and development of petroleum and natural gas reserves in Western Canada. The Company's registered address is 610, 700 – 4 th Avenue SW, Calgary, Alberta. As at December 31, 2015, JF Investment (Hong Kong) Co., Limited ("JF Investment") owned and controlled 69% of the Company's issued and outstanding shares. 2. Basis of preparation (a) Statement of compliance These financial statements have been prepared in accordance with International Financial Reporting Standards ("IFRS") as issued by the International Accounting Standards Board ("IASB") and the interpretations of the International Financial Reporting Interpretations Committee in effect at December 31, 2015. These financial statements were authorized for issue by the Board of Directors on April 27, 2016. (b) Basis of measurement The financial statements have been prepared on the historical cost basis except for certain financial assets and liabilities which are measured at fair value. The methods used to measure fair values are discussed in Note 4. (c) Functional and presentation currency These financial statements are presented in Canadian dollars, which is the Company's functional currency. (d) Use of judgments and estimates The preparation of financial statements in conformity with IFRS requires management to make judgments, estimates and assumptions that affect the application of accounting policies and the reported amount of assets, liabilities, income and expenses. Actual results may differ materially from estimated amounts. Estimates and their underlying assumptions are reviewed on an ongoing basis. Revisions to accounting estimates are recognized in the year in which the estimates are revised and for any future years affected. Critical judgments in applying accounting policies The following are critical judgments that management has made in the process of applying accounting policies and that have the most significant effect on the amounts recognized in the financial statements. Cash-generating units The Company's assets are aggregated into a single cash-generating unit ("CGU") for the purpose of calculating impairment. CGUs are based on an assessment of a unit's ability to generate independent cash inflows. The determination of the Company's CGU was based on management's judgment in regards to shared infrastructure, geographical proximity, exposure to market risk and materiality. Joint arrangements Judgment is required to determine when the Company has joint control over an arrangement. In Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) establishing joint control, the Company considers whether unanimous consent is required to direct the activities that significantly affect the returns of the arrangement, such as the capital and operating activities of the arrangement. Once joint control has been established, judgment is also required to classify as a joint arrangement. The type of joint arrangement is determined through analysis of the rights and obligations arising from the arrangement by considering its structure, legal form, and terms agreed upon by the parties sharing control. An arrangement where the controlling parties have rights to the assets and revenues and obligations for the liabilities and expenses is classified as a joint operation. Impairment indicators Judgments are required to assess when impairment indicators exist and impairment testing is required. In determining the recoverable amount of assets, in the absence of quoted market prices, impairment tests are based on estimates of reserves, production rates, future oil and natural gas prices, future costs, discount rates, market value of land and other relevant assumptions. Provisions Judgments are required to assess the existence of obligations requiring a probable outflow of funds to settle the obligation and the requirement to recognize a related provision. Deferred taxes Judgments are made by management to determine the likelihood of whether deferred income tax assets at the end of the reporting period will be realized from future taxable earnings. Contingencies Judgments are made by management to determine the existence of contingencies and the outcome of future events. Key Sources of Estimation Uncertainty The following are key estimates and their assumptions made by management affecting the measurement of balances and transactions in these financial statements. Recoverability of asset carrying values The recoverability of development and production asset carrying values are assessed at the CGU level. Determination of what constitutes a CGU is subject to management judgments. The asset composition of a CGU can directly impact the recoverability of the assets included therein. The key estimates used in the determination of cash flows from oil and natural gas reserves include the following: - Reserves – Assumptions that are valid at the time of reserve estimation may change significantly when new information becomes available. Changes in forward price estimates, production costs or recovery rates may change the economic status of reserves and may ultimately result in reserves being restated. - Oil and natural gas prices – Forward price estimates are used in the cash flow model. Commodity prices can fluctuate for a variety of reasons including supply and demand fundamentals, inventory levels, exchange rates, weather, and economic and geopolitical factors. - Discount rate – The discount rate used to calculate the net present value of cash flows is based on estimates of an approximate industry peer group weighted average cost of capital. Changes in the general economic environment could result in significant changes to this estimate. Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) Depletion and depreciation Amounts recorded for depletion and depreciation and amounts used for impairment calculations are based on estimates of total proved and probable oil and natural gas reserves and future development capital. By their nature, the estimates of reserves, including the estimates of future prices, costs and future cash flows, are subject to measurement uncertainty. Accordingly, the impact to the financial statements in future periods could be material. Decommissioning obligation The amount recorded for the decommissioning obligation and the related accretion expense requires the use of estimates with respect to the amount and timing of decommissioning expenditures. Actual costs and cash outflows can differ from estimates because of changes in laws and regulations, public expectations, market conditions, discovery and analysis of site conditions and changes in technology. Other provisions are recognized in the period when it becomes probable that there will be a future cash outflow. Share-based compensation Compensation costs recognized for share-based compensation plans are subject to the estimation of what the ultimate payout will be using pricing models such as the Black-Scholes pricing model which is based on significant assumptions such as volatility, dividend yield and expected term. Deferred taxes Tax interpretations, regulations and legislation in the various jurisdictions in which the Company operates are subject to change. As such income taxes are subject to measurement uncertainty. Deferred income tax assets are assessed by management at the end of the reporting period to determine the likelihood that they will be realized from future taxable earnings. Contingencies By their nature, contingencies will only be resolved when one or more future events occur or fail to occur. Management must make estimates of amounts related to the outcome of future events. 3. Significant accounting policies The accounting policies set out below have been applied consistently to all periods presented in these financial statements. (a) Financial instruments (i) Non-derivative financial instruments Non-derivative financial instruments comprise cash and cash equivalents, term deposits, trade and other receivables, deposits and trade and other payables. Non-derivative financial instruments are recognized initially at fair value net of any directly attributable transaction costs. Subsequent to initial recognition financial instruments are measured as described below. Financial assets and liabilities at fair value through income or loss A financial asset or liability is classified in this category if acquired principally for the purpose of selling or repurchasing in the short-term. Financial instruments in this category are recognized initially and subsequently at fair value. Transaction costs are expensed in the statement of loss and comprehensive loss. Gains and losses arising from changes in fair value are presented in income or loss within finance income or expense in the period in which they arise. Financial assets Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) and liabilities at fair value through income or loss are classified as current except for any portion expected to be realized or paid beyond twelve months of the statement of financial position date. Cash and cash equivalents consists of cash in the bank and term deposits with maturities of three months or less, less outstanding cheques, and is classified as fair value through profit or loss. Other Other non-derivative financial instruments, such as term deposits with maturities longer than three months, trade and other receivables, deposits and trade and other payables are measured at amortized cost using the effective interest method, less any impairment losses. (ii) Derivative financial instruments Embedded derivatives are separated from the host contract and accounted for separately if the economic characteristics and risks of the host contract and the embedded derivative are not closely related, a separate instrument with the same terms as the embedded derivative would meet the definition of a derivative, and the combined instrument is not measured at "fair value through income or loss". Changes in the fair value of separable embedded derivatives are recognized immediately in income or loss. The Company does not hold any embedded derivatives. (b) Share capital Common shares are classified as equity. Incremental costs directly attributable to the issuance of common shares are recognized as a reduction of equity. (c) Jointly controlled operations and jointly controlled assets The Company's petroleum and natural gas exploration activities are conducted jointly with others. These financial statements reflect only the Company's proportionate interest in such activities. Joint control exists for contractual arrangements governing the Company's assets whereby the Company has less than 100 per cent working interest, all of the partners have control of the arrangement collectively, and spending on the project requires unanimous consent of all parties that collectively control the arrangement and share the associated risks. The Company does not have any joint arrangements structured through joint venture arrangements. (d) Property, plant and equipment and exploration and evaluation assets (i) Recognition and measurement Exploration and evaluation expenditures Pre-license costs are recognized in the statement of loss and comprehensive loss as incurred. Exploration and evaluation costs, including the costs of acquiring undeveloped land and drilling costs are initially capitalized until the drilling of the well is complete and the results have been evaluated. The costs are accumulated in cost centres pending determination of technical feasibility and commercial viability. The technical feasibility and commercial viability is considered to be determinable when proved and/or probable reserves are determined to exist. If proved and/or probable reserves are found, the drilling costs and associated undeveloped land are transferred to property, plant and equipment. Any impairment recognized during a period, is charged as additional depletion and depreciation expense. Exploration and evaluation assets are assessed for impairment if (i) sufficient data exists to determine technical feasibility and commercial viability, and (ii) facts and circumstances suggest that the carrying amount exceeds the recoverable amount. For purposes of impairment testing, exploration and evaluation assets are allocated to CGUs. Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) Development and production costs Property, plant and equipment, which includes oil and gas development and production assets, are initially measured at cost and subsequently carried at cost less accumulated depletion and depreciation and accumulated impairment losses. The cost of development and production assets includes; transfers from exploration and evaluation assets, which generally include the cost to drill the well and the cost of the associated land upon determination of technical feasibility and commercial viability; the cost to complete and tie-in the wells; facility costs; the cost of recognizing provisions for future restoration and decommissioning; geological and geophysical costs; and directly attributable overheads. Development and production assets are grouped into CGUs for impairment testing. When significant parts of an item of property and equipment, including petroleum and natural gas properties, have different useful lives, they are accounted for as separate items (major components). Gains and losses on disposal of an item of property, plant and equipment, including oil and natural gas interests, are determined by comparing the proceeds from disposal with the carrying amount of property, plant and equipment and are recognized in the statement of loss and comprehensive loss. (ii) Subsequent costs Costs incurred subsequent to the determination of technical feasibility and commercial viability and the costs of replacing parts of property, plant and equipment are recognized as oil and natural gas interests only when they increase the future economic benefits embodied in the specific asset to which they relate. All other expenditures are recognized in the statement of loss and comprehensive loss as incurred. Such capitalized oil and natural gas interests generally represent costs incurred in developing proved and/or probable reserves and bringing in or enhancing production from such reserves, and are accumulated on a field or geotechnical area basis. The carrying amount of any replaced or sold component is derecognized. The costs of periodic servicing of property, plant and equipment are recognized in operating expenses as incurred. (iii) Depletion and depreciation The net carrying value of development and production assets is depleted using the unit of production method by reference to the ratio of production in the period to the related proved plus probable reserves, taking into account estimated future development costs necessary to bring those reserves into production and the estimated salvage value of the assets at the end of their useful lives. Future development costs are estimated taking into account the level of development required to produce the reserves. Proved plus probable reserves are estimated annually by independent qualified reserve evaluators, in accordance with Canadian Securities Administration National Instrument 51-101, and represent the estimated quantities of crude oil, natural gas and natural gas liquids which geological, geophysical and engineering data demonstrate with a specified degree of certainty to be recoverable in future years from known reservoirs and which are considered commercially producible. For depletion purposes, relative volumes of petroleum and natural gas production and reserves are converted at the energy equivalent conversion rate of six thousand cubic feet of natural gas to one barrel of crude oil. Depreciation of furniture and equipment is based on estimated useful lives and is calculated using Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) the declining balance method at rates ranging from 20% - 45%. Depreciation methods, useful lives and residual values are reviewed at each reporting date. (e) Impairment (i) Financial assets A financial asset is assessed at each reporting date to determine whether there is any objective evidence that it is impaired. A financial asset is considered to be impaired if objective evidence indicates that one or more events have had a negative effect on the estimated future cash flows of that asset. An impairment loss in respect of a financial asset measured at amortized cost is calculated as the difference between its carrying amount and the present value of the estimated future cash flows discounted at the original effective interest rate. Individually significant financial assets are tested for impairment on an individual basis. The remaining financial assets are assessed collectively in groups that share similar credit risk characteristics. All impairment losses are recognized in the statement of loss and comprehensive loss. An impairment loss is reversed if the reversal can be related objectively to an event occurring after the impairment loss was recognized. For financial assets measured at amortized cost the reversal is recognized in the statement of loss and comprehensive loss. (ii) Non-financial assets The carrying amounts of the Company's non-financial assets, other than exploration and evaluation assets and deferred tax assets, are reviewed at each reporting date to determine whether there is any indication of impairment. If any such indication exists, then the asset's recoverable amount is estimated. Exploration and evaluation assets are assessed for impairment when they are transferred to property, plant and equipment, and also if facts and circumstances suggest that the carrying amount exceeds the recoverable amount. The recoverable amount of an asset or a CGU is the greater of its value in use and its fair value less costs to sell. Fair value less costs to sell is determined as the amount that would be obtained from the sale of a CGU in an arm's length transaction between knowledgeable and willing parties. The fair value less costs to sell of oil and gas assets is generally determined as the net present value of the estimated future cash flows expected to arise from the continued use of the CGU, including any expansion prospects, and its eventual disposal, using assumptions that an independent market participant may take into account. These cash flows are discounted by an appropriate discount rate which would be applied by such a market participant to arrive at a net present value of the CGU. Value in use is determined as the net present value of the estimated future cash flows expected to arise from the continued use of the asset in its present form and its eventual disposal. Value in use is determined by applying assumptions specific to the Company's continued use and can only take into account approved future development costs. Estimates of future cash flows used in the evaluation of impairment of assets are made using management's forecasts of commodity prices and expected production volumes. The latter takes into account assessments of field reservoir performance and includes expectations about proved and unproved volumes, which are riskweighted utilizing geological, production, recovery and economic projections. Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) An impairment loss is recognized if the carrying amount of a CGU exceeds its estimated recoverable amount. Impairment losses are recognized in depletion and depreciation expense in the statement of loss and comprehensive loss. Impairment losses recognized in respect of CGU's are allocated first to reduce the carrying amount of any goodwill allocated to the CGU and then to reduce the carrying amounts of the other assets in the CGU on a pro rata basis. Impairment losses recognized in prior years are assessed at each reporting date, if facts and circumstances indicate that the loss has decreased or no longer exists. An impairment loss is reversed if there has been a change in the estimates used to determine the recoverable amount. An impairment loss is reversed only to the extent that the asset's carrying amount does not exceed the carrying amount that would have been determined, net of depletion and depreciation, if no impairment loss had been recognized. (f) Decommissioning obligation The Company's activities give rise to dismantling, decommissioning and site disturbance remediation activities. Provision is made for the estimated cost of site restoration and capitalized in the relevant asset category. The Company's decommissioning obligation is measured at the present value of management's best estimate of expenditure required to settle the present obligation at the balance sheet date at a risk-free rate. Subsequent to the initial measurement, the obligation is adjusted at the end of each period to reflect the passage of time, revisions to the amount of the original estimate, changes in the discount rate or risk-free rate and changes in the estimated future cash flows underlying the obligation. The increase in the provision due to the passage of time is recognized as finance costs whereas increases/decreases due to changes in the estimated future cash flows and other assumptions are capitalized. Actual costs incurred upon settlement of the decommissioning obligation are charged against the provision to the extent the provision was established. (g) Revenue recognition Revenue from the sale of crude oil and natural gas is recorded when the significant risks and rewards of ownership of the product is transferred to the buyer which is usually when legal title passes to the external party. This is generally at the time volumes are delivered to customers at contractual delivery points and rates. (h) Finance income and expenses Finance expense comprises interest expense on borrowings, accretion of the discount on the decommissioning obligation and impairment losses recognized on financial assets. Interest income is recognized as it accrues in the statement of loss and comprehensive loss, using the effective interest method. (i) Taxes Tax expense comprises current and deferred tax. Tax expense is recognized in the statement of loss and comprehensive loss except to the extent that it relates to items recognized directly in equity, in which case it is recognized in equity. Current tax is the expected tax payable on the taxable income for the year, using tax rates enacted or substantively enacted at the reporting date, and any adjustment to tax payable in respect of previous years. Deferred tax is recognized using the liability method, providing for temporary differences between the carrying amounts of assets and liabilities for financial reporting purposes and the amounts used for Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) taxation purposes. Deferred tax is not recognized on the initial recognition of assets or liabilities in a transaction that is not a business combination. In addition, deferred tax is not recognized for taxable temporary differences arising on the initial recognition of goodwill. Deferred tax is measured at the tax rates that are expected to be applied to temporary differences when they reverse, based on the laws that have been enacted or substantively enacted by the reporting date. Deferred tax assets and liabilities are offset if there is a legally enforceable right to offset, and they relate to income taxes levied by the same tax authority on the same taxable entity, or on different tax entities, but they intend to settle current tax liabilities and assets on a net basis or their tax assets and liabilities will be realized simultaneously. A deferred tax asset is recognized to the extent that it is probable that future taxable profits will be available against which the temporary difference can be utilized. Deferred tax assets are reviewed at each reporting date and are reduced to the extent that it is no longer probable that the related tax benefit will be realized. (j) Share-based payments The Company grants options to purchase common shares to employees and directors under its stock option plan. Share-based payments to employees and directors are measured at the fair value of the options issued and amortized over the vesting periods. The amount recognized as a share based payment expense during a reporting period is adjusted to reflect the number of awards expected to vest. The offset to this recorded cost is to contributed surplus. A forfeiture rate is estimated on the grant date and is subsequently adjusted to reflect the actual number of options that vest. (k) Per share amounts Basic per share amounts are calculated by dividing the income attributable to common shareholders of the Company by the weighted average number of common shares outstanding during the period. Diluted per share amounts are determined by adjusting the income (loss) attributable to common shareholders and the weighted average number of common shares outstanding for the effects of dilutive instruments such as warrants and stock options granted. Anti-dilutive instruments are not included in the determination of diluted per share amounts. (l) Changes in accounting standards On January 1, 2015, the Company adopted amendments to IFRS 3 Business Combinations and IFRS 24 Related Party Disclosures. The adoption of these amendments had no impact on the amounts recorded in the financial statements for the year ended December 31, 2015. (a) New and amended standards not yet adopted The Company has reviewed new and amended accounting pronouncements that have been issued but are not yet effective and determined that the following may have an impact on the Company: IFRS 9 Financial Instruments In July 2014, the IASB issued the final version of IFRS 9 Financial Instruments which replaces IAS 39 Financial Instruments: Recognition and Measurement. IFRS 9 includes requirements for recognition and measurement, impairment, de-recognition and general hedge accounting. IFRS 9 is effective for annual period beginning on or after January 1, 2018. IFRS 11 Joint Arrangements Amendments to IFRS 11 Joint Arrangements clarify the accounting for acquisitions of interests in joint operations. The amendments are effective for annual period beginning on or after January 1, 2016. Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) IFRS 15 Revenue from Contracts with Customers In May 2014, the IASB issued IFRS 15 Revenue from Contracts with Customers which specifies how and when an entity will recognize revenue as well as requiring entities to provide users of financial statements with more informative, relevant disclosures. IFRS 15 is effective for annual periods beginning on or after January 1, 2018. IFRS 16 Leases In January 2016, the IASB issued IFRS 16 Leases which replaces the previous leases standard, IAS 17 Leases. IFRS 16 eliminates the classification of leases as either operating leases or finance leases as is required by IAS 17 and, instead, introduces a single lessee accounting model. Lessors continue to classify leases as operating leases or finance leases, and account for those two types of leases differently. IFRS 16 is effective for periods beginning on or after January 1, 2019. The Company is currently assessing the impact of these standards and amendments on its financial statements. 4. Determination of fair values A number of the Company's accounting policies and disclosures require the determination of fair value, for both financial and non-financial assets and liabilities. Fair values have been determined for measurement and/or disclosure purposes based on the following methods. When applicable, further information about the assumptions made in determining fair values is disclosed in the notes specific to that asset or liability. (a) Property, plant and equipment and exploration and evaluation assets The fair value of property, plant and equipment and exploration and evaluation assets recognized in a business combination, is based on market values. The market value of property, plant and equipment and exploration and evaluation assets is the estimated amount for which the assets could be exchanged on the acquisition date between a willing buyer and a willing seller in an arm's length transaction after proper marketing wherein the parties had each acted knowledgeably, prudently and without compulsion. The market value of oil and natural gas interests (included in property, plant and equipment) and intangible exploration assets is estimated with reference to the discounted cash flows expected to be derived from oil and natural gas production based on externally prepared reserve reports. The riskadjusted discount rate is specific to the asset with reference to general market conditions. The market value of other items of property, plant and equipment is based on the quoted market prices for similar items. (b) Cash and cash equivalents, term deposits, trade and other receivables, deposit and trade and other payables The fair value of cash and cash equivalents, term deposits, trade and other receivables, deposits and trade and other payables is estimated as the present value of future cash flows, discounted at the market rate of interest at the reporting date. At December 31, 2015 and 2014, the fair value of these balances approximated their carrying value due to their short term to maturity. (c) Share-based compensation The fair value of employee stock options is measured using a Black-Scholes pricing model. Measurement inputs include share price on measurement date, exercise price of the instrument, expected volatility (based on weighted average historic volatility adjusted for changes expected due to publicly available information), weighted average expected life of the instruments (based on historical experience and general option holder behaviour), expected dividends, and the risk-free interest rate Sahara Energy Ltd. Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadian dollars) (based on government bonds). (d) Fair value measurement information The Company classifies the fair value of certain financial instruments according to the following hierarchy based on the amount of observable inputs used to value the instrument. - Level 1 – Quoted prices are available in active markets for identical assets or liabilities as of the reporting date. Active markets are those in which transactions occur in sufficient frequency and volume to provide pricing information on an ongoing basis. Cash and cash equivalents are a Level 1 fair value measurement. - Level 2 – Pricing inputs are other than quoted prices in active markets included in Level 1. Prices are either directly or indirectly observable as of the reporting date. Level 2 valuations are based on inputs, including quoted forward prices for commodities, time value and volatility factors, which can be substantially observed or corroborated in the marketplace. - Level 3 – Valuations in this level are those with inputs for the asset or liability that are not based on observable market data. 5. Cash and cash equivalents and term deposits 6. Exploration and evaluation assets As at December 31, 2013 Additions As at December 31, 2014 Additions As at December 31, 2015 $ $ 41,287 139,635 180,922 12,132 193,054 7. Property, plant and equipment Depletion and depreciation: The calculation of 2015 depletion and depreciation expense included an estimated $4.5 million (2014 – $4.5 million) for future development costs associated with proved plus probable reserves. The Company has not capitalized any directly attributable general and administrative expenses to development and production assets. Impairment: During the quarter ended June 30, 2015, the Company identified certain business risks related to its cash generating unit ("CGU") such as a decline in forward commodity prices. As a result, the Company performed an impairment test at June 30, 2015 and recognized an impairment charge of $440,000. Management estimated the recoverable amount of the Company's CGU based on the 'fair value less costs to sell' using 15% discounted cash flows expected to be derived from the CGU's proved plus probable reserves as reported in the Company's December 31, 2014 externally prepared reserve report updated for June 30, 2015 commodity price estimates. At December 31, 2015, due the continued decline in forward commodity prices, the Company tested its petroleum and natural gas cash generating unit ("CGU") for impairment based on the net present value of cash flows from oil and natural gas reserves of the Company's CGU at a discount rate of 15% as estimated by the Company's independent reserves evaluator. As at December 31, 2015, the estimate of the 'fair value less costs to sell' of the Company's petroleum and natural gas assets was sufficiently in excess of the carrying value of the CGU and therefore the Company did not recognize any additional impairment. The December 31, 2015 impairment test used the following commodity price estimates: A 1% increase in the assumed discount rate would result in $18,000 of additional impairment and a 5% decrease in the forward commodity price estimates would result in $406,000 of additional impairment in 2015. 8. Decommissioning obligation As at December 31, 2015, the Company has estimated the total undiscounted inflation-adjusted amount of cash flows required to settle its decommissioning liabilities to be $960,631. This amount will be substantially incurred over the next five years. The Company calculated the decommissioning liabilities using an average risk-free discount rate of 1.03% (2014 – 1.47%) per annum and an inflation rate of 2% (2014 – 2%) per annum. 9. Share capital a) Authorized Unlimited number of common voting shares with no par value Unlimited number of preferred non-voting shares with no par value b) Issued and outstanding common shares On August 21, 2014, the Company closed a private placement of common shares with JF Investment for aggregate proceeds of $16.2 million, of which $0.6 million was received in June 2013, $0.15 million Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) was received in June 2014, $0.15 million was received in July 2014 and the balance was received upon closing. Pursuant to the private placement, the Company issued 5,000,000 common shares at $0.12 per share and 195,000,000 common shares at $0.08 per share. 10. Share-based payments The Company has an option plan (the "Option Plan") for its directors, officers, employees and consultants. Under the Option Plan, the Company has reserved for issuance a total of 10% of the issued and outstanding common shares. In addition, the aggregate number of shares so reserved for issuance to any one person shall not exceed 5% of the issued and outstanding shares. Under the Option Plan, options are exercisable at varying vesting periods for a maximum term of five years. The following table provides a continuity of stock options outstanding: During 2015, the Company recognized $1,315 of share-based payments expense (2014 – $8,653). As at December 31, 2015, the Company's remaining unvested share-based payments amount was $nil. The following table summarizes information about stock options outstanding as at December 31, 2015: 11. Per share amounts Basic net loss per share is calculated as follows: The effect of stock options is anti-dilutive in loss periods. Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) 12. Taxes The provision for deferred taxes differs from the amount computed by applying the combined federal and provincial tax rates to the loss before taxes. The difference results from the following: The statutory tax rate for the year ended December 31, 2015 increased from 25.1% to 26.1% due to an increase in the Alberta provincial tax rate on July 1, 2015. The statutory tax rate was unchanged in the year ended December 31, 2014. Unrecognized deferred tax assets Deferred tax assets have not been recognized for the following deductible temporary differences as it is not probable that future taxable profit will be available against which the Company can utilize the benefits: As at December 31, 2015, the Company has approximately $3.7 million (2014 – $4.3 million) of tax pools available for deduction against future taxable income. The Company also has non-capital tax losses of approximately $11.9 million (2014 – $10.2 million) available for deduction against future taxable income that begin to expire in 2027. 13. Supplemental disclosures a) Employee compensation cost The statement of loss and comprehensive loss is prepared primarily by nature of expense. During 2015, the Company incurred $396,888 (2014 – $444,652) of employee compensation cost which is included in general and administrative expenses. b) Key management compensation The Company considers its directors and executives to be key management personnel. As at December 31, 2015, key management personnel included nine individuals (2014 – nine individuals). Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) Key management personnel compensation is comprised of the following: 14. Commitment The Company is committed to lease rental payments and a proportionate share of operating costs pursuant to the terms of an office lease agreement in the amount of $16,357 per month from January 1, 2016 to August 31, 2019. 15. Financial instruments The Company holds various financial instruments as at December 31, 2015. The nature of these instruments and its operations expose the Company to market risk, credit risk and liquidity risks. The Company manages its exposure to these risks by operating in a manner that minimizes this exposure. While management monitors and administers these risks, the Board of Directors has the overall responsibility for the establishment and oversight of the Company's risk management framework. (a) Market risk Market risks are generally those risks that are outside of the control of the Company. These are: commodity prices, foreign exchange rates and interest rates. The objective of the Company is to mitigate exposure to these risks, while maximizing returns to the Company. (i) Commodity price risk Due to the volatility of commodity prices, the Company is exposed to adverse consequences in the event of declining prices. The Company may enter into petroleum and natural gas price contracts in order to protect its cash flow on future sales. The contracts reduce the fluctuation in sales revenue by locking in prices with respect to future deliveries of petroleum and natural gas. The Company did not enter into any petroleum and natural gas price contracts in 2014 or 2015. (ii) Foreign currency exchange risk Although all of the Company's petroleum and natural gas sales are denominated in Canadian dollars, the underlying market prices for these commodities are impacted by the exchange rate between Canada and the United States. As at December 31, 2015 and 2014, the Company had no forward foreign exchange contracts in place. (iii) Interest rate risk The Company does not have any debt subject to floating rates and is therefore not exposed to fluctuations in the market rate of interest. (b) Credit risk Substantially all of the Company's trade and other receivables are with customers and joint venture partners in the petroleum and gas industry and are subject to normal industry credit risks. The Company generally extends unsecured credit to these customers and, therefore, the collection of accounts receivable may be affected by changes in economic or other conditions. Management believes the risk Notes to Financial Statements For the years ended December 31, 2015 and 2014 (in Canadiandollars) is mitigated by entering into transactions with long-standing, reputable counterparties and partners. Wherever possible, the Company requires cash calls from its partners on capital projects before they commence. Receivables related to the sale of the Company's petroleum and natural gas production are from major marketing companies who have excellent credit ratings. These revenues are normally collected on the 25th day of the month following delivery. The maximum exposure to credit risk at is as follows: The Company does not anticipate any default or non-performance with respect to the above balances. As such a provision for doubtful accounts has not been recorded. As at December 31, 2015 and 2014, all of the Company's trade and other receivables are less than 60 days old except for approximately $37,400 (2014 – $32,500) which are greater than 60 days old . Composition of trade and other receivables: (c) Liquidity risk Liquidity risk would occur if the Company is not able to meet its financial obligations as they come due. Historically, the Company has suffered substantial operating losses. As at December 31, 2015, the Company has an accumulated deficit of $6,690,658 (2014 – $5,203,806) and a working capital surplus of $11,964,151 (2014 – $13,121,325). The Company's goal continues to be prudent capital spending while improving its credit reputation amongst its suppliers. The Company has sufficient cash resources to ensure its financial obligations, comprised of trade and other payables of $520,212, are met on a current basis. 16. Capital disclosures The Company considers its capital structure to include working capital and shareholders' equity. The Company will adjust its capital structure to manage its current and projected debt through the issuance of shares and/or adjusting its capital spending. The Company monitors its capital based on the current and projected ratios of net debt to cash flow. The Company's objectives in managing its capital structure are to create and maintain flexibility so that the Company can continue to meet its financial obligations; and finance its growth either through internally generated projects, joint venture relationships or asset/corporate acquisitions. The Company does not have any externally imposed capital requirements as at December 31, 2015.
Bible Sunday Readings: Isaiah 55 vv1-11 2 Timothy 3v14 – 4v5 Gospel: John 5 vv36-47 We have come to the end of our sermon series on 'Being Mature' recently, and last week we had a baptism with the theme of maturity. This Sunday is Bible Sunday, and I thought it would be good to look at the theme of the bible as one of the ways we can become mature in the faith. There is the story of a pastor who had dinner at the home of a couple in his church. After he let, the wife said to the husband, "I think he stole our spoon!" This bothered her for a while. A year later the couple had the pastor for dinner again. Unable to resist, the wife asked, "Did you steal our spoon last year?" The pastor replied, "No I put it inside your Bible." Many of us as Christians know some of the bible, and we know some key texts like John 3:16 "For God so loved the world that he gave his only Son, so that everyone who believes in him may not perish but may have eternal life." And Romans 5:8 "But God proves his love for us in that while we still were sinners Christ died for us." And Romans 8:28 "We know that all things work together for good for those who love God, who are called according to his purpose." In our sermon series, John Bourne talked about how he learned those sort of verses when in Sunday School/Crusaders, and how important it was to him in the 5 years he was in the Merchant Navy, without a regular church to belong to. These verses, and others like them sustained his Christian faith, and I am sure it is the same for many of you who learned things as children and teenagers and they are still part of you. Last Tuesday, I had the privilege of hearing the biblical scholar Tom Wright speak- he is one of my heroes and I got 4 of his books signed-. The great thing about Tom is that he is not only a first class New Testament biblical theologian, but he puts his conclusions out linking them up to the broad sweep of Old Testament biblical story. Some scholars who have their own theories, but these theories seem to be disconnected from the rest of the biblical stories. Tom's conclusions, which are quite radical in their implications, have the advantage, in my opinion, to make sense within the context of the whole of the story the bible is telling. I came away from the seminar very stimulated and determined to read Tom's books again. This is so important isn't it; to see ourselves as part of the biblical story, so we know where we have come from and the direction in which our Christian lives are going, for ourselves as individuals and as a part of a church and as part of a congregation. God wants us to 'Become Mature' and one of the main ways we are going to do this is to understand more and more of the purposes of God through our understanding of the bible's teaching. There are no short-cuts to maturity – as Jesus said in the parable of the sower "But as for that in the good soil, these are the ones who, when they hear the word, hold it fast in an honest and good heart, and bear fruit with patient endurance." (Luke 8:15) Patient endurance with the word of God is called for; and we are all called to it, but whether we mature or not depends on our response to this call. I want to speak today on our Isaiah 55 reading, but with reference to the other two readings a) God's invitation 1 Ho, everyone who thirsts, come to the waters; and you that have no money, come, buy and eat! Come, buy wine and milk without money and without price. 2 Why do you spend your money for that which is not bread, and your labour for that which does not satisfy? Listen carefully to me, and eat what is good, and delight yourselves in rich food. The Lord is saying clearly to us all, put aside that which is not satisfying you and leading you not to grow in the faith, and spend time with me in bible reading and prayer. These things which distract us are not normally bad things in themselves, like the internet, mobile phones, television, family commitments, work, sports and hobbies etc. but they need to be put in their rightful place as we 'seek first the kingdom of God.' What God gives is real spiritual food, given freely to us because of His love. b) God's desire to share His heart with you 3 Incline your ear, and come to me; listen, so that you may live This like the mother or father wanting the children to come and listen to them and they impart some of their wisdom, and we need the right attitude of humble obedience to take advantage of this, and not that of a rebel who thinks they are about to be told off again. If we instead are willing to listen to those who know more than us and who have had more experience of God, then we will become teachable. " timothy says this about the scriptures and Paul reminds Timothy about how he had come to know about God. But as for you, continue in what you have learned and firmly believed, knowing from whom you learned it, and how from childhood you have known the sacred writings that are able to instruct you for salvation through faith in Christ Jesus. ( 2 Tim 4:14-15) In this epistle we learn that Timothy had a godly grandmother Eunice and a godly mother Lois, (2 Tim 1:5) so Paul reminds Timothy that as he trusted them to teach Him, so now trust God to teach you more and more, through the scriptures c) God's desire for your growth in ministry 3..I will make with you an everlasting covenant, my steadfast, sure love for David. 4 See, I made him a witness to the peoples, a leader and commander for the peoples. 5 See, you shall call nations that you do not know, and nations that do not know you shall run to you, because of the LORD your God, the Holy One of Israel, for he has glorified you. God says, to Isaiah's listeners, 'As I made a covenant, an unbreakable vow, with David to honour and bless Him and to show others something of the glory and purposes of God through His kingship, so I am choosing you to be a faithful witness to those around you, and you will learn what to do and what to say through your understanding of scripture. That is why it says in 2 Tim "All scripture is inspired by God and is useful for teaching, for reproof, for correction, and for training in righteousness, so that everyone who belongs to God may be proficient, equipped for every good work." ( 2 Tim 4:16-17) God will teach and train you, if you are willing to learn from scripture, which is god-breathed (inspired, the word for 'god-breathed' is' pneumatos', which is where we get the word pneumatic from). Scripture will teach, train, rebuke, encourage and challenge you- you will not be the same after hearing it in the power of the spirit, because you will want to be more and more like Jesus. d) Our response – Turning to God "Seek the LORD while he may be found, call upon him while he is near; let the wicked forsake their way, and the unrighteous their thoughts; let them return to the LORD, that he may have mercy on them, and to our God, for he will abundantly pardon. For my thoughts are not your thoughts, nor are your ways my ways, says the LORD. For as the heavens are higher than the earth, so are my ways higher than your ways and my thoughts than your thoughts." (Isaiah 55:6-9) Our response is to stop relying on our own understanding – God's understanding is infinitely greater and he knows what is right for us. This is not to say that learning and thinking things out is wrong, it is not. But we have to understand that as humans we have a tendency to think that our own understanding is the right one and condemn others who think differently, whereas their perspective might have some truth that we need to hear. Only God sees it all as it really is, and so we have to realise that our thoughts are not his thoughts and our ways not His ways. We have to humble ourselves and become like teachable children, not coming with fixed opinions wanting our own prejudices conformed. We must actively seek God seeking understanding, humbly admitting our pride and self-centredness which sometimes gets in the way. This is, in my view what causes disputes among Christians. Two views that are not in themselves wrong, in fact they have merit in their arguments, but one person insists that their way is right and the other person wrong and they are amazed that other people do not see things the same way as them. As the old music hall song goes, "Two lovely black eyes, Oh what a surprise, only for telling a man he was wrong, two lovely black eyes!" or as St. Augustine said, "It was pride that changed angels into devils; it is humility that makes men as angels." I never mind someone giving an opinion on a matter; what I mind is when they claim divine authority on a matter for which God has not given them permission to use His name. The absence of "In my humble opinion" in a statement on a controversial matter, especially with those who claim religious faith, is a sure sign to me that they are in danger of 'taking the name of the Lord in vain'. Corrie Ten Boom used to tell the following story When I saw Sadhu Sundar Singh in Europe, he had completed a tour around the world. People asked him, "Doesn't it do harm, you getting so much honour?" The Sadhu's answer was: "No. The donkey went into Jerusalem, and they put garments on the ground before him. He was not proud. He knew it was not done to honour him, but for Jesus, who was sitting on his back. When people honour me, I know it is not me, but the Lord, who does the job." e) Let God lead you and guide you in your Christian walk and ministry 10 For as the rain and the snow come down from heaven, and do not return there until they have watered the earth, making it bring forth and sprout, giving seed to the sower and bread to the eater, 11 so shall my word be that goes out from my mouth; it shall not return to me empty, but it shall accomplish that which I purpose, and succeed in the thing for which I sent it. God knows the purposes he has for us, as individuals and as a church, and he gives us His word in the bible and in the preached word of God, to encourage us and train us, and to make us ready for the tasks he has for us. God speaks His words of life, just as He spoke and life came into this world when it was created, and life came into the world through His living Word Jesus. Water means that plants can grow, and His living word is like living water – remember the story of the woman at the well with Jesus' claim to give living water? In the same way God speaks His word into our hearts and wants it to accomplish His purposes, and all we have to do is receive it meditate on it and allow His word to do the work of change in us, so we are prepared for the good works He has for us. This is why immediately after this passage in 2 Timothy, Paul commissions Timothy to preach the word with boldness. "In the presence of God and of Christ Jesus, who is to judge the living and the dead, and in view of his appearing and his kingdom, I solemnly urge you: proclaim the message; be persistent whether the time is favourable or unfavourable; convince, rebuke, and encourage, with the utmost patience in teaching. (2 Tim 4:1-2) So the way to maturity involves being familiar with God's word so that it becomes part of your very being. a) Listen to the invitation, an invitation of grace and love, come eat at no cost, all has been done for you if you can only accept it. b) Listen to God's heart, His purposes for this world, and put aside your own prejudices and fixed opinions c) Let him tell you of His plans, and you respond by reading His word and becoming thoroughly familiar with Him, His ways, and especially with the teaching and mind-set of Jesus so you can grow in maturity d) Turn to God consciously, putting aside our pride and become humble and teachable. e) Let Him lead you and guide you throughout the ups and downs of our lives, knowing He is with you If that sounds easy, believe me it is not, it is the work of a lifetime for we have to continually come to God for strength, in repentance and humble ourselves and commit ourselves again to following Him. As James says as "Therefore rid yourselves of all sordidness and rank growth of wickedness, and welcome with meekness the implanted word that has the power to save your souls. "(James 1:21) But as we do so, more and more we will find that we want what God wants, and when we look back we will see that we have come a long way from where we were. Do you want to be mature in the faith? Then there is no substitute for getting into the word of God. We will be singing this hymn shortly and I want to use its verses as a final prayer. Break thou the bread of life, dear Lord, to me, As Thou didst break the bread beside the sea; Beyond the sacred page, I seek Thee, Lord; My spirit longs for Thee, Thou Living Word. Thou art the Bread of Life, O Lord, to me, Thy holy Word the truth that saveth me; Give me to eat and live with Thee above; Teach me to love Thy truth, for Thou art love. O send Thy Spirit, Lord, now unto me, That He may touch my eyes and make me see; Show me the truth concealed within Thy Word, And in Thy Book revealed, I see Thee, Lord. Bless Thou the Bread of Life to me, to me, As Thou didst bless the loaves by Galilee; Then shall all bondage cease, all fetters fall, And I shall find my peace, my all in all.
CRAFCO, INC. TERMS AND CONDITIONS OF SALE March, 2015 The seller of the product, Crafco, Inc., shall hereinafter be referred to as "Crafco". The terms and conditions set forth in this document ("Terms and Conditions") are intended to establish standard terms and conditions for all sales of Crafco's products ("Products") to customers (each a "Customer"). Notwithstanding the foregoing, unless specifically referenced in a sales agreement, these Terms and Conditions shall not apply if there is an sales agreement in place between Customer and Crafco which covers the sale of the applicable goods, provided that the sales agreement is signed by both parties. 1. PRICE; TAXES – Unless otherwise specifically agreed to by Crafco and Customer in writing, Crafco's pricing in effect at the time of shipment shall apply. Price quotes are subject to credit approval or other arrangements satisfactory to Crafco to establish Customer creditworthiness. Any tax, excise or governmental charge imposed upon the value added to or the production, sale, storage, use or transportation of any Product sold hereunder, or imposed upon crude oil or any other raw materials from which such Products are made, which Crafco may be required to pay, shall be included in the purchase price. Customer shall provide Crafco with properly completed exemption certificates for any tax from which Customer claims exemption. 2. PAYMENT TERMS –Subject to ongoing credit approval by Crafco, and unless otherwise specified on Crafco' s invoice or agreed to by Customer and Crafco in writing, terms of payment shall be net 30 days from date of invoice. Crafco reserves the right to withhold shipment for Customer's: (a) late payment; (b) non-payment; or (c) failure to provide reasonable assurance of payment upon Crafco' s request. Any payment that is not received by the date required herein shall accrue interest at a rate of eighteen per cent (18%) per annum of the outstanding balance or the maximum rate allowed by applicable law, whichever is less, from the date such payment is due until the full invoiced amount and accrued interest is fully paid. In addition, Customer shall be responsible for Crafco' s costs of collection of any past due amounts, including reasonable attorney fees. In the event Customer shall fail to make timely payment of any monies due and owing to Crafco, Crafco may set off, withhold or recoup any payments due under this or any other agreement between the parties. 3. DELIVERY; TITLE; RISK OF LOSS — – Unless specifically agreed to otherwise in writing: (a) title to the Product and risk of loss shall pass to Customer at delivery of the Products FOB Crafco' s facility from which the Products are shipped; (b) Customer assumes all responsibility for risk of loss or damage to the Products from such point of delivery; (c) delivery dates are approximate. 4. LIMITED WARRANTY – CRAFCO WARRANTS THAT AT TIME OF SHIPMENT: (a) PRODUCT SOLD HEREUNDER SHALL CONFORM TO CRAFCO'S CURRENT STANDARD SPECIFICATIONS FOR SUCH PRODUCT OR SUCH OTHER SPECIFICATIONS AS SHALL HAVE BEEN MADE EXPRESSLY A PART OF THIS AGREEMENT; (b) CRAFCO HAS GOOD TITLE TO THE PRODUCT; AND (c) THE PRODUCT IS FREE AND CLEAR OF ALL LIENS AND ENCUMBRANCES CREATED BY CRAFCO. CRAFCO MAKES NO WARRANTY OF ANY RESULTS CUSTOMER MIGHT OBTAIN IN ANY PARTICULAR APPLICATION. CRAFCO MAKES NO OTHER WARRANTY, EXPRESS OR IMPLIED, INCLUDING WITHOUT LIMITATION, ANY IMPLIED WARRANTY OF MERCHANTABILITY OR OF FITNESS FOR PARTICULAR PURPOSE OR OTHERWISE. 5. LIMITATION OF REMEDIES - CUSTOMER'S SOLE AND EXCLUSIVE REMEDY FOR ANY BREACH OF WARRANTY SHALL BE REPLACEMENT OF DEFECTIVE OR NONCONFORMING PRODUCT BY CRAFCO WITHOUT ADDITIONAL CHARGE, OR IN LIEU THEREOF, AT CRAFCO'S OPTION, CRAFCO MAY REFUND THE PURCHASE PRICE UPON RETURN OF THE DEFECTIVE OR NONCONFORMING PRODUCTS AT CRAFCO'S EXPENSE. 6. LIMITATION OF LIABILITY – NOTWITHSTANDING ANY OTHER PROVISION, TO THE FULLEST EXTENT PERMITTED UNDER APPLICABLE LAW, CRAFCO'S TOTAL LIABILITY TO CUSTOMER FOR ANY AND ALL CLAIMS, LOSSES OR DAMAGES (COLLECTIVELY A "CLAIM") ARISING OUT OF, CONNECTED WITH OR RESULTING FROM THIS AGREEMENT AND/OR the SALE, PURCHASE AND USE OF PRODUCTS HEREUNDER, WHETHER BASED IN CONTRACT, NEGLIGENCE OR OTHER TORT, STRICT LIABILITY, BREACH OF WARRANTY OR OTHERWISE, SHALL IN NO EVENT EXCEED THE PURCHASE PRICE OF THE PRODUCTS IN RESPECT TO WHICH SUCH CLAIM AROSE. CUSTOMER ACKNOWLEDGES THAT THIS LIMITATION OF LIABILITY IS REASONABLE AND THAT THE PRICE OF CRAFCO'S PRODUCTS HAS BEEN DETERMINED BASED UPON THE FOREGOING LIMITATION OF LIABILITY. 7. COMMENCEMENT OF ACTION - ANY CAUSE OF ACTION ARISING UNDER THIS AGREEMENT OR ARISING OUT OF SALE OF THE PRODUCTS WHICH CUSTOMER MAY HAVE AGAINST CRAFCO MUST BE COMMENCED WITHIN ONE (1) YEAR AFTER THE CAUSE OF ACTION HAS ACCRUED. 8. WAIVER OF INCIDENTAL AND CONSEQUENTIAL DAMAGES – NOTWITHSTANDING ANY OTHER PROVISION, TO THE FULLEST EXTENT PERMITTED UNDER APPLICABLE LAW, IN NO EVENT SHALL CRAFCO BE LIABLE FOR SPECIAL, INCIDENTAL, CONSEQUENTIAL, PUNITIVE OR EXEMPLARY DAMAGES ARISING OUT OF OR RELATED TO THIS AGREEMENT (INCLUDING, WITHOUT LIMITATION THE SALE OR USE OF PRODUCTS), WHETHER THE ACTION IN WHICH RECOVERY OF ANY SUCH DAMAGES IS SOUGHT IS BASED UPON CONTRACT, TORT, STATUTE OR OTHERWISE, EVEN IF CRAFCO HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. 9. PRODUCT QUANTITY – Product delivered in bulk via tank trucks shall be subject to weight/volume variance of up to 10% of the amount specified in the order and Customer shall pay for the actual quantity so supplied. Exact quantities of all other packaged shipments shall be determined at time of delivery. 10. SAFETY, HEALTH AND INDEMNITY – Customer acknowledges that Crafco has furnished product literature or information such as Safety Data Sheets (SDS) or Material Safety Data Sheets (MSDS), that include warnings and safety and health information related to the goods furnished hereunder. Customer shall: (a) familiarize itself with such information; (b) adopt and follow safe handling , storage, transportation, use, treatment and disposal practices with respect to the goods furnished hereunder, including, without limitation, special care and practices as Customer's use of the goods requires including, without limitation, all such practices required by applicable laws; (c) instruct its employees, independent contractors, agents and customers of the precautions and safe use practices required in connection with the unloading, handling, storage, use transportation and disposal of the goods furnished hereunder (including, without limitation, information contained in Crafco's most recent SDS or MSDS); and (d) comply with applicable safety and environmental laws and take action necessary to avoid spills or other dangers to persons, property or the environment. Crafco may suspend shipment of Products and/or cancel this Agreement on five (5) days notice if Customer fails to comply with any of its obligations under this paragraph 10. Customer shall indemnify, defend and hold Crafco harmless against any and all third party causes of action, claims, liabilities, losses, costs, damages and expenses (including, without limitation, attorney's fees and expenses) to the extent arising out of Customer's failure to comply with any of its commitments under this paragraph 10. 11. FORCE MAJEURE – (a) Crafco shall be relieved from liability hereunder for failure to perform any or all of its obligations for the time and to the extent of such failure to perform where Crafco's failure is occasioned by any cause or causes of any kind or character beyond the reasonable control of Crafco (any such cause herein referred to as "Force Majeure"), including, without limitation: acts of god; accidents; fire; explosion; flood or hurricanes; strikes, lockouts or other industrial disturbances; riots or civil commotion; war whether declared or undeclared; compliance with any law, rule or regulation; shortage or breakdown or other failure of facilities used for manufacture or transportation; shortage of labor; inability to secure, in Crafco's sole discretion, all at reasonable prices, transportation, power, fuel, materials or supplies; or total or partial shutdown due to Crafco's normal plant turnaround or as required by Crafco's operations. If Crafco is rendered unable by Force Majeure to carry out its obligations hereunder, Crafco shall give notice to Customer, and upon the giving of such notice the obligations of Crafco, insofar as they are affected by such Force Majeure shall be suspended during the continuance of the Force Majeure event. Upon the cessation of the cause or causes for any such failure or delay, performance shall be resumed but such delay shall not, except by mutual agreement, operate to extend the term of this Agreement or obligate Crafco to make up deliveries missed. (b) Regardless of the occurrence or non-occurrence of any of the causes set forth in paragraph (a) above, if for reasons beyond Crafco's control, supplies of any Product deliverable hereunder, or of crude petroleum or other feedstock from which such Product is derived, from any of Crafco's existing sources are curtailed or cut off or are inadequate to meet Crafco's own requirements and its obligations to its customers, Crafco's obligation hereunder during such period of curtailment, cessation or inadequacy shall at its option be reduced to the extent necessary in Crafco's sole judgment to allocate among Crafco's own requirements and its customers (whether under contract or not), such Product as received and as may be available in the ordinary and usual course of Crafco's business from any such existing sources of supply at the location(s) from which deliveries hereunder are normally shipped. Crafco shall not be obligated to purchase or otherwise obtain other supplies of such Product, crude petroleum or other feedstock from which such Product is derived to make up inadequate supplies or to replace the supplies so curtailed or cut off. Crafco shall not be obligated to make up deliveries omitted or curtailed hereunder, and any such deficiencies in deliveries shall be canceled from the contract with no liability to either party therefor. 12. COMPLIANCE WITH LAWS AND REGULATIONS — Customer agrees to comply with all laws, rules and regulations in any way relating to Customer's purchase, ownership, transportation, receipt, handling, storage, processing, alteration, use, disposal or resale of the Products, alone or in combination with other substances or processes and shall indemnify, defend and hold Crafco harmless against all losses, claims, causes of action, penalties and liabilities arising out of Customer's failure to comply with the foregoing. 13. US SANCTIONS AND EMBARGOES – Customer shall ensure that no volumes of the products will reach any countries, entities or individuals which are under sanctions and/or import or export restrictions of the United States or the country from which Crafco ships the Products. 14. MISCELLANEOUS — This Agreement shall not be assigned in whole or in part by either party without the written consent of the other party, except that Crafco may, upon written notice to Customer, assign its obligations hereunder to any affiliate of Crafco. No waiver by either party of any breach of any of the terms and conditions hereunder contained shall be construed as a waiver of any succeeding breach of the same or any other term and condition. This Agreement shall be governed by and construed in accordance with the laws of the State of Arizona to the exclusion of its rules on conflicts of law. Crafco and Customer explicitly exclude the application of the United Nations Convention on the International Sale of Goods (1980). All legal proceedings arising out of or relating to this Agreement shall be brought in the courts of the State of Arizona, County of Maricopa, or, if it has or can acquire jurisdiction, in the United States District Court for the District of Arizona , and each of the parties irrevocably submits to the exclusive jurisdiction of each such court in any such proceeding, waives any objection it may now or hereafter have to venue or to convenience of forum, agrees that all claims in respect of the proceeding shall be heard and determined only in any such court and agrees not to bring any proceeding arising out of or relating to this Agreement in any other court. If any provision of this Agreement shall be held to be invalid or unenforceable for any reason, the remaining provisions shall continue to be valid and enforceable. If a court finds that any provision of this Agreement is invalid or unenforceable, but that by limiting such provision it would become valid and enforceable, then such provision shall be deemed to be written, construed and enforced as so limited. March 20, 2015 version

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